EXHIBIT 10.5
ATTACHMENT 2
SECOND COMPOSITE
RESTATED
NEW ENGLAND
POWER POOL AGREEMENT
(As amended through the Fifty-First Agreement
Amending New England Power Pool Agreement)
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 1
TABLE OF CONTENTS
PART ONE
INTRODUCTION........................................................12
SECTION 1
DEFINITIONS.........................................................12
1.1 Adjusted Load..............................................13
1.2 Adjusted Monthly Peak......................................13
1.3 Adjusted Net Interchange...................................13
1.3A Administrative Procedures..................................14
1.4 AGC Capability.............................................14
1.5 AGC Entitlement............................................14
1.6 Agreement..................................................15
1.7 Annual Transmission Revenue Requirements...................15
1.8 Automatic Generation Control or AGC........................15
1.8A Balloting Agent............................................16
1.9 Bid Price..................................................16
1.10 Commission.................................................16
1.11 Control Area...............................................17
1.12 Curtailment................................................18
1.13 Direct Assignment Facilities...............................18
1.14 Dispatch Price.............................................18
1.15 EHV PTF....................................................19
1.16 Electrical Load............................................19
1.17 Eligible Customer..........................................20
1.17A End User Participant.......................................21
1.18 Energy.....................................................21
1.19 Energy Entitlement.........................................21
1.20 Entitlement................................................22
1.21 Entity.....................................................22
1.22 Excepted Transaction.......................................23
1.23 [Deleted.].................................................23
1.24 Facilities Study...........................................23
1.25 Firm Contract..............................................24
1.26 First Effective Date.......................................24
1.27 Good Utility Practice......................................24
1.28 HQ Contracts...............................................25
1.29 HQ Energy Banking Agreement................................25
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 2
1.30 HQ Interconnection.........................................25
1.31 HQ Interconnection Agreement...............................26
1.32 HQ Interconnection Capability Credit.......................26
1.33 HQ Interconnection Transfer Capability.....................27
1.34 HQ Net Interconnection Capability Credit...................28
1.35 HQ Phase I Energy Contract.................................28
1.36 HQ Phase I Percentage......................................28
1.37 HQ Phase I Transfer Credit.................................28
1.38 HQ Phase II Firm Energy Contract...........................29
1.39 HQ Phase II Gross Transfer Responsibility..................29
1.40 HQ Phase II Net Transfer Responsibility....................29
1.41 HQ Phase II Percentage.....................................30
1.42 HQ Phase II Transfer Credit................................30
1.43 HQ Use Agreement...........................................30
1.44 Installed Capability.......................................30
1.45 Installed Capability Entitlement...........................31
1.46 Installed Capability Responsibility........ ..............31
1.47 Installed System Capability................................31
1.48 Interchange Transactions...................................32
1.49 Internal Point-to-Point Service............................32
1.50 Interruption...............................................32
1.51 ISO........................................................32
1.52 Kilowatt...................................................33
1.52A Liaison Committee..........................................33
1.53 Load.......................................................33
1.54 Local Network..............................................35
1.55 Local Network Service......................................35
1.56 Lower Voltage PTF..........................................35
1.57 Market Products............................................35
1.57A Market Rules...............................................36
1.58 [Deleted.].................................................36
1.58A Markets Committee..........................................36
1.59 Monthly Peak...............................................36
1.60 NEPOOL.....................................................36
1.61 NEPOOL Control Area........................................37
1.62 NEPOOL Installed Capability................................38
1.63 NEPOOL Installed Capability Responsibility.................38
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 3
1.64 NEPOOL Objective Capability................................38
1.64A NEPOOL Market..............................................38
1.64B NEPOOL System Rules........................................39
1.64C NERC.......................................................39
1.65 New Unit...................................................39
1.66 Non-Participant............................................39
1.66A NPCC.......................................................39
1.66B OASIS......................................................39
1.67 Operable Capability........................................40
1.68 [Deleted]..................................................40
1.69 [Deleted]. ................................................40
1.70 [Deleted]. ................................................40
1.71 Operating Reserve..........................................40
1.72 Operating Reserve Entitlement..............................40
1.73 Other HQ Energy............................................41
1.74 Participant................................................41
1.74A Participants Committee.....................................42
1.75 Pool-Planned Facility......................................42
1.76 Pool-Planned Unit..........................................42
1.77 Power Year.................................................42
1.78 Prior NEPOOL Agreement.....................................43
1.79 Proxy Unit.................................................43
1.80 PTF........................................................43
1.80A Publicly Owned Entity......................................43
1.81 [Deleted.].................................................44
1.82 Regional Network Service...................................44
1.83 [Deleted.].................................................44
1.84 [Deleted.].................................................44
1.85 Related Person.............................................44
1.85A Reliability Committee......................................45
1.85B Reliability Standards......................................45
1.85C Review Board...............................................45
1.86 Scheduled Dispatch Period..................................46
1.87 Second Effective Date......................................46
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 4
1.87A Sector.....................................................46
1.88 Service Agreement..........................................46
1.89 Summer Capability..........................................46
1.90 Summer Period..............................................47
1.91 System Contract............................................47
1.92 System Impact Study........................................47
1.93 System Operator............................................48
1.94 Target Availability Rate...................................48
1.95 Tariff.....................................................48
1.95A Tariff Committee...........................................48
1.95B Technical Committees.......................................49
1.96 Third Effective Date.......................................49
1.97 Through or Out Service.....................................49
1.98 Transition Period..........................................49
1.99 Transmission Customer......................................50
1.99A Transmission Owner.........................................50
1.99B Transmission Owners Committee..............................51
1.100 Transmission Provider......................................51
1.101 Unit Contract..............................................51
1.102 [Deleted.].................................................52
1.103 Winter Capability..........................................52
1.104 Winter Period..............................................52
1.105 10-Minute Spinning Reserve.................................52
1.106 10-Minute Non-Spinning Reserve.............................53
1.107 30-Minute Operating Reserve................................54
1.108 [Deleted.].................................................55
1.109 Modification of Certain Definitions When a Participant
Purchases a Portion of Its Requirements from Another
Participant Pursuant to Firm Contract......................55
SECTION 2 - PURPOSE; EFFECTIVE DATES.........................................58
2.1 Purpose....................................................58
2.2 Effective Dates; Transitional Provisions...................59
SECTION 3 - MEMBERSHIP.......................................................60
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 5
3.1 Membership.................................................60
3.2 Operations Outside the Control Area........................61
3.3 Lack of Place of Business in New England...................62
3.4 Obligation for Deferred Expenses...........................63
3.5 Financial Security.........................................63
SECTION 4 - STATUS OF PARTICIPANTS...........................................64
4.1 Treatment of Certain Entities as Single Participant........64
4.2 Participants to Retain Separate Identities.................65
SECTION 5 - NEPOOL OBJECTIVES AND COOPERATION BY PARTICIPANTS................65
5.1 NEPOOL Objectives..........................................65
5.2 Cooperation by Participants................................67
PART TWO - GOVERNANCE........................................................68
SECTION 6 - COMMITTEE ORGANIZATION AND VOTING................................68
6.1 Principal Committees.......................................68
6.2 Sector Representation......................................69
6.3 Appointment of Members and Alternates......................77
6.4 Term of Members............................................78
6.5 Regular and Special Meetings...............................78
6.6 Notice of Meetings.........................................79
6.7 Attendance.................................................79
6.8 Quorum.....................................................80
6.9 Voting Definitions.........................................80
6.10 Voting On Proposed Actions.................................84
6.11 Voting On Amendments.......................................84
6.12 Designated Representatives and Proxies.....................88
6.13 Limits on Representatives..................................89
6.14 Adoption of Bylaws.........................................89
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 6
6.15 Joint Meetings of Technical Committees.....................90
SECTION 7 - PARTICIPANTS COMMITTEE...........................................91
7.1 Officers...................................................91
7.2 Adoption of Budgets........................................91
7.3 Establishing Reliability Standards.........................91
7.4 Appointment and Compensation of NEPOOL Personnel...........92
7.5 Duties and Authority.......................................92
7.6 Attendance of Participants at Committee Meeting............99
7.7 Appeal of Actions to Review Board..........................99
SECTION 8 - RELIABILITY COMMITTEE...........................................101
8.1 Officers..................................................101
8.2 Notice to Members and Alternates of Participants
Committee.................................................102
8.3 Voting; Appeal of Actions.................................102
8.4 Responsibilities..........................................103
8.5 Establishment of Subcommittees and Task Forces............108
8.6 Further Powers and Duties.................................109
SECTION 9 - TARIFF COMMITTEE................................................109
9.1 Officers..................................................109
9.2 Notice to Members and Alternates of Participants
Committee.................................................110
9.3 Voting; Appeal of Actions.................................110
9.4 Responsibilities..........................................111
9.5 Establishment of Subcommittees and Task Forces............112
9.6 Further Powers and Duties.................................113
SECTION 10 - MARKETS COMMITTEE..............................................113
10.1 Officers..................................................113
10.2 Notice to Members and Alternates of Participants
Committee.................................................114
10.3 Voting; Appeal of Actions.................................114
10.4 Responsibilities..........................................115
10.5 Establishment of Subcommittees and Task Forces............118
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 7
10.6 Further Powers and Duties.................................118
10.7 Development of Rules Relating to Non-Participant
Supply and Demand-side Resources..........................118
SECTION 11 - FURTHER RESTRUCTURING..........................................119
SECTION 11A - REVIEW BOARD..................................................120
11A.1 Organization..............................................120
11A.2 Composition...............................................121
11A.3 Qualifications............................................122
11A.4 Term......................................................123
11A.5 Meetings..................................................123
11A.6 Bylaws....................................................123
11A.7 Procedure on Appeal of Participant Committee Action
or Failure to Take Action.................................124
11A.8 Effect of a Review Board Decision.........................127
SECTION 11B - TRANSMISSION OWNERS COMMITTEE.................................129
11B.1 Organization..............................................129
11B.2 Membership................................................130
11B.3 Appointment of Members and Alternates.....................130
11B.4 Term of Members...........................................130
11B.5 Regular and Special Meetings..............................131
11B.6 Notice of Meetings........................................131
11B.7 Attendance................................................131
11B.8 Votes.....................................................132
11B.9 Appointment of Task Forces or Working Groups..............133
11B.10 Officers....................................................133
11B.11 Adoption of Bylaws..........................................133
11B.12 Review of Committee Actions.................................134
SECTION 11C - LIAISON COMMITTEE.............................................135
11C.1 Organization; Duties......................................135
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 8
11C.2 Membership................................................135
11C.3 Regular and Special Meetings..............................136
11C.4 Notice of Meetings........................................136
11C.5 Attendance................................................136
11C.6 Officers..................................................137
PART THREE - MARKET PROVISIONS..............................................138
SECTION 12 - INSTALLED CAPABILITY OBLIGATIONS AND PAYMENTS..................138
12.1 Obligations to Provide Installed Capability...............138
12.2 Computation of Installed Capability Responsibilities......138
12.3 [Deleted].................................................159
12.4 Bids to Furnish Installed Capability......................159
12.5 Consequences of Deficiencies in Installed Capability
Responsibility............................................160
12.6 [Deleted].................................................162
12.7 Payments to Participants Furnishing Installed Capability..162
SECTION 13 - OPERATION, GENERATION, OTHER RESOURCES, AND INTERRUPTIBLE
CONTRACTS......................................................164
13.1 Maintenance and Operation in Accordance with Good
Utility Practice..........................................164
13.2 Central Dispatch..........................................164
13.3 Maintenance and Repair....................................165
13.4 Objectives of Day-to-Day System Operation.................165
13.5 Satellite Membership......................................166
SECTION 14 - INTERCHANGE TRANSACTIONS.......................................167
14.1 Obligation for Energy, Operating Reserve and Automatic
Generation Control........................................167
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 9
14.2 Obligation to Bid or Schedule, and Right to Receive
Energy, Operating Reserve and Automatic Generation
Control...................................................170
14.3 Amount of Energy, Operating Reserve and Automatic
Generation Control Received or Furnished..................176
14.4 Payments by Participants Receiving Energy Service,
Operating Reserve and Automatic Generation Control........179
14.5 Payments to Participants Furnishing Energy Service,
Operating Reserve, and Automatic Generation Control.......181
14.6 Energy Transactions with Non-Participants.................184
14.7 Participant Purchases Pursuant to Firm Contracts and
System Contracts..........................................187
14.8 Determination of Energy Clearing Price....................188
14.9 Determination of Operating Reserve Clearing Price.........189
14.10 Determination of AGC Clearing Price.......................192
14.11 Funds to or from which Payments are to be Made............193
14.12 Development of Rules Relating to Nuclear and
Hydroelectric Generating Facilities, Limited-Fuel
Generating Facilities, and Interruptible Loads............201
14.13 Dispatch and Billing Rules During Energy Shortages........202
14.14 Congestion Uplift.........................................203
14.15 Additional Uplift Charges. ..............................207
PART FOUR - TRANSMISSION PROVISIONS.........................................208
SECTION 15 - OPERATION OF TRANSMISSION FACILITIES...........................208
15.1 Definition of PTF.........................................208
15.2 Maintenance and Operation in Accordance with Good
Utility Practice..........................................213
15.3 Central Dispatch..........................................213
15.4 Maintenance and Repair....................................214
15.5 Additions to or Upgrades of PTF...........................214
SECTION 16 - SERVICE UNDER TARIFF...........................................217
16.1 Effect of Tariff..........................................217
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 10
16.2 Obligation to Provide Regional Service....................217
16.3 Obligation to Provide Local Network Service...............218
16.4 Transmission Service Availability.........................221
16.5 Transmission Information..................................222
16.6 Distribution of Transmission Revenues.....................222
SECTION 17 - POOL-PLANNED UNIT SERVICE......................................226
17.1 Effective Period..........................................226
17.2 Obligation to Provide Service.............................226
17.3 Rules for Determination of Facilities Covered by
Particular Transactions...................................227
17.4 Payments for Uses of EHV PTF During the Transition Period.229
17.5 Payments for Uses of Lower Voltage PTF....................233
17.6 Use of Other Transmission Facilities by Participants......234
17.7 Limits on Individual Transmission Charges.................235
SECTION 17A - TRANSMISSION OWNERS RESERVED RIGHTS...........................235
17A.1 ..........................................................236
17A.2 ..........................................................236
17A.3 ..........................................................237
17A.4 ..........................................................237
17A.5 ..........................................................238
17A.6 ..........................................................238
17A.7 ..........................................................238
17A.8 ..........................................................239
PART FIVE - GENERAL.........................................................241
SECTION 18 - GENERATION AND TRANSMISSION FACILITIES.........................241
18.1 Designation of Pool-Planned Facilities....................241
18.2 Construction of Facilities................................241
18.3 Protective Devices for Transmission Facilities and
Automatic Generation Control Equipment....................242
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 11
18.4 Review of Participant's Proposed Plans....................243
18.5 Participant to Avoid Adverse Effect..............244
SECTION 19 - EXPENSES.......................................................245
19.1 Annual Fee................................................245
19.2 NEPOOL Expenses...........................................247
19.3 Restructuring Costs.......................................249
SECTION 20 - INDEPENDENT SYSTEM OPERATOR....................................255
SECTION 21 - MISCELLANEOUS PROVISIONS.......................................263
21.1 Alternative Dispute Resolution............................263
21.2 Payment of Pool Charges; Termination of Status as
Participant...............................................276
21.3 Assignment................................................280
21.4 Force Majeure.............................................281
21.5 Waiver of Defaults........................................282
21.6 Other Contracts...........................................282
21.7 Liability and Insurance...................................283
21.8 Records and Information...................................284
21.9 Consistency with NPCC and NERC Standards..................285
21.10 Construction..............................................285
21.11 Amendment.................................................285
21.12 Termination...............................................286
21.13 Notices to Participants, Committees, Committee Members,
or the System Operator....................................287
21.14 Severability and Renegotiation............................291
21.15 No Third-Party Beneficiaries..............................292
21.16 Counterparts..............................................292
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 12
COMPOSITE RESTATED NEW ENGLAND POWER POOL AGREEMENT
THIS AGREEMENT dated as of the first day of September, 1971, as amended, was
entered into by the signatories thereto for the establishment by them of a bulk
power pool to be known as NEPOOL and is restated by an amendment dated as of May
7, 1999.
In consideration of the mutual agreements and undertakings herein, the
signatories hereby agree as follows:
PART ONE
INTRODUCTION
SECTION 1
DEFINITIONS
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Whenever used in this Agreement, in either the singular or plural number, the
following terms shall have the following respective meanings (an asterisk (*)
indicates that the definition may be modified in certain cases pursuant to
Section 1.109):
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 13
1.1 Adjusted Load * (not less than zero) of a Participant during any
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particular hour is the Participant's Load during such hour less any
Kilowatts received (or Kilowatts which would have been received except
for the application of Section 14.7(b)) by such Participant pursuant to
a Firm Contract.
1.2 Adjusted Monthly Peak of a Participant for a month is its Monthly Peak,
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provided that if there has been a transfer between Participants, in
whole or part, of the responsibilities under this Agreement during such
month pursuant to a Firm Contract, the Adjusted Monthly Peak of each
such Participant shall reflect the effect of such transaction, but the
Adjusted Monthly Peak of a Participant shall not be changed from the
Monthly Peak to reflect the effect of any other transaction.
1.3 Adjusted Net Interchange of a Participant for an hour is (a) the
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Kilowatts produced by or delivered to the Participant from its Energy
Entitlements or pursuant to arrangements entered into under Section
14.6, as adjusted in accordance with uniform market operation rules
approved by the Markets Committee to take account of associated
electrical losses, as appropriate, minus (b) the sum of (i) the
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Electrical Load of the Participant for the hour, and (ii) the
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 14
kilowatthours delivered by such Participant to other Participants
pursuant to Firm Contracts or System Contracts, in accordance with the
treatment agreed to pursuant to Section 14.7(a), together with any
associated electrical losses.
1.3A Administrative Procedures are procedures adopted by the System Operator
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in order to fulfill its responsibilities to apply and implement NEPOOL
System Rules.
1.4 AGC Capability of an electric generating unit or combination of units
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is the maximum dependable ability of the unit or units to increase or
decrease the level of output within a time frame specified by market
operation rules approved by the Markets Committee, in response to a
remote direction from the System Operator in order to maintain
currently proper power flows into and out of the NEPOOL Control Area
and to control frequency.
1.5 AGC Entitlement is (a) the right to all or a portion of the AGC
----------------
Capability of a generating unit or combination of units to which an
Entity is entitled as an owner (either sole or in common) or as a
purchaser, reduced by (b) any portion thereof which such Entity is
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selling pursuant to a Unit Contract, and (c) further
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 15
reduced or increased, as appropriate, to recognize rights to receive or
--------------------
obligations to supply AGC pursuant to Firm Contracts or System
Contracts in accordance with Section 14.7(a). An AGC Entitlement in a
generating unit or units may, but need not, be combined with any other
Entitlements relating to such generating unit or units and may be
transferred separately from the related Installed Capability
Entitlement, Energy Entitlement, or Operating Reserve Entitlements.
1.6 Agreement is this restated contract and attachments, including the
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Tariff, as amended and restated from time to time.
1.7 Annual Transmission Revenue Requirements of a Participant's PTF or of
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all Participants' PTF for purposes of this Agreement are the amounts
determined in accordance with Attachment F to the Tariff.
1.8 Automatic Generation Control or AGC is a measure of the ability of a
------------------------------
generating unit or portion thereof to respond automatically within a
specified time to a remote direction from the System Operator to
increase or decrease the
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 16
level of output in order to control frequency and to maintain currently
proper power flows into and out of the NEPOOL Control Area.
1.8A Balloting Agent is the Secretary of the Participants Committee.
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1.9 Bid Price is the amount which a Participant offers to accept, in a
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notice furnished to the System Operator by it or on its behalf in
accordance with the market operation rules approved by the Markets
Committee, as compensation for (i) furnishing Installed Capability to
other Participants pursuant to this Agreement, or (ii) preparing the
start up or starting up or increasing the level of operation of, and
thereafter operating, a generating unit or units to provide Energy to
other Participants pursuant to this Agreement, or (iii) having a unit
or units available to provide Operating Reserve to other Participants
pursuant to this Agreement, or (iv) having a unit or units available to
provide AGC to other Participants pursuant to this Agreement, or (v)
providing to other Participants Installed Capability, Energy, Operating
Reserve and/or AGC pursuant to a Firm Contract or System Contract in
accordance with Section 14.7.
1.10 Commission is the Federal Energy Regulatory Commission.
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 17
1.11 Control Area is an electric power system or combination of electric
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power systems to which a common automatic generation control scheme is
applied in order to:
(l) match, at all times, the power output of the generators within
the electric power system(s) and capacity and energy purchased
from entities outside the electric power system(s), with the
load within the electric power system(s);
(2) maintain scheduled interchange with other Control Areas,
within the limits of Good Utility Practice;
(3) maintain the frequency of the electric power system(s) within
reasonable limits in accordance with Good Utility Practice and
the criteria of the applicable regional reliability council or
the NERC; and
(4) provide sufficient generating capacity to maintain operating
reserves in accordance with Good Utility Practice.
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 18
1.12 Curtailment is a reduction in firm or non-firm transmission service in
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response to a transmission capacity shortage as a result of system
reliability conditions.
1.13 Direct Assignment Facilities are facilities or portions of facilities
------------------------------
that are Non-PTF and are constructed for the sole use/benefit of a
particular Transmission Customer requesting service under the Tariff or
Generator Owner requesting an interconnection. Direct Assignment
Facilities shall be specified in a separate agreement with the
Transmission Provider whose transmission system is to be modified to
include and/or interconnect with said Facilities, shall be subject to
applicable Commission requirements and shall be paid for by the
Transmission Customer or a Generator Owner in accordance with the
separate agreement and not under the Tariff.
1.14 Dispatch Price of a generating unit or combination of units, or a Firm
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Contract or System Contract permitted to be bid to supply Energy in
accordance with Section 14.7(b), is the price to provide Energy from
the unit or units or Contract, as determined pursuant to market
operation rules approved by the Markets Committee to incorporate the
Bid Price for such Energy and any loss adjustments, if and as
appropriate under such market operation rules.
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 19
1.15 EHV PTF are PTF transmission lines which are operated at 230 kV or
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above and related PTF facilities, including transformers which link
other EHV PTF facilities, but do not include transformers which step
down from 230 kV or a higher voltage to a voltage below 230 kV.
1.16 Electrical Load (in Kilowatts) of a Participant during any particular
----------------
hour is the total during such hour (eliminating any distortion arising
out of (i) Interchange Transactions, or (ii) transactions across the
system of such Participant, or (iii) deliveries between Entities
constituting a single Participant, or (iv) other electrical losses, if
and as appropriate), of
(a) kilowatthours provided by such Participant to its retail
customers for consumption, plus
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(b) kilowatthours of use by such Participant, plus
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(c) kilowatthours of electrical losses and unaccounted for use by
the Participant on its system, plus
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Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇
(▇) kilowatthours used by such Participant for pumping Energy for
its Entitlements in pumped storage hydroelectric generating
facilities, plus
----
(e) kilowatthours delivered by such Participant to Non-Participants.
The Electrical Load of a Participant may be calculated in any
reasonable manner which substantially complies with this definition.
1.17 Eligible Customer is the following: (i) Any Participant that is
------------------
engaged, or proposes to engage, in the wholesale or retail electric
power business is an Eligible Customer under the Tariff. (ii) Any
electric utility (including any power marketer), Federal power
marketing agency, or any other entity generating electric energy for
sale or for resale is an Eligible Customer under the Tariff. Electric
energy sold or produced by such entity may be electric energy produced
in the United States, Canada or Mexico. However, with respect to
transmission service that the Commission is prohibited from ordering by
Section 212(h) of the Federal Power Act, such entity is eligible only
if the service is provided pursuant to a state requirement that the
Transmission Provider with which that entity is directly interconnected
offer the unbundled transmission service, or pursuant to a
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 21
voluntary offer of such service by the Transmission Provider with which
that entity is directly interconnected. (iii) Any end user taking or
eligible to take unbundled transmission service pursuant to a state
requirement that the Transmission Provider with which that end user is
directly interconnected offer the transmission service, or pursuant to
a voluntary offer of such service by the Transmission Provider with
which that end user is directly interconnected, is an Eligible Customer
under the Tariff.
1.17A End User Participant is a Participant which is a consumer of
----------------------
electricity in the NEPOOL Control Area that generates or purchases
electricity primarily for its own consumption or a non-profit group
representing such consumers.
1.18 Energy is power produced in the form of electricity, measured in
------
kilowatthours or megawatthours.
1.19 Energy Entitlement is (i) a right to receive Energy under a System
-------------------
Contract or a Firm Contract in accordance with Section 14.7(a), or (ii)
a right to receive all or a portion of the electric output of a
generating unit or units to which an Entity is entitled as an owner
(either sole or in common) or as a purchaser
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 22
pursuant to a Unit Contract, reduced by (iii) any portion thereof which
----------
such Entity is selling pursuant to a Unit Contract. An Energy
Entitlement in a generating unit or units may, but need not, be
combined with any other Entitlements relating to such generating unit
or units and may be transferred separately from the related Installed
Capability Entitlement, Operating Reserve Entitlements, or AGC
Entitlement.
1.20 Entitlement is an Installed Capability Entitlement, Energy Entitlement,
-----------
Operating Reserve Entitlement, or AGC Entitlement. When used in the
plural form, it may be any or all such Entitlements or combinations
thereof, as the context requires.
1.21 Entity is any person or organization whether the United States of
------
America or Canada or a state or province or a political subdivision
thereof or a duly established agency of any of them, a private
corporation, a partnership, an individual, an electric cooperative or
any other person or organization recognized in law as capable of owning
property and contracting with respect thereto that is either:
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(▇) engaged in the electric power business (the generation and/or
transmission and/or distribution of electricity for
consumption by the public or the purchase, as a principal or
broker, of Installed Capability, Energy, Operating Reserve,
and/or AGC for resale); or
(b) a consumer of electricity in the NEPOOL Control Area that
generates or purchases electricity primarily for its own
consumption or a non-profit group representing such consumers.
1.22 Excepted Transaction is a transaction specified in Section 25 of the
---------------------
Tariff for the applicable period specified in that Section, or in
Sections 25A and 25B of the Tariff.
1.23 [Deleted.]
1.24 Facilities Study is an engineering study conducted pursuant to this
-----------------
Agreement or the Tariff by the System Operator and/or one or more
affected Participants to determine the required modifications to the
NEPOOL Transmission System,
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 24
including the cost and scheduled completion date for such
modifications, that will be required to provide a requested
transmission service or interconnection.
1.25 Firm Contract is any contract, other than a Unit Contract, for the
--------------
purchase of Installed Capability, Energy, Operating Reserves, and/or
AGC, pursuant to which the purchaser's right to receive such Installed
Capability, Energy, Operating Reserves, and/or AGC is subject only to
the supplier's inability to make deliveries thereunder as the result of
events beyond the supplier's reasonable control.
1.26 First Effective Date is March 1, 1997.
--------------------
1.27 Good Utility Practice shall mean any of the practices, methods, and
----------------------
acts engaged in or approved by a significant portion of the electric
utility industry during the relevant time period, or any of the
practices, methods, and acts which, in the exercise of reasonable
judgement 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 limited to a
single, optimum
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 25
practice, method or act to the exclusion of others, but rather is
intended to include acceptable practices, methods, or acts generally
accepted in the region.
1.28 HQ Contracts are the HQ Interconnection Agreement, the HQ Phase I
-------------
Energy Contract, and the HQ Phase II Firm Energy Contract.
1.29 HQ Energy Banking Agreement is the Energy Banking Agreement entered
-----------------------------
into on March 21, 1983 by Hydro-Quebec, the Participants, New England
Electric Transmission Corporation and Vermont Electric Transmission
Company, Inc., as it may be amended from time to time.
1.30 HQ Interconnection is the United States segment of the transmission
-------------------
interconnection which connects the systems of Hydro-Quebec and the
Participants. "Phase I" is the United States portion of the 450 kV HVDC
transmission line from a terminal at the Des Cantons Substation on the
Hydro-Quebec system near Sherbrooke, Quebec to a terminal having an
approximate rating of 690 MW at a substation at the ▇▇▇▇▇▇▇▇▇
Generating Station on the Connecticut River. "Phase II" is the United
States portion of the facilities required to increase to approximately
2000 MW the transfer capacity of the HQ
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 26
Interconnection, including an extension of the HVDC transmission line
from the terminus of Phase I at the ▇▇▇▇▇▇▇▇▇ Station through New
Hampshire to a terminal at the ▇▇▇▇▇ ▇▇▇▇ Substation in Massachusetts.
The HQ Interconnection does not include any PTF facilities installed or
modified to effect reinforcements of the New England AC transmission
system required in connection with the HVDC transmission line and
terminals.
1.31 HQ Interconnection Agreement is the Interconnection Agreement entered
-----------------------------
into on March 21, 1983 by Hydro-Quebec and the Participants, as it may
be amended from time to time.
1.32 HQ Interconnection Capability Credit of a Participant for a month
---------------------------------------
during the Base Term (as defined in Section 1.38) of the HQ Phase II
Firm Energy Contract is the sum in Kilowatts of (1)(a) the
Participant's percentage share, if any, of the HQ Phase I Transfer
Capability times (b) the HQ Phase I Transfer Credit, plus (2)(a) the
----
Participant's percentage share, if any, of the HQ Phase II Transfer
Capability, times (b) the HQ Phase II Transfer Credit. The Participants
-----
Committee shall establish appropriate HQ Interconnection Capability
Credits to apply for a Participant which has such a percentage share
(i) during an
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FERC Electric Rate Schedule No. 5, Original Revised Sheet ▇▇. ▇▇
▇▇▇▇▇▇▇▇▇ ▇▇ ▇▇▇ ▇▇ ▇▇▇▇▇ ▇▇ Firm Energy Contract, and (ii) following
the expiration of the HQ Phase II Firm Energy Contract.
1.33 HQ Interconnection Transfer Capability is the transfer capacity of the
---------------------------------------
HQ Interconnection under normal operating conditions, as determined in
accordance with Good Utility Practice. The "HQ Phase I Transfer
Capability" is the transfer capacity under normal operating conditions,
as determined in accordance with Good Utility Practice, of the Phase I
terminal facilities as determined initially as of the time immediately
prior to Phase II of the Interconnection first being placed in service,
and as adjusted thereafter only to take into account changes in the
transfer capacity which are independent of any effect of Phase II on
the operation of Phase I. The "HQ Phase II Transfer Capability" is the
difference between the HQ Interconnection Transfer Capability and the
HQ Phase I Transfer Capability. Determinations of, and any adjustment
in, transfer capacity shall be made by the Markets Committee in
accordance with a schedule consistent with that followed by it in its
determination of the Winter Capability and Summer Capability of
generating units.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 28
1.34 HQ Net Interconnection Capability Credit of a Participant at a
--------------------------------------------
particular time is its HQ Interconnection Capability Credit at the time
in Kilowatts, minus a number of Kilowatts equal to (1) the percentage
-----
of its share of the HQ Interconnection Transfer Capability committed or
used by it for an "Entitlement Transaction" at the time under the HQ
Use Agreement, times (2) its HQ Interconnection Capability Credit for
-----
the current month.
1.35 HQ Phase I Energy Contract is the Energy Contract entered into on March
--------------------------
21, 1983 by Hydro-Quebec and the Participants, as it may be amended
from time to time.
1.36 HQ Phase I Percentage is the percentage of the total HQ Interconnection
---------------------
Transfer Capability represented by the HQ Phase I Transfer Capability.
1.37 HQ Phase I Transfer Credit is 60/69 of the HQ Phase I Transfer
-----------------------------
Capability, or such other fraction of the HQ Phase I Transfer
Capability as the Participants Committee may establish.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 29
1.38 HQ Phase II Firm Energy Contract is the Firm Energy Contract dated as
---------------------------------
of October 14, 1985 between Hydro-Quebec and certain of the
Participants, as it may be amended from time to time. The "Base Term"
of the HQ Phase II Firm Energy Contract is the period commencing on the
date deliveries were first made under the Contract and ending on August
31, 2000.
1.39 HQ Phase II Gross Transfer Responsibility of a Participant for any
-------------------------------------------
month during the Base Term of the HQ Phase II Firm Energy Contract (as
defined in Section 1.38) is the number in Kilowatts of (a) the
Participant's percentage share, if any, of the HQ Phase II Transfer
Capability for the month times (b) the HQ Phase II Transfer Credit.
-----
Following the Base Term of the HQ Phase II Firm Energy Contract, and
again following the expiration of the HQ Phase II Firm Energy Contract,
the Participants Committee shall establish an appropriate HQ Phase II
Gross Transfer Responsibility that shall remain in effect concurrently
with the HQ Interconnection Capability Credit.
1.40 HQ Phase II Net Transfer Responsibility of a Participant for any month
is its HQ Phase II Gross Transfer Responsibility for the month minus a
number of Kilowatts equal to (1) the highest percentage of its share of
--------
the HQ
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 30
Interconnection Transfer Capability committed or used by it on any day
of the month for an "Entitlement Transaction" under the HQ Use
Agreement, times (2) its HQ Phase II Gross Transfer Responsibility for
-----
the month.
1.41 HQ Phase II Percentage is the percentage of the total HQ
--------------------------
Interconnection Transfer Capability represented by the HQ Phase II
Transfer Capability.
1.42 HQ Phase II Transfer Credit is 90/131 of the HQ Phase II Transfer
-----------------------------
Capability, or such other fraction of the HQ Phase II Transfer
Capability as the Participants Committee may establish.
1.43 HQ Use Agreement is the Agreement with Respect to Use of Quebec
-----------------
Interconnection dated as of December 1, 1981 among certain of the
Participants, as amended and restated as of September 1, 1985 and as it
may be further amended from time to time.
1.44 Installed Capability of an electric generating unit or combination of
---------------------
units during the Winter Period is the Winter Capability of such unit or
units and during the Summer Period is the Summer Capability of such
unit or units.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 31
1.45 Installed Capability Entitlement is (a) the right to all or a portion
----------------------------------
of the Installed Capability of a generating unit or units to which an
Entity is entitled as an owner (either sole or in common) or as a
purchaser pursuant to a Unit Contract, (b) reduced by any portion
------- --
thereof which such Entity is selling pursuant to a Unit Contract, and
(c) further reduced or increased, as appropriate, to recognize rights
--------------------
to receive or obligations to supply Installed Capability pursuant to
Firm Contracts or System Contracts in accordance with Section 14.7(a).
An Installed Capability Entitlement relating to a unit or units may,
but need not, be combined with any other Entitlements relating to such
generating unit or units and may be transferred separately from the
related Energy Entitlement, Operating Reserve Entitlements, or AGC
Entitlement.
1.46 Installed Capability Responsibility * of a Participant for any month is
-----------------------------------
the number of Kilowatts determined in accordance with Section 12.2.
1.47 Installed System Capability of a Participant at a particular time is
-----------------------------
(1) the sum of such Participant's Installed Capability Entitlements
plus (2) its HQ Net Interconnection Capability Credit at the time.
----
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 32
1.48 Interchange Transactions are transactions deemed to be effected under
-------------------------
Section 12 of the Prior NEPOOL Agreement prior to the Second Effective
Date, and transactions deemed to be effected under Section 14 of this
Agreement on and after the Second Effective Date.
1.49 Internal Point-to-Point Service is the transmission service by that
---------------------------------
name provided pursuant to Section 19 of the Tariff.
1.50 Interruption is a reduction in non-firm transmission service due to
------------
economic reasons pursuant to Section 28.7 of the Tariff, other than a
reduction which results from a failure to dispatch a generating
resource, including a contract, used in a transaction requiring In
Service or Through or Out Service which is out of merit order.
1.51 ISO is the Independent System Operator which is responsible for the
---
continued operation of the NEPOOL Control Area from the NEPOOL control
center and the administration of the Tariff, subject to regulation by
the Commission.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 33
1.52 Kilowatt is a kilowatthour per hour.
--------
1.52A Liaison Committee is the committee whose responsibilities are specified
-----------------
in Section 11C.
1.53 Load * (in Kilowatts) of a Participant during any particular hour is
----
the total during such hour (eliminating any distortion arising out of
(i) Interchange Transactions, or (ii) transactions across the system of
such Participant, or (iii) deliveries between Entities constituting a
single Participant, or (iv) other electrical losses, if and as
appropriate) of
(a) kilowatthours provided by such Participant to its retail
customers for consumption (excluding any kilowatthours which
may be classified as interruptible under market operation
rules approved by the Markets Committee), plus
----
(b) kilowatthours delivered by such Participant pursuant to Firm
Contracts to its wholesale customers for resale, plus
----
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 34
(c) kilowatthours of use by such Participant, exclusive of use by
such Participant for the operation and maintenance of its
generating unit or units, plus
----
(d) kilowatthours of electrical losses and unaccounted for use by
the Participant on its system.
The Load of a Participant may be calculated in any reasonable manner
which substantially complies with this definition.
For the purposes of calculating a Participant's Annual Peak, Adjusted
Monthly Peak, Adjusted Annual Peak and Monthly Peak, the Load of a
Participant shall be adjusted to eliminate any distortions resulting
from voltage reductions. In addition, upon the request of any
Participant, the Markets Committee shall make, or supervise the making
of, appropriate adjustments in the computation of Load for the purposes
of calculating any Participant's Annual Peak, Adjusted Monthly Peak,
Adjusted Annual Peak and Monthly Peak to eliminate any distortions
resulting from emergency load curtailments which would significantly
affect the Load of any Participant.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 35
1.54 Local Network is the transmission facilities constituting a local
--------------
network identified on Attachment E to the Tariff, and any other local
network or change in the designation of a Local Network as a Local
Network which the Participants Committee may designate or approve from
time to time. The Participants Committee may not unreasonably withhold
approval of a request by a Participant that it effect such a change or
designation.
1.55 Local Network Service is the service provided, under a separate tariff
---------------------
or contract, by a Participant that is a Transmission Provider to
another Participant, or other entity connected to the Transmission
Provider's Local Network to permit the other Participant or entity to
efficiently and economically utilize its resources to serve its load.
1.56 Lower Voltage PTF are all PTF facilities other than EHV PTF.
-----------------
1.57 Market Products are Installed Capability, Operable Capability, Energy,
---------------
each category of Operating Reserve and AGC.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 36
1.57A Market Rules are the system rules and operating procedures adopted
-------------
pursuant to the System Operator Agreement in connection with the
administration of the NEPOOL Market.
1.58 [Deleted.]
1.58A Markets Committee is the committee whose responsibilities are specified
-----------------
in Section 10 and which may have additional responsibilities under a
proper delegation of authority by the Participants Committee. To the
extent practicable, references in the Agreement to the Markets
Committee shall include the prior Regional Market Operations Committee
as the predecessor of the Markets Committee.
1.59 Monthly Peak of a Participant for a month is the maximum Adjusted Load
------------
of the Participant during any hour in the month.
1.60 NEPOOL is the New England Power Pool, the power pool created under and
------
governed by this Agreement, and the Entities collectively participating
in the New England Power Pool as Participants.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 37
1.61 NEPOOL Control Area is the integrated electric power system to which a
-------------------
common Automatic Generation Control scheme and various operating
procedures are applied by or under the supervision of the System
Operator in order to:
(i) match, at all times, the power output of the
generators within the electric power system and
capacity and Energy purchased from entities outside
the electric power system, with the load within the
electric power system;
(ii) maintain scheduled interchange with other
interconnected systems, within the limits of Good
Utility Practice;
(iii) maintain the frequency of the electric power system
within reasonable limits in accordance with Good
Utility Practice and the criteria of the NPCC and
NERC; and
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 38
(iv) provide sufficient generating capacity to maintain
operating reserves in accordance with Good Utility
Practice.
1.62 NEPOOL Installed Capability at any particular time is the sum of the
---------------------------
Installed System Capabilities of all Participants at such time.
1.63 NEPOOL Installed Capability Responsibility for any month is the sum of
-------------------------------------------
the Installed Capability Responsibilities of all Participants during
that month.
1.64 NEPOOL Objective Capability for any year or period during a year is the
---------------------------
minimum NEPOOL Installed Capability, treating the reliability benefits
of the HQ Interconnection as Installed Capability, as established by
the Participants Committee, required to be provided by the Participants
in aggregate for the period to meet the reliability standards
established by the Participants Committee pursuant to Section 7.5(e).
1.64A NEPOOL Market is the market for electric energy, capacity and certain
-------------
ancillary services within the NEPOOL Control Area.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 39
1.64B NEPOOL System Rules are the Market Rules, the NEPOOL Information Policy
-------------------
and any other system rules for the operation of the System and
administration of the NEPOOL Market, the NEPOOL Agreement and the
NEPOOL Tariff.
1.64C NERC is the North American Electric Reliability Council.
----
1.65 New Unit is an electric generating unit (including a unit or units
--------
owned by a Non-Participant in which a Participant has an Entitlement
under a Unit Contract) first placed into commercial operation after May
1, 1987 (or, in the case of a unit or units owned by a Non-Participant,
in which a Participant's Unit Contract Entitlement became effective
after May 1, 1987) and not listed on Exhibit B to the Prior NEPOOL
Agreement.
1.66 Non-Participant is any entity which is not a Participant.
---------------
1.66A NPCC is the Northeast Power Coordinating Council.
----
1.66B OASIS is the Open Access Same-Time Information System of the System
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Operator.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 40
1.67 Operable Capability of an electric generating unit or units in any hour
-------------------
is the portion of the Installed Capability of the unit or units which
is operating or available to respond within an appropriate period (as
identified in market operation rules approved by the Markets Committee)
to the System Operator's call to meet the Energy and/or Operating
Reserve and/or AGC requirements of the NEPOOL Control Area during a
Scheduled Dispatch Period or is available to respond within an
appropriate period to a schedule submitted by a Participant for the
hour in accordance with market operation rules approved by the Markets
Committee.
1.68 [Deleted].
1.69 [Deleted].
1.70 [Deleted].
1.71 Operating Reserve is any or a combination of 10-Minute Spinning
------------------
Reserve, 10-Minute Non-Spinning Reserve, and 30-Minute Operating
Reserve, as the context requires.
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1.72 Operating Reserve Entitlement is (a) the right to all or a portion of
-------------------------------
the Operating Reserve of any category which can be provided by a
generating unit or units to which an Entity is entitled as an owner
(either sole or in common) or as a purchaser pursuant to a Unit
Contract, (b) reduced by any portion thereof which such Entity is
----------
selling pursuant to a Unit Contract, and (c) further reduced or
-----------
increased, as appropriate, to recognize rights to receive or
---------
obligations to supply Operating Reserve of that category pursuant to
Firm Contracts or System Contracts in accordance with Section 14.7(a).
An Operating Reserve Entitlement in any category relating to a
generating unit or units may, but need not, be combined with any other
Entitlements relating to such generating unit or units and may be
transferred separately from the other categories of Operating Reserve
Entitlements related to such unit or units and from the related
Installed Capability Entitlement, Energy Entitlement, or AGC
Entitlement.
1.73 Other HQ Energy is Energy purchased under the HQ Phase I Energy
-----------------
Contract which is classified as "Other Energy" under that contract.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 42
1.74 Participant is an eligible Entity (or group of Entities which has
-----------
elected to be treated as a single Participant pursuant to Section 4.1)
which is a signatory to this Agreement and has become a Participant in
accordance with Section 3.1 until such time as such Entity's status as
a Participant terminates pursuant to Section 21.2.
1.74A Participants Committee is the committee whose responsibilities are
-----------------------
specified in Section 7. To the extent applicable, references in the
Agreement to the Participants Committee shall include the prior
Management Committee or Executive Committee as the predecessor of the
Participants Committee.
1.75 Pool-Planned Facility is a generation or transmission facility
---------------------
designated as "pool-planned" pursuant to Section 18.1.
1.76 Pool-Planned Unit is one of the following units: New Haven Harbor Unit
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1 (Coke Works), Mystic ▇▇▇▇ ▇, ▇▇▇▇▇ ▇▇▇▇ ▇, ▇▇▇▇▇▇ ▇▇▇▇ ▇, ▇▇▇▇▇ ▇▇▇▇
▇, ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇ ▇, 1A, 1B, 1C, 2A and 2B, Millstone ▇▇▇▇ ▇,
▇▇▇▇▇▇▇▇ ▇▇▇▇ ▇ and Waters River Unit 2 (to the extent of 7 megawatts
of its Summer Capability and 12 megawatts of its Winter Capability).
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 43
1.77 Power Year is (i) the period of twelve (12) months commencing on
-----------
November 1, in each year to and including 1997; (ii) the period of
seven (7) months commencing on November 1, 1998; and (iii) the period
of twelve (12) months commencing on June 1, 1999 and each June 1
thereafter.
1.78 Prior NEPOOL Agreement is the NEPOOL Agreement as in effect on
----------------------
December 1, 1996.
1.79 Proxy Unit is a hypothetical electric generating unit which possesses a
----------
Winter Capability, equivalent forced outage rate, annual maintenance
outage requirement, and seasonal derating determined in accordance with
Section 12.2(a)(2).
1.80 PTF are the pool transmission facilities defined in Section 15.1, and
---
any other new transmission facilities which the Reliability Committee
determines, in accordance with criteria approved by the Participants
Committee and subject to review by the System Operator, should be
included in PTF.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 44
1.80A Publicly Owned Entity is an Entity which is either a municipality or an
---------------------
agency thereof, or a body politic and public corporation created under
the authority of one of the New England states, authorized to own,
lease and operate electric generation, transmission or distribution
facilities, or an electric cooperative, or an organization of any such
entities.
1.81 [Deleted.]
1.82 Regional Network Service is the transmission service by that name
--------------------------
provided pursuant to Section 14 of the Tariff.
1.83 [Deleted.]
1.84 [Deleted.]
1.85 Related Person of a Participant is either (i) a corporation,
----------------
partnership, business trust or other business organization 10% or more
of the stock or equity interest in which is owned directly or
indirectly by, or is under common control with, the Participant, or
(ii) a corporation, partnership, business trust or other
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business organization which owns directly or indirectly 10% or more of
the stock or other equity interest in the Participant, or (iii) a
corporation, partnership, business trust or other business organization
10% or more of the stock or other equity interest in which is owned
directly or indirectly by a corporation, partnership, business trust or
other business organization which also owns 10% or more of the stock or
other equity interest in the Participant.
1.85A Reliability Committee is the committee whose responsibilities are
----------------------
specified in Section 8 and which may have additional responsibilities
under a proper delegation of authority by the Participants Committee.
To the extent practicable, references in the Agreement to the
Reliability Committee shall include the prior Market Reliability
Planning Committee or the prior Regional Transmission Planning
Committee as the predecessor of the Reliability Committee.
1.85B Reliability Standards are those rules, standards, procedures and
----------------------
protocols approved by the Participants Committee pursuant to Section
7.3, or its predecessors, that set forth specifics concerning how the
System Operator shall
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 46
exercise its authority over matters pertaining to the reliability of
the bulk power system.
1.85C Review Board is the board whose responsibilities are specified in
------------
Section 11A.
1.86 Scheduled Dispatch Period is the shortest period for which the System
---------------------------
Operator performs and publishes a projected dispatch schedule based on
projected Electrical Loads and actual Bid Prices and
Participant-directed schedules for resources submitted in accordance
with Section 14.2(d).
1.87 Second Effective Date is May 1, 1999.
---------------------
1.87A Sector has the meaning specified in Section 6.2.
------
1.88 Service Agreement is the initial agreement and any amendments or
------------------
supplements thereto entered into by the Transmission Customer and the
System Operator for service under the Tariff.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 47
1.89 Summer Capability of an electric generating unit or combination of
------------------
units is the maximum dependable load carrying ability in Kilowatts of
such unit or units (exclusive of capacity required for station use)
during the Summer Period, as determined by the Markets Committee in
accordance with Section 10.4(d).
1.90 Summer Period in each Power Year is the four-month period from June
-------------
through September.
1.91 System Contract is any contract for the purchase of Installed
-----------------
Capability, Energy, Operating Reserves and/or AGC, other than a Unit
Contract or Firm Contract, pursuant to which the purchaser is entitled
to a specifically determined or determinable amount of such Installed
Capability, Energy, Operating Reserves and/or AGC.
1.92 System Impact Study is an assessment pursuant to Part V, VI or VII of
-------------------
the Tariff of (i) the adequacy of the NEPOOL Transmission System to
accommodate a request for the interconnection of a new or materially
changed generating unit or a new or materially changed interconnection
to another Control Area or new Regional Network Service, Internal
Point-to-Point Service
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or Through or Out Service, and (ii) whether any additional costs may be
required to be incurred in order to provide the interconnection or
transmission service.
1.93 System Operator is the central dispatching agency provided for in this
---------------
Agreement which has responsibility for the operation of the NEPOOL
Control Area from the NEPOOL control center and the administration of
the Tariff. The System Operator is ISO New England Inc., unless
replaced by a substitute independent system operator, a regional
transmission organization or an entity that forms a part of a regional
transmission organization that has, in each case, been approved by the
Commission.
1.94 Target Availability Rate is the assumed availability of a type of
--------------------------
generating unit utilized by the Participants Committee in its
determination pursuant to Section 7.5(e) of NEPOOL Objective
Capability.
1.95 Tariff is the NEPOOL Open Access Transmission Tariff set out in
------
Attachment B to the Agreement, as modified and amended from time to
time.
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1.95A Tariff Committee is the committee whose responsibilities are specified
----------------
in Section 9 and which may have additional responsibilities under a
proper delegation of authority by the Participants Committee. To the
extent practicable, references in the Agreement to the Tariff Committee
shall include the prior Regional Transmission Operations Committee as
the predecessor of the Tariff Committee.
1.95B Technical Committees are the Reliability Committee, the Tariff
--------------------
Committee and the Markets Committee.
1.96 Third Effective Date is the date on which all Interchange Transactions
--------------------
shall begin to be effected on the basis of separate Bid Prices for each
type of Entitlement. The Third Effective Date shall be fixed at the
discretion of the Participants Committee to occur within six months to
one year after the Second Effective Date, or at such later date as the
Commission may fix on its own or pursuant to a request by the
Participants Committee.
1.97 Through or Out Service is the transmission service by that name
------------------------
provided pursuant to Section 18 of the Tariff.
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1.98 Transition Period is the six-year period commencing on March 1, 1997.
-----------------
1.99 Transmission Customer is any Eligible Customer that (i) is a
-----------------------
Participant which is not required to sign a Service Agreement with
respect to a service to be furnished to it in accordance with Section
48 of the Tariff or (ii) executes, on its own behalf or through its
Designated Agent, a Service Agreement, or (iii) requests in writing, on
its own behalf or through its Designated Agent, that NEPOOL file with
the Commission a proposed unexecuted Service Agreement in order that
the Eligible Customer may receive transmission service under the
Tariff.
1.99A Transmission Owner is a Transmission Provider which makes its
-------------------
PTF available under the Tariff and owns a Local Network listed in
Attachment E to the Tariff which is not a Publicly Owned Entity,
including any affiliate of a Transmission Provider that owns
transmission facilities that are made available as part of the
Transmission Provider's Local Network; provided that if a Transmission
Provider is not listed in Attachment E to the Tariff on May 10, 1999,
the Transmission Provider must also (1) own, or lease with rights
equivalent to ownership, PTF with an original capital investment in
its PTF as of the end of the most recent year for which figures are
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available from annual reports submitted to the Commission in Form 1
or any similar form containing comparable annualized data of at
least $30,000,000, and (2) provide transmission service to
non-affiliated customers pursuant to an open access transmission tariff
on file with the Commission.
1.99B Transmission Owners Committee is the committee whose responsibilities
------------------------------
are specified in Section 11B.
1.100 Transmission Provider is the Participants, collectively, which own PTF
---------------------
and are in the business of providing transmission service or provide
service under a local open access transmission tariff, or in the case
of a state or municipal or cooperatively-owned Participant, would be
required to do so if requested pursuant to the reciprocity requirements
specified in the Tariff, or an individual such Participant, whichever
is appropriate.
1.101 Unit Contract is a purchase contract pursuant to which the purchaser is
-------------
in effect currently entitled either (i) to a specifically determined or
determinable portion of the Installed Capability of a specific electric
generating unit or units, or (ii) to a specifically determined or
determinable amount of Energy, Operating
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Reserves and/or AGC if, or to the extent that, a specific electric
generating unit or units is or can be operated.
1.102 [Deleted.]
1.103 Winter Capability of an electric generating unit or combination of
------------------
units is the maximum dependable load carrying ability in Kilowatts of
such unit or units (exclusive of capacity required for station use)
during the Winter Period, as determined by the Markets Committee in
accordance with Section 10.4(d).
1.104 Winter Period in each Power Year is (i) the seven-month period from
--------------
November through May and the month of October for the Power Year
commencing on November 1 in 1997 or a prior Power Year; (ii) the
seven-month period from November through May for the Power Year
commencing on November 1, 1998; and (iii) the eight-month period from
October through May for the Power Year commencing on June 1, 1999 and
each June 1 thereafter.
1.105 10-Minute Spinning Reserve in an hour are the following resources that
--------------------------
are designated by the System Operator in accordance with market
operation rules,
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 53
as approved by the Markets Committee, to be available to provide
contingency protection for the system: (1) the Kilowatts of Operable
Capability of an electric generating unit or units that are
synchronized to the system, unloaded during all or part of the hour,
and capable of providing contingency protection by loading to supply
Energy immediately on demand, increasing the Energy output over no more
than ten minutes to the full amount of generating capacity so
designated, and sustaining such Energy output for so long as the System
Operator determines in accordance with market operation rules approved
by the Markets Committee is necessary; and (2) any portion of the
Electrical Load of a Participant that the System Operator is able to
verify as capable of providing contingency protection by immediately on
demand reducing Energy requirements within ten minutes and maintaining
such reduced Energy requirements for so long as the System Operator
determines in accordance with market operation rules approved by the
Markets Committee is necessary.
1.106 10-Minute Non-Spinning Reserve in an hour are the following resources
--------------------------------
that are designated by the System Operator in accordance with market
operation rules, as approved by the Markets Committee, to be available
to provide contingency protection for the system: (1) the Kilowatts of
Operable Capability of an electric
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generating unit or units that are not synchronized to the system,
during all or part of the hour, and any portion of a Participant's
Electrical Load that the System Operator is able to verify as capable
of providing contingency protection by loading to supply Energy within
ten minutes to the full amount of generating capacity so designated,
and sustaining such Energy output reducing Energy requirements within
ten minutes and maintaining such reduced Energy requirements for so
long as the System Operator determines in accordance with market
operation rules approved by the Markets Committee is necessary; (2) any
portion of a Participant's Electrical Load that the System Operator is
able to verify as capable of providing contingency protection by
reducing Energy requirements within ten minutes and maintaining such
reduced Energy requirements for so long as the System Operator
determines in accordance with market operations rules approved by the
Markets Committee is necessary; and (3) any other resources and
requirements that were able to be designated for the hour as 10-Minute
Spinning Reserve but were not designated by the System Operator for
such purpose in the hour.
1.107 30-Minute Operating Reserve in an hour are the following resources that
---------------------------
are designated by the System Operator in accordance with market
operation rules,
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 55
as approved by the Markets Committee, to be available to provide
contingency protection for the system: (1) the Kilowatts of Operable
Capability of an electric generating unit or units that are any portion
of the Electrical Load of a Participant that the System Operator is
able to verify as capable of providing contingency protection by
reducing Energy requirements within thirty minutes and maintaining such
reduced Energy requirements for so long as the System Operator
determines in accordance with market operation rules approved by the
Markets Committee is necessary; (2) any portion of the Electrical Load
of a Participant that the System Operator is able to verify as capable
of providing contingency protection by reducing Energy requirements
within thirty minutes and maintaining such reduced Energy requirements
for so long as the System Operator determines in accordance with market
operation rules approved by the Markets Committee is necessary; and (3)
any other resources and requirements that were able to be designated
for the hour as 10-Minute Spinning Reserve or 10-Minute Non-Spinning
Reserve but were not designated by the System Operator for such
purposes in the hour.
1.108 [Deleted.]
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 56
1.109 Modification of Certain Definitions When a Participant Purchases a
------------------------------------------------------------------
Portion of Its Requirements from Another Participant Pursuant to Firm
---------------------------------------------------------------------
Contract
--------
Definitions marked by an asterisk (*) are modified as follows when a
Participant purchases a portion of its requirements of electricity from
another Participant pursuant to a Firm Contract:
(a) If the Firm Contract limits deliveries to a specifically
stated number of Kilowatts and requires payment of a demand
charge thereon (thus placing the responsibility for meeting
additional demands on the purchasing Participant):
(1) in computing the Adjusted Load of the purchasing
--------------
Participant, the Kilowatts received pursuant to such
Firm Contract shall be deemed to be the number of
Kilowatts specified in the Firm Contract; and
(2) in computing the Load of the supplying Participant,
----
the Kilowatts delivered pursuant to such Firm
Contract shall be deemed to be the number of
Kilowatts specified in the Firm Contract.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 57
(b) If the Firm Contract does not limit deliveries to a
specifically stated number of Kilowatts, but entitles the
Participant to receive such amounts of electricity as it may
require to supply its electric needs (thus placing the
responsibility for meeting additional demands on the supplying
Participant):
(1) the Installed Capability Responsibility of the
-----------------------------------
purchasing Participant shall be equal to the amount
--------
of its Installed Capability Entitlements;
(2) in computing the Adjusted Load of the purchasing
-------------
Participant, the Kilowatts received pursuant to such
Firm Contract shall be deemed to be a quantity Rl;
and
(3) in computing the Load of the supplying Participant,
----
the Kilowatts delivered pursuant to such Firm
Contract shall be deemed to be a quantity Rl.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 58
The quantity Rl equals (i) the Load of the purchasing
Participant less (ii) the amount of the purchasing
Participant's Installed Capability Entitlements multiplied by
a fraction X wherein:
-
Y
X is the maximum Load of the purchasing
Participant in the month, and
Y is the NEPOOL Installed Capability
Responsibility multiplied by the purchasing
Participant's fraction P determined pursuant
to Section 12.2(a)(1), computed as if the
Firm Contract did not exist.
Terms used in this Agreement that are not defined above, or in the
sections in which such terms are used, shall have the meanings
customarily attributed to such terms in the electric power industry in
New England.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 59
SECTION 2
PURPOSE; EFFECTIVE DATES
------------------------
2.1 Purpose. This Restated NEPOOL Agreement is intended to provide for a
-------
restructuring of the New England Power Pool by modifying the pool's
governance and market provisions to take account of a changed
competitive environment, by modifying the transmission responsibilities
of the Participants so that the pool will perform the functions of a
regional transmission group and provide service to Participants and
Non-Participants under a regional open access transmission tariff, and
by providing for the activation of the ISO and the execution of a
contract between the ISO and NEPOOL to define the ISO's
responsibilities.
2.2 Effective Dates; Transitional Provisions. The provisions of Parts One,
----------------------------------------
Two, Four and Five of this Agreement and the Tariff became effective on
the First Effective Date and replaced on the First Effective Date the
provisions of Sections 1-8, inclusive, 10, 11, 13, 14.2, 14.3, 14.4 and
16 of the Prior NEPOOL Agreement. The provisions of Sections 12.1(a),
12.2, 12.4 (as to Installed Capability only), 12.5 and 12.7(a) of this
Agreement became effective
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 60
on April 1, 1998 and replaced on such date the provisions of Section 9
of the Prior NEPOOL Agreement.
The effectiveness of the remaining Sections of this Restated NEPOOL
Agreement shall be delayed pending the preparation of implementing
criteria, rules and standards and computer programs. These Sections
became effective on the Second Effective Date and replaced on the
Second Effective Date the remaining provisions of the Prior NEPOOL
Agreement, which continued in effect until the Second Effective Date.
As provided in Section 14, certain portions of Section 14 which became
effective on the Second Effective Date will be superseded on the Third
Effective Date by other portions of Section 14.
SECTION 3
MEMBERSHIP
----------
3.1 Membership. Those Entities which are Participants in NEPOOL on the
----------
First Effective Date shall continue to be Participants.
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67269.43
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 61
Any other Entity may, upon compliance with such reasonable conditions
as the Participants Committee may prescribe, become a Participant by
depositing a counterpart of this Agreement as theretofore amended, duly
executed by it, with the Secretary of the Participants Committee,
accompanied by a certified copy of a vote of its board of directors, or
such other body or bodies as may be appropriate, duly authorizing its
execution and performance of this Agreement, and a check in payment of
the application fee described below.
Any such Entity which satisfies the requirements of this Section 3.1
shall become a Participant, and this Agreement shall become fully
binding and effective in accordance with its terms as to such Entity,
as of the first day of the second calendar month following its
satisfaction of such requirements; provided that an earlier or later
effective time may be fixed by the Participants Committee with the
concurrence of such Entity or by the Commission.
The application fee to be paid by each Entity seeking to become a
Participant shall be in addition to the annual fee provided by Section
19.1 and shall be $500 for an applicant which qualifies for membership
only as an End User
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Participant, and $5,000 for all other applicants, or such other amount
as may be fixed by the Participants Committee.
3.2 Operations Outside the Control Area. Subject to the reciprocity
---------------------------------------
requirements of the Tariff, if a Participant serves a Load, or has
rights in supply or demand-side resources or owns transmission and/or
distribution facilities, located outside of the NEPOOL Control Area,
such Load and resources shall not be included for purposes of
determining the Participant's rights, responsibilities and obligations
under this Agreement, except that the Participant's Entitlements in
facilities or its rights in demand side-resources outside the NEPOOL
Control Area shall be included in such determinations if, to the
extent, and while such Entitlements are used for retail or wholesale
sales within the NEPOOL Control Area or such Entitlements or rights are
designated by a Participant for purposes of meeting its obligations
under Section 12 of this Agreement.
3.3 Lack of Place of Business in New England. If and for so long as a
---------------------------------------------
Participant does not have a place of business located in one of the New
England states, the Participant shall be deemed to irrevocably (1)
submit to the jurisdiction of any Connecticut state court or United
States Federal court sitting in Connecticut (the
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state whose laws govern this Agreement) over any action or proceeding
arising out of or relating to this Agreement that is not subject to the
exclusive jurisdiction of the Commission, (2) agree that all claims
with respect to such action or proceeding may be heard and determined
in such Connecticut state court or Federal court, (3) waive any
objection to venue or any action or proceeding in Connecticut on the
basis of FORUM NON CONVENIENS, and (4) agree that service of process
may be made on the Participant outside Connecticut by certified mail,
postage prepaid, mailed to the Participant at the address of its member
on the Participants Committee as set out in the NEPOOL roster or at the
address of its principal place of business.
3.4 Obligation for Deferred Expenses. NEPOOL may provide for the deferral
---------------------------------
on the books of the Participants from time to time of capital or other
expenditures, and the recovery of the deferred expenses in subsequent
periods. Any Entity which becomes a Participant during the recovery
period for any such deferred expenses shall be obligated, together with
the continuing Participants, for its share of the current and deferred
expenses pursuant to Section 19.2.
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3.5 Financial Security. For an Entity applying to become a Participant or
-------------------
any continuing Participant that the Participants Committee reasonably
determines may fail to meet its financial obligations under the
Agreement, the Participants Committee may require reasonable credit
review procedures which shall be made in accordance with standard
commercial practices. In addition, the Participants Committee may
prescribe for such Entity or Participant a requirement that the Entity
or Participant provide and maintain in effect an irrevocable letter of
credit as security to meet its responsibilities and obligations under
the Agreement, or an alternative form of security proposed by the
Entity or Participant and acceptable to the Participants Committee and
consistent with commercial practices established by the Uniform
Commercial Code that protects the Participants against the risk of
non-payment.
SECTION 4
STATUS OF PARTICIPANTS
----------------------
4.1 Treatment of Certain Entities as Single Participant. All Entities
---------------------------------------------------
which are controlled by a single person (such as a corporation or a
business trust) which owns at least seventy-five percent of the voting
shares of, or equity interest in,
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each of them shall be collectively treated as a single Participant for
purposes of this Agreement, if they each elect such treatment. They are
encouraged to do so. Such an election shall be made in writing and
shall continue in effect until revoked in writing.
In view of the long-standing arrangements in Vermont, Vermont Electric
Power Company, Inc. and any other Vermont electric utilities which
elect in writing to be grouped with it shall be collectively treated as
a single Participant for purposes of this Agreement; provided, however,
that any Vermont electric utility which is a Publicly Owned Entity may
elect to join the Publicly Owned Entity Sector and be treated as a
member of that Sector for purposes of governance, annual fees and
NEPOOL expense allocation, without losing the benefits of single
Participant status for any other purpose under this Agreement.
4.2 Participants to Retain Separate Identities. The signatories to this
---------------------------------------------
Agreement shall not become partners by reason of this Agreement or
their activities hereunder, but as to each other and to third persons,
they shall be and remain independent contractors in all matters
relating to this Agreement. This Agreement shall not be construed to
create any liability on the part of any
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signatory to anyone not a party to this Agreement. Each signatory shall
retain its separate identity and, to the extent not limited hereby, its
individual freedom in rendering service to its customers.
SECTION 5
NEPOOL OBJECTIVES AND COOPERATION BY PARTICIPANTS
-------------------------------------------------
5.1 NEPOOL Objectives. The objectives of NEPOOL are, through joint
------------------
planning, central dispatching, cooperation in environmental matters and
coordinated construction, central dispatch by the System Operator of
the operation and coordinated maintenance of electric supply and
demand-side resources and transmission facilities, the provision of an
open access regional transmission tariff and the provision of a means
for effective coordination with other power pools and utilities
situated in the United States and Canada,
(a) to assure that the bulk power supply of the NEPOOL Control Area
conforms to proper standards of reliability;
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(b) to create and maintain open, non-discriminatory, competitive,
unbundled markets for Energy, capacity, and ancillary services
that function efficiently in a changing electric power
industry and have access to regional transmission at rates
that do not vary with distance;
(c) to attain maximum practicable economy, consistent with proper
standards of reliability and the maintenance of competitive
markets, in such bulk power supply; and
(d) to provide access to competitive markets within the NEPOOL
Control Area and to neighboring regions;
and to provide for equitable sharing of the resulting responsibilities,
benefits and costs.
5.2 Cooperation by Participants. In order to attain the objectives of
-----------------------------
NEPOOL set forth in Section 5.1, each Participant shall observe the
provisions of this Agreement in good faith, shall cooperate with all
other Participants and shall not either alone or in conjunction with
one or more other Entities take
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advantage of the provisions of this Agreement so as to harm another
Participant or to prejudice the position of any Participant in the
electric power business.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 69
PART TWO
GOVERNANCE
SECTION 6
COMMITTEE ORGANIZATION AND VOTING
---------------------------------
6.1 Principal Committees. There shall be four principal NEPOOL Committees
--------------------
(the "Principal Committees"), as follows:
(a) the Participants Committee which shall have the responsibilities
specified in Section 7;
(b) the Reliability Committee which shall have the responsibilities
specified in Section 8;
(c) the Tariff Committee which shall have the responsibilities
specified in Section 9; and
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(▇) the Markets Committee which shall have the responsibilities
specified in Section 10.
In addition, there shall be a Transmission Owners Committee and a
Liaison Committee, which shall have the responsibilities specified in
Sections 11B and 11C, respectively, and such other committees as may be
established from time to time by the Participants Committee.
6.2 Sector Representation. The members of each Principal Committee shall
----------------------
each belong to a single sector for voting purposes ("Sector"). Each
Participant shall be obligated to designate in a notice to the
Secretary of the Participants Committee a Sector that it or its Related
Persons is eligible to join and that it elects to join for purposes of
all of the Principal Committees. A Participant and its Related Persons
shall together be entitled to join only one Sector and shall have no
more than one vote on each Principal Committee.
The Sectors for each Principal Committee, the criteria for eligibility
for membership in each Sector and the minimum requirement which a
Participant
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must meet as a member of a Sector in order to appoint a voting member
of the Sector and Committee are as follows:
(a) a Generation Sector, which a Participant shall be eligible to
join if (i) it (A) owns or leases with rights equivalent to
ownership facilities for the generation of electric energy
that are located within the NEPOOL Control Area which are
currently in operation, or (B) has proposed generation for
operation within the NEPOOL Control Area either which has
received approvals under Sections 18.4 and/or 18.5 within the
past two years or for which completed environmental air or
environmental siting applications have been filed or permits
exist, and (ii) it is not a Publicly Owned Entity. Purchasing
all or a portion of the output of a generation facility shall
not be sufficient to qualify a Participant to join the
Generation Sector.
A Participant which joins the Generation Sector shall be
entitled but not required to designate an individual voting
member of each Principal Committee, and an alternate to the
member, if its operating or proposed generation facilities in
the NEPOOL Control Area have or will have,
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when placed in operation, an aggregate Winter Capability of at
least 15 MW.
A Participant which joins the Generation Sector but elects not
to or is not eligible to designate an individual voting
member, shall be represented by a group voting member and an
alternate to that member for each Principal Committee
(collectively, the "Generation Group Member"). The Generation
Group Member shall be appointed by a majority of the
Participants in the Generation Sector electing or required to
be represented by that member. The Generation Group Member
shall have the same percentage of the Sector vote as the
individual voting members designated by other Participants in
the Generation Sector which meet the 15 MW threshold and
designate an individual voting member. The Generation Group
Member shall be entitled to split his or her vote.
(b) a Transmission Sector, which a Participant shall be eligible
to join if it is a Transmission Provider and is not a Publicly
Owned Entity. Taking transmission service shall not be
sufficient to qualify a Participant to join the Transmission
Sector.
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A Participant which joins the Transmission Sector shall be
entitled to designate an individual voting member of each
Principal Committee, and an alternate to the member, if it
owns or leases with rights equivalent to ownership PTF with an
original capital investment in its PTF as of the end of the
most recent year for which figures are available from annual
reports submitted to the Commission in Form 1 or any similar
form containing comparable annualized data of at least
$30,000,000. A Transmission Provider with facilities which
were included as PTF prior to December 31, 1998 only pursuant
to clause (3) of the definition of PTF pursuant to Section
15.1 shall be entitled to designate an individual voting
member of each Principal Committee, and an alternate to the
member, whether or not PTF which it owns or leases with rights
equivalent to ownership which has an original capital
investment of at least $30,000,000, so long as such
Transmission Provider continues to own PTF.
A Participant which joins the Transmission Sector but which is
not entitled to designate an individual voting member of each
Principal
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Committee because (i) it, together with all of its Related
Persons, does not meet the $30,000,000 threshold or (ii) it no
longer owns PTF and it does not have a Related Person that is
entitled to designate an individual voting member for each
Principal Committee in another Sector, together with the other
Participants in the Transmission Sector which for the same
reasons are unable to designate an individual voting member,
shall be represented by a group voting member of each
Principal Committee (the "Transmission Group Member"), and an
alternate to that member. The Transmission Group Member and
alternate shall be appointed by a majority vote of all
Participants in the Transmission Sector required to be
represented by that Member. The Transmission Group Member
shall have the same percentage of the Sector vote as the
individual voting members designated by other Participants in
the Transmission Sector which meet the $30,000,000 threshold
unless and until the original capital investment in PTF of the
Participants represented by the Transmission Group Member
equals or exceeds twice the $30,000,000 threshold amount. If
the aggregate original capital investment in PTF equals or
exceeds twice the $30,000,000 threshold amount, the percentage
of the Sector votes assigned to the Transmission Group
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Member shall equal the number of full multiples of the
$30,000,000 threshold, provided that the Transmission Group
Member shall in no event be entitled to more than twenty-five
percent (25%) of the Sector vote. For example, if Participants
represented by the Transmission Group Member have an aggregate
original capital investment in PTF in the NEPOOL Control Area
totaling $70,000,000, the Transmission Group Member will have
the same percentage of such votes as two
($70,000,000/$30,000,000 Threshold = 2.33) individual voting
members designated by individual Participants, provided that
there are at least six other members in the Sector so the
Transmission Group Member does not have more than twenty-five
percent (25%) of the Transmission Sector vote. The
Transmission Group Member shall be entitled to split his or
her vote.
(c) a Supplier Sector, which a Participant shall be eligible to
join if (i) it engages in, or is licensed or otherwise
authorized by a state or federal agency with jurisdiction to
engage in, power marketing, power brokering or load
aggregation within the NEPOOL Control Area or it had been
engaged on and before December 31, 1998 solely in the
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distribution of electricity in the NEPOOL Control Area, and
(ii) it is not a Publicly Owned Entity. A Participant which
joins the Supplier Sector shall be entitled to designate a
voting member of each Principal Committee, and an alternate to
the member.
(d) a Publicly Owned Entity Sector, which all Participants which
are Publicly Owned Entities are eligible to join and shall
join, and which End User Participants are eligible to join if
there is not an activated End User Sector. A Participant which
joins the Publicly Owned Entity Sector shall be entitled to
designate a voting member of each Principal Committee, and an
alternate to the member, except for End User Participants
whose voting interests while they are in the Publicly Owned
Entity Sector are defined in Section 6.2(e) below.
(e) an End User Sector, which an End User Participant is eligible
to join. Participants which join the End User Sector shall be
entitled to designate a voting member of each Principal
Committee and an alternate to the member. Until there are at
least ten End User Participants, all End User Participants
shall be members of the Publicly Owned Entity Sector. So
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long as there are less than three End User Participants, the
End User Participants in the Publicly Owned Entity Sector
shall be represented on each Principal Committee by a single
voting member. At such time as there are at least three, but
less than ten, End User Participants, End User Participants
shall become a sub-sector of the Publicly Owned Entity Sector.
Such sub-sector shall have twenty percent (20%) of the
Publicly Owned Entity Sector's vote, and each End User
Participant shall be entitled to designate a voting member of
each Principal Committee, and an alternate to that member, and
each voting member shall be allocated a per capita share of
the sub-sector's vote. The End User Sector shall become fully
operational automatically as soon, and shall remain
operational so long as, there are at least ten End User
Participants.
The System Operator shall have the right to designate, by written
notice delivered to the Secretary of the appropriate Principal
Committee, a non-voting member and an alternate to each Principal
Committee. All Participants have the right to join and be a member of a
Sector. If a Participant ceases to be eligible to be a member of the
Sector which it previously joined and is not eligible to
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join another existing Sector other than the End User Sector, it shall
have the right to remain and vote in the Sector in which the
Participant is currently a member for up to one year. By the end of
such year, the NEPOOL Participants Committee shall make a filing with
the Commission pursuant to which the Participant can join another
Sector that either exists or is created pursuant to the NEPOOL
Participants Committee filing. Separate Sectors may be created, and the
membership of existing Sectors may be modified, by amendment of the
Agreement.
6.3 Appointment of Members and Alternates. A Participant or group of
-------------------------------------
Participants shall designate, by a written notice delivered to the
Secretary of the appropriate Committee, the voting member appointed by
it for the Committee and an alternate of the member. In the absence of
the member, the alternate shall have all the powers of the member,
including the power to vote. A Participant may change the Sector of
which it is a member. Other than for Sector changes required by
Section 6.4(c), a change in the Sector in which a Participant is a
member shall become effective beginning on the first annual meeting
of the Participants Committee following notice of such change.
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6.4 Term of Members. Each voting member of a Principal Committee shall hold
---------------
office until either (a) such member is replaced by the Participant or
group of Participants which appointed the member, or (b) the appointing
Participant ceases to be a Participant, or (c) the appointing
Participant (or its Related Person) is no longer eligible to be in the
Sector to which it belongs, but is eligible to join a different Sector.
Replacement of a member shall be effected by delivery by a Participant
or group of Participants of written notice of such replacement to the
Secretary of the appropriate Committee.
6.5 Regular and Special Meetings. Each Principal Committee shall hold its
----------------------------
annual meeting in December or January at such time and place as the
Chair shall designate and shall hold other meetings in accordance with
a schedule adopted by the Committee or at the call of the Chair. Five
or more voting members of a Principal Committee may call subject to the
notice provisions of Section 6.6 a special meeting of the Committee in
the event that the Chair fails to schedule such a meeting within three
business days following the Chair's receipt from such members of a
request specifying the subject matters to be acted upon at the meeting.
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6.6 Notice of Meetings. Written or electronic notice of each meeting of a
------------------
Principal Committee shall be given to each Participant, whether or not
such Participant is entitled to appoint an individual voting member of
the Committee, not less than three business days prior to the date of
the meeting in the case of the Technical Committees and five business
days prior to the date of the meeting for the Participants Committee.
A notice of meeting shall specify the principal subject matters
expected to be acted upon at the meeting. In addition, such notice
shall include, or specify internet location of, all draft resolutions
to be voted at the meeting (which draft resolutions may be subject to
amendment of intent but not subject matter during the meeting), and all
background materials deemed by the Chair or Secretary to be necessary
to the Committee to have an informed opinion on such matters. Motions
raised for which no draft resolutions or background materials have been
provided may not be acted upon at a meeting and shall be deferred to a
subsequent meeting which is properly noticed.
6.7 Attendance. Regular and special meetings may be conducted in person, by
----------
telephone, or other electronic means by means of which all persons
participating
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in the meeting can communicate in real time with each other. In order
to vote during the course of a meeting, attendance is required in
person or by telephone or other real time electronic means by a voting
member or its alternate or a duly designated agent who has been given,
in writing, the authority to vote for the member on all matters or on
specific matters in accordance with Section 6.12.
6.8 Quorum. All actions by a Principal Committee, other than a vote by the
------
Participants Committee by written ballot to amend the NEPOOL Agreement
or Tariff, shall be taken at a meeting at which the members in
attendance pursuant to Section 6.7 constitute a Quorum. A Quorum
requires the attendance by members which satisfy the Sector Quorum
requirements (as defined in Section 6.9) for a majority of the
activated Sectors. No action may be taken by a Principal Committee
unless a Quorum is present; provided, however, that if a Quorum is not
present, the voting members then present shall have the power to
adjourn the meeting from time to time until a quorum shall be present.
6.9 Voting Definitions. For purposes of this Section 6.9 and Sections 6.10,
------------------
6.11 and 6.13, the following terms shall have the following respective
meanings:
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(▇) Sector Voting Share: for each active Sector, is the quotient
-------------------
obtained by dividing one hundred percent (100%) by the number
of active Sectors. For example, if there are five active
Sectors, the Sector Voting Share of each of the Sectors is
twenty percent (20%). The aggregate Sector Voting Shares shall
equal one hundred percent 100%.
(b) Sector Quorum: for a Sector shall be the lesser of (i) fifty
--------------
percent (50%) or more (rounded to the next higher whole
number) of the voting members of the Sector, or (ii) five (5)
or more voting members of the Sector for the Participants
Committee or three (3) or more voting members of the Sector
for the Technical Committees.
(c) Member Fixed Voting Share: for a Committee voting member,
---------------------------
whether or not the member is in attendance, is the quotient
obtained by dividing (i) the Sector Voting Share of the Sector
to which the Participant or group of Participants which
appointed the Committee voting member belongs by (ii) the
total number of Committee voting members appointed by members
of that Sector, adjusted, if necessary, to take into account
(A) the manner in which the voting shares of End User
Participants are
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to be determined while they are members of the Publicly Owned
Entity Sector, and (B) any required change in the voting share
of a Group Member, in each case as determined in accordance
with Section 6.2.
(d) Member Adjusted Voting Share: for a Committee voting member
----------------------------
which casts an affirmative or negative vote on a proposed
action or amendment and which has been appointed by a
Participant or group of Participants which are members of a
Sector satisfying its Sector Quorum requirement for the
proposed action or amendment, is the quotient obtained by
dividing (i) the Sector Voting Share of that Sector by (ii)
the number of voting members appointed by members of that
Sector which cast affirmative or negative votes on the matter,
adjusted, if necessary, for End User Participants and group
voting members as provided in the definition of "Member Fixed
Voting Share".
(e) NEPOOL Vote: with respect to a proposed action or amendment is
-----------
the sum of (i) the Member Adjusted Voting Shares of the voting
members of the Committee which cast an affirmative vote on the
proposed action or amendment and which have been appointed by
a Participant or group of
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Participants which are members of a Sector satisfying its
Sector Quorum requirements and (ii) the Member Fixed Voting
Shares of the voting members of the Committee which cast an
affirmative vote on the proposed action or amendment and which
have been appointed by a Participant or group of Participants
which are members of a Sector which fails to satisfy its
Sector Quorum requirements.
(f) Minimum Response Requirement: with respect to a proposed
------------------------------
amendment to this Agreement or Tariff means that the ballots
received by the Balloting Agent from Participants relating to
the proposed amendment before the end of the appropriate time
specified in Section 6.11(c) must satisfy the following
thresholds:
(i) the sum of the Member Fixed Voting Shares of the
Participant voting members whose ballots are received
must equal at least fifty percent (50%); and
(ii) the Participants whose voting members timely return
ballots for or against the amendment must include
Participants that are
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represented by voting members having at least fifty
percent (50%) of the Member Fixed Voting Shares in
each of a majority of the activated Sectors.
6.10 Voting On Proposed Actions. All matters to be acted upon by a Principal
--------------------------
Committee shall be stated in the form of a motion by a voting member,
which must be seconded. Only one motion and any one amendment to that
motion may be pending at one time. Passage of a motion requires a
NEPOOL Vote as determined pursuant to Section 6.9 equal to or greater
than two thirds of the aggregate Sector Voting Shares. Voting members
not in attendance or represented at a meeting as specified in Section
6.7 or abstaining shall not be counted as affirmative or negative
votes.
6.11 Voting On Amendments. Subject to Section 21.11 and Section 17A,
--------------------
amendments to the NEPOOL Agreement or Tariff shall be accomplished as
follows:
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(▇) Amendments shall be drafted by a standing or ad hoc NEPOOL
committee or a Participant and sent to the Participants
Committee for its consideration.
(b) The Participants Committee shall take action pursuant to
Section 6.10 to direct the Balloting Agent to circulate
ballots for approval of the draft Amendment to each
Participant for execution by its voting member or alternate on
the Participants Committee or such Participant's duly
authorized officer.
(c) In order to be counted, ballots must be executed and returned
to the Balloting Agent for NEPOOL in accordance with the
following schedule:
(i) If the ballots are delivered to each Participant by
regular mail, properly executed ballots must be
returned to and received by the Balloting Agent
within ten (10) business days after deposit of such
ballots in the mail by the Balloting Agent, and
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(▇▇) If the ballots are delivered to each Participant by
overnight delivery, facsimile, electronic mail or
hand delivery, then properly executed ballots must be
returned to and received by the Balloting Agent
within five (5) business days after (A) deposit of
such ballots with an overnight delivery courier if
delivered by overnight delivery, or (B) transmission
of such ballots by the Balloting Agent if delivered
by facsimile or electronic mail, or (C) receipt by
the Participant if delivered by hand delivery.
(iii) If the Minimum Response Requirement for an amendment
has not been received by the Balloting Agent within
the schedule identified in subsection (i) or (ii)
above, the Balloting Agent shall send notice by
overnight delivery, facsimile, electronic mail or
hand delivery to all non-responding Participants and
shall count any additional properly executed ballots
which it receives within five (5) business days after
such notice. The date by which properly executed
ballots must be returned and received by the
Balloting Agent shall be specified by the Balloting
Agent in the notice accompanying such ballots.
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(▇) A Participant may appeal to the Review Board or submit for
resolution pursuant to the alternative dispute resolution
provisions of Section 21.1 a proposed amendment for which
ballots have been circulated, provided that such appeal is
taken or submission is presented before the end of the
tenth (10th) business day after the Participants Committee has
taken action to direct the Balloting Agent to circulate
ballots for approval of the draft amendment, by giving to the
Secretary of the Participants Committee a signed and written
notice of appeal or submission. The appeal shall be moot, or
submission shall be deemed withdrawn, if the amendment is not
approved in balloting by the Participants Committee. If the
amendment is approved, a valid appeal or submission shall stay
the filing with the Commission of any amendment to the NEPOOL
Agreement or Tariff until either (i) a decision on the appeal
by the Review Board, or (ii) the earlier of resolution
pursuant to Section 21.1 or termination pursuant to Section
21.1.B(2) of the suspension effects of the submission.
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(e) In order for a proposed amendment to the NEPOOL Agreement or
Tariff to be approved by the Participants Committee, the
following criteria must be satisfied:
(i) The Minimum Response Requirement must be satisfied
with respect to the proposed amendment.
(ii) The affirmative ballot votes with respect to the
proposed amendment must equal or exceed two thirds of
the aggregate Sector Voting Shares.
6.12 Designated Representatives and Proxies. The vote of any member of a
-----------------------------------------
Principal Committee or the member's alternate, other than a ballot on
an amendment, may be cast by another person pursuant to a written,
standing designation or proxy. A designation or proxy shall be dated
not more than one year previous to the meeting and shall be delivered
by the member or alternate to the Secretary of the Committee at or
prior to any votes being taken at the meeting at which the vote is cast
pursuant to such designation or proxy. A single individual may be the
designated representative of or be given the proxy
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of the voting members representing any number of Participants of any
one Sector or Participants from multiple Sectors.
6.13 Limits on Representatives. In the Generation Sector, no one person may
-------------------------
exercise more than twenty-five percent (25%) of that Sector's total
Member Fixed Voting Shares without the unanimous written agreement of
all members of the Generation Sector. Other Sectors may by unanimous
written agreement elect to impose limits on the voting power any one
individual may have in that Sector through being the designated
representative of multiple voting members or carrying multiple proxies
from voting members of that Sector. Notice of any such limits on voting
power must be posted on the System Operator home page and be capable of
being accessed by all Participants.
6.14 Adoption of Bylaws. The Participants Committee shall adopt bylaws,
------------------
consistent with this Agreement, governing procedural matters including
the conduct of its meetings and those of the other Principal
Committees. If there is any conflict between such bylaws and the
Agreement, the Agreement shall control. A Principal Committee may vote
to waive its bylaws for a particular meeting,
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provided the motion to effect the waiver is approved in accordance with
Section 6.10.
6.15 Joint Meetings of Technical Committees. It is recognized that
-------------------------------------------
responsibilities of the Technical Committees may overlap in certain
areas. In areas of overlap, the Reliability Committee is responsible
for addressing reliability matters, the Markets Committee is
responsible for addressing market implications of actions or
recommendations, and the Tariff Committee is responsible for addressing
issues relating to transmission and ancillary services. The Chairs of
the Technical Committees, with input from the Liaison Committee
Co-Chairs or entire Liaison Committee, as appropriate, shall prioritize
and sequence Technical Committee activities to ensure full and proper
input by Participants while maximizing the efficiency of the decision
making process. To the extent appropriate and desirable, the Technical
Committees are authorized and encouraged to hold meetings, and to
conduct studies and exercise responsibilities, jointly with other
Technical Committees.
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SECTION 7
PARTICIPANTS COMMITTEE
----------------------
7.1 Officers. At its annual meeting, the Participants Committee shall elect
--------
from among its members a Chair and Vice-Chair; it shall also elect a
Secretary who shall not be a member. These officers shall have the
powers and duties usually incident to such offices and as set forth in
the Committee bylaws.
7.2 Adoption of Budgets. At each annual meeting, the Participants Committee
-------------------
shall adopt a NEPOOL budget for the ensuing calendar year. In adopting
budgets the Participants Committee shall give due consideration to the
budgetary requests of each committee. The Participants Committee may
modify any NEPOOL budget from time to time after its adoption.
7.3 Establishing Reliability Standards. It shall be the duty of the
----------------------------------
Participants Committee, after review of reports, recommendations and
actions of the System Operator and the Reliability Committee and such
other matters as the Participants Committee deems pertinent, to
establish or approve Reliability Standards for the bulk power supply of
NEPOOL. Such Reliability Standards
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shall be consistent with the directives of NERC and the NPCC and shall
be reviewed periodically by the Participants Committee and revised as
the Participants Committee deems appropriate.
7.4 Appointment and Compensation of NEPOOL Personnel. The Participants
---------------------------------------------------
Committee shall determine what personnel are desirable for the
effective operation and administration of NEPOOL and shall fix or
authorize the fixing of the compensation for such persons. In addition,
the Participants Committee shall determine what resources are desirable
for the effective operation of the Technical Committees and shall, on
its own or pursuant to the recommendation of a Technical Committee,
authorize the incurrence of such expenses as may be required to enable
the Technical Committee, or its subgroups, to properly perform their
duties, including, but not limited to, the retention of a consultant or
the procurement of computer time.
7.5 Duties and Authority.
--------------------
(a) The Participants Committee shall have the duty and requisite
authority to administer, enforce and interpret the provisions
of this Agreement and
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any other agreement or document approved by the Participants
Committee or its predecessor in order to accomplish the
objectives of NEPOOL including the making of any decision or
determination necessary under any provision of this Agreement
or any other agreement or document approved by the
Participants Committee or its predecessor and not expressly
specified to be decided or determined by any other body.
(b) The Participants Committee shall have the authority to provide
for such facilities, materials and supplies as the
Participants Committee may determine are necessary or
desirable to carry out the provisions of this Agreement.
(c) The Participants Committee shall have, in addition to the
authority provided in Section 7.3, the authority, after
consultation with other NEPOOL committees and the System
Operator, to establish or approve consistent standards with
respect to any aspect of arrangements between Participants and
Non-Participants which it determines may adversely
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affect the reliability of NEPOOL, and to review such
arrangements to determine compliance with such standards.
(d) The Participants Committee, or its designee, shall have the
authority to act on behalf of all Participants in carrying out
any action properly taken pursuant to the provisions of this
Agreement. Without limiting the foregoing general authority,
the Participants Committee, or its designee, shall have the
authority on behalf of all Participants to execute any
contract, lease or other instrument which has been properly
authorized pursuant to this Agreement including, but not
limited to, one or more contracts with the System Operator,
and to file with the Commission and other appropriate
regulatory bodies: (i) this Agreement and documents amending
or supplementing this Agreement, including the Tariff, (ii)
contracts with Non-Participants or the System Operator, and
(iii) related tariffs, rate schedules and certificates of
concurrence. The Participants Committee shall, in addition,
have the authority to represent NEPOOL in proceedings before
the Commission.
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(e) The Participants Committee shall have the duty and requisite
authority, after consultation with other NEPOOL committees and
the System Operator, to fix the NEPOOL Objective Capability
for each month of each Power Year prior to the beginning of
the Power Year and thereafter to review at least annually the
anticipated Load of the NEPOOL Participants and NEPOOL
Installed Capability for each month of such Power Year and to
make such adjustments in the NEPOOL Objective Capability as
the Participants Committee may determine on the basis of
such review. Since changes in the circumstances which must be
assumed by the Participants Committee in fixing NEPOOL
Objective Capability for a future period can significantly
affect the required level of NEPOOL Objective Capability for
that period, the Participants Committee shall, where
appropriate, also determine the effect on NEPOOL Objective
Capability of significant changes in circumstances from those
assumed, either by fixing alternative NEPOOL Objective
Capabilities, or by adopting adjustment factors or formulas.
(f) The Participants Committee shall have the duty and requisite
authority to establish or approve schedules fixing the amounts
to be paid by
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Participants and Non-Participants to permit the recovery of
expenses incurred in furnishing some or all of the services
furnished by NEPOOL either directly or through the System
Operator.
(g) The Participants Committee shall have the duty and requisite
authority to provide for the sharing by Participants, on such
basis as the Participants Committee may deem appropriate, of
payments and costs which are not otherwise reimbursed under
this Agreement and which are incurred by Participants or under
arrangements with Non-Participants and approved or authorized
by the Committee as necessary in order to meet or avoid
short-term deficiencies in the amount of resources available
to meet the Pool's reliability objectives.
(h) The Participants Committee shall have the authority, at the
time that it acts on an Entity's application pursuant to
Section 3.1 to become a Participant, to waive, conditionally
or unconditionally, compliance by such Entity with one or more
of the obligations imposed by this Agreement if the
Participants Committee determines that such compliance would
be unnecessary or inappropriate for such Entity and
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the waiver for such Entity will not impose an additional
burden on other Participants.
(i) The Participants Committee shall have the authority to
establish standard conditions and waivers with respect to
applications by Entities for membership in NEPOOL and to
modify such standard conditions and waivers as appropriate in
connection with changed circumstances with respect to such
applicants, provided that the Participants Committee
determines that the standard conditions and waivers for such
Entities will not impose an additional burden on other
Participants.
(j) The Participants Committee shall have the duty and requisite
authority to act on appeals to it from the actions of other
Principal Committees if delegated to such Committees by the
Participants Committee pursuant to Section 7.5(k), to appoint
the Review Board, and to appoint a special committee to
administer NEPOOL's alternate dispute resolution procedures or
to take any other action if it determines that such action is
necessary or appropriate to achieve a prompt resolution of
disputes under the provisions of Section 21.1.
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(k) The Participants Committee shall have the authority to
delegate its powers and duties to one or more of the Technical
Committees, the System Operator, or other entity as it sees
fit provided that (i) such delegation is clearly stated and
approved by a Participant Committee action, (ii) such
delegation does not violate any other provision set forth
herein, and (iii) the action of such entity on any matter
delegated to it may be appealed by any Participant to the
Participants Committee provided such an appeal is taken prior
to the end of the tenth business day following the action of
the Technical Committee, the System Operator, or such entity
by giving to the Secretary of the Participants Committee a
signed and written notice of appeal, a copy of which the
Secretary shall provide to the System Operator and each member
and alternate of the Participants Committee. Pending action
on the appeal by the Participants Committee, the giving of a
notice of appeal as aforesaid shall suspend the action
appealed from.
(l) The Participants Committee shall have the duty and requisite
authority to establish the NEPOOL Information Policy.
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(▇) The Participants Committee shall have the duty and requisite
authority to adopt and approve, amend and approve or resubmit
to one or more Technical Committees for additional comment,
any matter submitted to the Participants Committee by a
Technical Committee.
(n) The Participants Committee shall have such further powers and
duties as are conferred or imposed upon it by other sections
of this Agreement.
7.6 Attendance of Participants at Committee Meeting. Each Participant which
-----------------------------------------------
does not have the right to designate an individual voting member of the
Participants Committee shall, with the exception of meetings held
pursuant to Section 11B.9 and meetings in executive session pursuant to
Section 11B.10, be entitled to attend any meeting of the Committee or
any other NEPOOL committee, and shall have a reasonable opportunity to
express views on any matter to be acted upon at the meeting.
7.7 Appeal of Actions to Review Board. Any Participant which otherwise has
---------------------------------
the ability to submit a matter for resolution under Section 21.1 may,
in lieu of
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submitting a dispute as to a Participants Committee action or failure
to take action for resolution pursuant to Section 21.1, appeal such
matter to the Review Board. Except as otherwise provided in Section
6.11, such an appeal shall be taken prior to the end of the tenth
business day following the meeting of the Participants Committee to
which the appeal relates by giving to the Secretary of the Participants
Committee by hand delivery, facsimile, electronic mail or regular mail
a signed and written notice of appeal, a copy of which the Secretary
shall provide to each Participant. If no appeal of a Participants
Committee action or failure to take action is taken, and the action or
failure to take action is not submitted for resolution pursuant to
Section 21.1, within such time period, that Participants Committee
action or failure to take action shall be final and effective. If an
appeal is taken, pending action on the appeal by the Review Board, the
giving of a notice of appeal as aforesaid shall suspend the action
appealed from. To the extent any action taken relates to the approval
of a rule or procedure which must be filed with the Commission, the
rule or procedure shall not be filed until the time for appeal or
submission for dispute resolution has elapsed and, if an appeal has
been filed or submission for dispute resolution has been made, either
(i) a decision on the appeal has been issued by the Review Board, or
(ii) the earlier of resolution pursuant to Section 21.1 of
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the matter submitted for dispute resolution or the termination pursuant
to Section 21.1.B(2) of the suspension effect of such submission.
SECTION 8
RELIABILITY COMMITTEE
---------------------
8.1 Officers. The Reliability Committee shall have a Chair, Vice-Chair and
--------
Secretary. The Chair and Secretary of the Reliability Committee shall
be appointed by the System Operator from time to time in accordance
with Section 20(j). The Chair will be responsible for presiding at
meetings of the Committee and establishing agendas for its meetings in
conjunction with the Vice-Chair and shall have the powers and duties as
set forth in the Committee bylaws. The Secretary shall have the powers
and duties usually incident to such office and as set forth in the
Committee bylaws. The Chair and Secretary shall have no voting rights.
The Vice-Chair shall be elected by the Reliability Committee from among
its voting members from time to time. The Vice-Chair shall have the
powers and duties usually incident to such office and such powers and
duties as set forth in the Committee bylaws, including, without
limitation, the
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responsibility to develop in conjunction with the Chair, Committee
meeting agendas.
8.2 Notice to Members and Alternates of Participants Committee. Prior to
------------------------------------------------------------
the end of the fifth business day following a meeting of the
Reliability Committee, the Secretary of the Reliability Committee shall
give written notice to the System Operator and each member and
alternate of the Participants Committee of any action taken by the
Reliability Committee at such meeting.
8.3 Voting; Appeal of Actions. Votes taken by the Reliability Committee
--------------------------
shall be binding on the Participants only for those matters in which
the Committee has specifically designated authority under this
Agreement or has been properly delegated authority by the Participants
Committee pursuant to Section 7.5(k).
Any Participant may appeal to the Participants Committee any binding
action taken by the Reliability Committee. Such an appeal shall be
taken prior to the end of the tenth business day following the meeting
of the Reliability Committee to which the appeal relates by giving to
the Secretary of the Participants Committee a signed and written notice
of appeal, a copy of which the Secretary
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shall provide to the System Operator and each member and alternate of
the Participants Committee. Pending action on the appeal by the
Participants Committee, the giving of a notice of appeal as aforesaid
shall suspend the action appealed from.
8.4 Responsibilities. The Reliability Committee shall perform the following
----------------
functions, in conjunction with the System Operator as appropriate, and
shall recommend action to the System Operator, Participants Committee
or Transmission Owners, as appropriate, with respect thereto:
(a) provide input to the Participants Committee, Transmission
Owners, and System Operator, as appropriate, on transmission
facilities and the development of a regional transmission plan
in order to achieve the objectives of NEPOOL;
(b) following appropriate study, recommend NEPOOL Objective
Capability for each Power Year;
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(▇) periodically review the procedures used to calculate NEPOOL
Installed Capability, NEPOOL Objective Capability and NEPOOL
Capability Responsibility;
(d) periodically prepare short and long term load forecasts for
use in NEPOOL studies and operations and to meet requirements
of regulatory agencies;
(e) review communications and liaison arrangements between NEPOOL
and governmental authorities on power supply, environmental,
load forecasting, and transmission issues;
(f) coordinate the collection and exchange of necessary system
data and future plans related to reliability for use in NEPOOL
planning and to meet requirements of regulatory agencies;
(g) coordination of studies of, and provide information to
Participants on, maintenance schedules for the supply and
demand-side resources and transmission facilities of the
Participants;
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(h) based on appropriate studies, recommend for Participants
Committee approval Reliability Standards to assure the
reliable operation and facilitate the efficient operation of
the NEPOOL Control Area bulk power system and those operating
rules which guide the implementation of the Reliability
Standards. Such Reliability Standards and operating rules
shall include, without limitation, the following:
(i) standards to determine the current Annual Peak,
Adjusted Annual Peak, Monthly Peak, Adjusted Monthly
Peak, and aggregate obligations of the Participants
in each of the NEPOOL Markets;
(ii) standards to establish short and long term load
forecasts for use in NEPOOL operations and to meet
requirements of regulatory agencies;
(iii) standards with respect to the administration and
enforcement of, and reporting pursuant to, NERC and
NPCC policies and requirements;
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(iv) standards for use in planning and design of the
NEPOOL interconnected bulk power system;
(v) standards to ensure the continuous reliability of the
bulk power transmission system, such standards to
include, without limitation, criteria and rules
relating to protective equipment, transfer limits,
voltage schedules, voltage guides, operating guides,
sub-area reserves, switching, voltage control, load
shedding, emergency and restoration procedures, and
the coordination of scheduling of the operation and
maintenance of supply and demand-side resources and
transmission facilities of the Participants;
(vi) standards for determining the capabilities of each
electric generating unit or combination of units in
which a Participant has an Entitlement in a uniform
manner applying generally accepted engineering
principles; and
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(vii) as appropriate, reliability standards for interpool
coordination transactions.
(i) review proposed supply and demand-side resource plans and the
proposed transmission and interconnection plans of
Participants pursuant to Section 18.4 and, based on such
review, recommend action regarding such proposed plans.
(j) make recommendations regarding procedures for dispatch
infrastructure (i.e. voice and data communications protocols,
AGC pulsing arrangements, Energy Management System and System
Control and Data Acquisition interfaces, Satellite relations,
etc.);
(k) provide input and make recommendations with respect to the
reliability considerations of general system operations (i.e.
commitment/decommitment, real time dispatch, review and
approval of distribution of reserves, etc.);
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(▇) recommend to the Participants Committee the retention of a
consultant, procurement of computer time, or the incurrence of
consultant expenses or such other expenses as may be required
to enable the Reliability Committee, its subcommittees, and
task forces properly to perform their duties;
(m) make recommendations to the Participants Committee,
Transmission Owners, and System Operator, as appropriate, with
respect to development and amendment of interconnection
procedures and documents related to such procedures;
(n) to the extent appropriate, develop criteria, guidelines and
methodologies to assure consistency in monitoring and
assessing conformance of Participant and regional transmission
plans to accepted reliability criteria.
8.5 Establishment of Subcommittees and Task Forces. The Reliability
----------------------------------------------
Committee shall have the authority to establish subcommittees and task
forces for particular studies.
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8.6 Further Powers and Duties. The Reliability Committee shall have such
-------------------------
further powers and duties as are consistent with the duties and
responsibilities set forth herein or as may be properly delegated to it
by the Participants Committee.
SECTION 9
TARIFF COMMITTEE
----------------
9.1 Officers. The Tariff Committee shall have a Chair, Vice-Chair and
--------
Secretary. The Chair and Secretary of the Tariff Committee shall be
appointed by the System Operator from time to time in accordance with
Section 20(j). The Chair will be responsible for presiding at meetings
of the Committee and establishing agendas for its meetings in
conjunction with the Vice-Chair and shall have the powers and duties as
set forth in the Committee bylaws. The Secretary shall have the powers
and duties usually incident to such office and as set forth in the
Committee bylaws. The Chair and Secretary shall have no voting rights.
The Vice-Chair shall be elected by the Tariff Committee from among its
voting members from time to time. The Vice-Chair shall have the powers
and duties usually incident to such office and such powers and duties
as set forth in the
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Committee bylaws, including, without limitation, the responsibility to
develop in conjunction with the Chair, Committee meeting agendas.
9.2 Notice to Members and Alternates of Participants Committee. Prior to
------------------------------------------------------------
the end of the fifth business day following a meeting of the Tariff
Committee, the Secretary of the Tariff Committee shall give written
notice to the System Operator and each member and alternate of the
Participants Committee of any action taken by the Tariff Committee at
such meeting.
9.3 Voting; Appeal of Actions. Votes taken by the Tariff Committee shall be
-------------------------
binding on the Participants only for those matters in which the
Committee has specifically designated authority under this Agreement or
has been properly delegated authority by the Participants Committee
pursuant to Section 7.5(k).
Any Participant may appeal to the Participants Committee any binding
action taken by the Tariff Committee. Such an appeal shall be taken
prior to the end of the tenth business day following the meeting of the
Tariff Committee to which the appeal relates by giving to the Secretary
of the Participants Committee a signed and written notice of appeal, a
copy of which the Secretary
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shall provide to the System Operator and each member and alternate of
the Participants Committee. Pending action on the appeal by the
Participants Committee, the giving of a notice of appeal as aforesaid
shall suspend the action appealed from.
9.4 Responsibilities. The Tariff Committee shall perform the following
----------------
functions, in conjunction with the System Operator as appropriate, and
shall recommend action to the System Operator, Participants Committee
or Transmission Owners, as appropriate, with respect thereto:
(a) develop appropriate billing procedures for transmission and
ancillary services pursuant to this Agreement and the Tariff;
(b) develop and recommend to the Participants Committee and the
Transmission Owners Committee, as appropriate, (i) amendments,
additions and other changes to the Tariff and (ii) related
Tariff rules;
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(▇) providing input to the System Operator on the development of
Administrative Procedures with respect to the administration
of the Tariff and the OASIS;
(d) to the extent appropriate, conduct and/or review such studies
and make such determinations as are assigned to the Committee
pursuant to this Agreement and the Tariff with respect to
financial treatment of additions to or upgrades of PTF;
(e) recommend to the Participants Committee the retention of a
consultant, procurement of computer time, or the incurrence of
consultant expenses or such other expenses as may be required
to enable the Tariff Committee, its subcommittees, and task
forces properly to perform their duties.
9.5 Establishment of Subcommittees and Task Forces. The Tariff Committee
----------------------------------------------
shall have the authority to establish subcommittees and task forces for
particular studies.
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9.6 Further Powers and Duties. The Tariff Committee shall have such further
-------------------------
powers and duties as are consistent with the duties and
responsibilities set forth herein or as may be properly delegated to it
by the Participants Committee.
SECTION 10
MARKETS COMMITTEE
-----------------
10.1 Officers. The Markets Committee shall have a Chair, Vice-Chair and
--------
Secretary. The Chair and Secretary of the Markets Committee shall be
appointed by the System Operator from time to time in accordance with
Section 20(j). The Chair will be responsible for presiding at meetings
of the Committee and establishing agendas for its meetings in
conjunction with the Vice-Chair and shall have the powers and duties as
set forth in the Committee bylaws. The Secretary shall have the powers
and duties usually incident to such office and as set forth in the
Committee bylaws. The Chair and Secretary shall have no voting rights.
The Vice-Chair shall be elected by the Markets Committee from among its
voting members from time to time. The Vice-Chair shall have the powers
and duties usually incident to such office and such powers and duties
as set forth in the Committee bylaws, including, without limitation,
the
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responsibility to develop in conjunction with the Chair, Committee
meeting agendas.
10.2 Notice to Members and Alternates of Participants Committee. Prior to
------------------------------------------------------------
the end of the fifth business day following a meeting of the Markets
Committee, the Secretary of the Markets Committee shall give written
notice to the System Operator and each member and alternate of the
Participants Committee of any action taken by the Markets Committee at
such meeting.
10.3 Voting; Appeal of Actions. Votes taken by the Markets Committee shall
--------------------------
be binding on the Participants only for those matters in which the
Committee has specifically designated authority under this Agreement or
has been properly delegated authority by the Participants Committee
pursuant to Section 7.5(k).
Any Participant may appeal to the Participants Committee any binding
action taken by the Markets Committee. Such an appeal shall be taken
prior to the end of the tenth business day following the meeting of the
Markets Committee to which the appeal relates by giving to the
Secretary of the Participants Committee a signed and written notice of
appeal, a copy of which the Secretary
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shall provide to the System Operator and each member and alternate of
the Participants Committee. Pending action on the appeal by the
Participants Committee, the giving of a notice of appeal as aforesaid
shall suspend the action appealed from.
10.4 Responsibilities. The Markets Committee shall perform the following
----------------
functions, in conjunction with the System Operator as appropriate, and
shall recommend action to the System Operator, Participants Committee
or Transmission Owners, as appropriate, with respect thereto:
(a) based on appropriate studies, develop market procedures to
assure the reliable operation and facilitate the efficient
operation of the NEPOOL Control Area bulk power supply;
(b) (i) evaluate studies of the market implications of maintenance
schedules for the supply and demand-side resources and
transmission facilities of the Participants and operable
capacity margins, and (ii) develop market procedures for
scheduling maintenance for supply and demand resources and
transmission resources.
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(▇) to the extent appropriate to assure the efficient operation of
the NEPOOL Markets, develop reasonable standards, criteria and
rules relating to protective equipment, switching, voltage
control, load shedding, emergency and restoration procedures,
and the operation and maintenance of supply and demand-side
resources and transmission facilities of the Participants;
(d) develop procedures for determining the market implications of
the seasonal capabilities of each electric generating unit or
combination of units in which a Participant has an
Entitlement;
(e) develop procedures for determining as appropriate from time to
time the current Annual Peak, Adjusted Annual Peak, Monthly
Peak, Adjusted Monthly Peak, Installed Capability
Responsibility, and obligations for Energy, Operating Reserve
and AGC of each Participant;
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(▇) develop Market Rules and periodically review and recommend
changes thereto as appropriate. Such Market Rules shall
include, without limitation, the following:
(i) submission of Bid Prices and the determination of
prices for each of the NEPOOL Markets;
(ii) determination for each Participants of its
obligations under each of the NEPOOL Markets;
(iii) establishment or approval of appropriate billing
procedures for market transactions pursuant to this
Agreement;
(iv) calculation and equitable apportionment of losses
incurred in connection with Interchange Transactions;
and
(v) interpool market contract coordination as appropriate.
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(g) develop operating procedures relating to the administration of
the NEPOOL Markets and periodically review and recommend
changes thereto as appropriate;
(h) recommend the retention of a consultant, procurement of
computer time, or the incurrence of consultant expenses or
such other expenses as may be required to enable the Markets
Committee, its subcommittees, and task forces properly to
perform their duties.
10.5 Establishment of Subcommittees and Task Forces. The Markets Committee
----------------------------------------------
shall have the authority to establish subcommittees and task forces for
particular studies.
10.6 Further Powers and Duties. The Markets Committee shall have such
----------------------------
further powers and duties as are consistent with the duties and
responsibilities set forth herein or as may be properly delegated to it
by the Participants Committee.
10.7 Development of Rules Relating to Non-Participant Supply and Demand-side
-----------------------------------------------------------------------
Resources. It is recognized that arrangements between Participants and
---------
Non-
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Participants with respect to the Non-Participants' supply and
demand-side resources may create special problems in the application of
Sections 12 and 14. Accordingly, the Markets Committee shall analyze
such special problems and recommend to the Participants Committee
appropriate rules for reflecting such resources in the Installed System
Capability of a Participant which enters into such an arrangement and
for the treatment of such arrangements for Energy, Operating Reserve
and AGC purposes. Upon approval by the Participants Committee, such
rules shall supersede the provisions of Sections 12 and 14 (and the
related definitions in Section 1) to the extent of any conflict
therewith upon acceptance by the Commission.
SECTION 11
FURTHER RESTRUCTURING
---------------------
The NEPOOL Participants undertake to finalize by March 31, 2000 the negotiation
of more comprehensive arrangements for the reassignment of appropriate
administrative responsibilities to the System Operator in the Interim ISO
Agreement.
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▇▇▇▇▇▇▇ ▇▇▇
REVIEW BOARD
------------
11A.1 Organization. There shall be a Review Board which, in addition to
------------
appeals responsibility under Section 11B.12, shall be responsible for
ruling on taken from actions of the Participants Committee and for
advising theParticipants Committee as to the issues raised on any
appeals before it provided that appeals from actions of the System
Operator shall not be taken to the Review Board. In ruling on appeals,
the Review Board shall consider, among other things, whether the actio
is consistent with Commission policies. In addition, if the appeal
relates to an amendment to the Agreement or market rule, the Review
Board shall consider the extent to which such amendment imposes a
burden on the Participants which do not vote in favor of the amendment
that is materially greater in degree than that imposed on the
Participants which have voted in favor of the amendment. The Review
Board shall not have the right to review or otherwise participate in
actions of the System Operator or to take any action with respect to
any matter involving a dispute between the System Operator and either
NEPOOL or any Participant. The Participants agree that the process of
selecting the Review Board shall commence upon the initial
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formation of the Participants Committee. Until the initial organization
of the Review Board is completed, the Board of Directors of the System
Operator or a committee thereof consisting of not less than three
System Operator Directors designated by the System Operator Board of
Directors shall perform the functions of the Review Board, provided
that the provisions of Sections 11A.2 through 11A.6 shall not be
applicable to the Board of Directors of the System Operator acting as a
Review Board. All expenses incurred by the System Operator as a result
of the Board of Directors in acting as the Review Board shall be NEPOOL
expenses.
11A.2 Composition. The Review Board shall be composed of five members. The
-----------
Review Board Members shall initially be selected by the Participants
retained by the Committee from a slate of candidates. An independent
consultant, Participants Committee, shall prepare a list of persons
qualified and willing to serve on the Review Board. A subcommittee
appointed by the Participants Committee shall review the list and
distribute to the members of the Participants Committee a slate from
among the list proposed by the independent consultant, along with
information on the background and experience of the persons on the
slate appropriate to evaluating their fitness for service on the Review
Board. If
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the Participants Committee fails to select a full Review Board from the
slate proposed by the subcommittee, the Committee shall direct the
independent consultant to propose a further list of nominees for
consideration at the next regular meeting of the Participants
Committee. Thereafter, prior to the expiration of a Review Board
Member's term, and upon the occurrence of any vacancy on the Board, the
Participants Committee shall select a successor Member.
11A.3 Qualifications. The Review Board Members shall be independent experts
--------------
knowledgeable about issues typically faced by entities engaged in energy
production, transmission, distribution and sale under Federal or State
regulation. A Review Board Member shall not be, and shall not have
been at any time within five years of election to the Review Board, a
director, officer or employee of a Participant or of a Related Person
of a Participant. While serving on the Review Board, a Review Board
Member shall have no direct business relationship or other affiliation
with any Participant or its Related Persons and shall otherwise be
subject to the same independence requirements imposed on Directors of
the System Operator Board of Directors.
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11A.4 Term. A Review Board Member shall serve for a term of three years;
----
provided, however, that two of the Review Board Members selected
initially shall be chosen by lot to serve a term of two years, two of
the Review Board Members selected initially shall be chosen by lot to
serve a term of three years and the other Review Board Member selected
initially shall serve a term of four years.
11A.5 Meetings. Meetings of the Review Board may be conducted in person or by
--------
telephone or other electronic means by means of which all persons
participating in the meeting can communicate in real time with each
other.
11A.6 Bylaws. To the extent not inconsistent with any provision of this
------
Agreement, the Participants Committee shall adopt bylaws establishing
procedures for the Review Board's activities as it may deem
appropriate, including but not limited to bylaws governing the
scheduling, noticing and conduct of meetings of the Review Board, a
code of conduct, selection of a Chair and Vice-Chair of the Review
Board, and action by the Review Board without a meeting. Such bylaws
shall not modify or be inconsistent with any of the rights or
obligations established by this Agreement.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 125
11A.7 Procedure on Appeal of Participant Committee Action or Failure to Take
----------------------------------------------------------------------
Action.
------
(a) Submission of an Appeal: A Participant seeking review
("Appealing Party") by the Review Board of action of the
Participants Committee shall give written notice of the appeal
in accordance with Section 7.7, and the appeal shall have the
suspension effect specified in Section 7.7.
(b) Intervenors and Time Limits: Any other Participant that wishes
to participate in the appeal proceeding hereunder shall give
signed written notice to the Secretary of the Participants
Committee no later than ten (10) business days after the
Appealing Party has given notice of appeal and shall upon the
approval of the Review Board be permitted to participate in
the appeal.
(c) Procedural Rules: The procedural rules (if any), for the
----------------
conduct of the appeal shall be determined by the Review Board
in consultation with the
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Participants Committee and each Appealing Party on a
case-by-case basis.
(d) Pre-hearing Submissions: Each Appealing Party shall provide the
-----------------------
Review Board, within 15 days of the giving of its notice of
appeal or such other time as permitted by the Review Board, a
brief written statement of its complaint and a statement of the
remedy or remedies it seeks, accompanied by copies of any
documents or other materials it wishes the Review Board to
review. The Participants Committee and, as appropriate, any other
Participant participating in the appeal will provide the Review
Board, within 10 days of the Appealing Party's submission or such
other time as permitted by the Review Board, copies of the
minutes of all NEPOOL committee meetings at which the matter was
discussed and if deemed appropriate by the Participants Committee
or otherwise requested by the Review Board a brief description of
the action (or failure to act) being appealed and a brief
statement explaining why the Participants Committee believes its
action (or failure to act) should be upheld by the Review Board,
together with copies of documents or other materials referenced
in such submission for the
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Review Board to review and materials, if any, which interested
Participants provide to the Secretary of the Participants
Committee and reasonably request be submitted to the Review
Board.
In addition, each party shall designate one or more
individuals to be available to answer questions the Review
Board may have on the documents or other materials submitted.
The answers to all such questions shall be reduced to writing
by the party providing the answer and a copy shall be made
available to any requesting Participant.
(e) Hearing: A hearing (if any) will be held as soon as is
-------
reasonably practicable.
(f) Decision: The Review Board's decision, to the extent
--------
practicable, shall be due, within ninety (90) days of the
giving of notice of the appeal.
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11A.8 Effect of a Review Board Decision.
---------------------------------
(a) Each Review Board Member shall have one vote and a decision of
the Review Board, either to grant or deny an appeal, shall
require affirmative votes by a majority of the Review Board
Members but not less than three (3) such Members.
(b) (i) Appeal denied. If the Review Board denies the appeal,
-------------
the action of the Participants Committee will be
final and effective, subject to Commission acceptance
if and as required.
(ii) Appeal granted. If the Review Board grants the
---------------
appeal, the Review Board's determination (granting
the appeal) will be final and the action of the
Participants Committee shall not take effect.
(c) If the Review Board grants an appeal, the Review Board may
submit a proposed resolution of the matter that was the
subject of the appeal to the Participants Committee. The
Participants Committee may, but is not required to, take
further action with regard to the matter. If the
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Participants Committee votes on an action regarding the matter
(including a vote not to act on the matter), the action or
non-action of the Participants Committee shall be subject to
further appeal by any Participant to the Review Board in
accordance with Section 7.7. Any proposed resolution that the
Review Board submits to the Participants Committee is advisory
only.
11A.9 An action or failure to act once appealed by a Participant to the Review
Board may not be subject to the alternative dispute resolution provisions
of Section 21.1, regardless of the outcome of the appeal. Conversely, an
action or failure to act submitted for resolution by a Participant pursuant
to Section 21.1 may not be brought before the Review Board. If more than
one Participant appeals and/or submits for alternative dispute resolution
under Section 21.1 the same issue, the Participant that first takes such
action shall determine whether the issue is to be heard by the Review Board
or considered under Section 21.1; provided that each Participant
-------- ----
challenging an action or failure to take action shall have the same
opportunity to present its case and may not be excluded from participating
under Section 11A.7(b).
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11A.10 Any action taken or failure to take action by the Review Board does not
restrict or limit in any way the rights of a Participant to seek review
by the Commission, or a review in any other forum available to the
Participant and there shall be no requirement to submit an appeal to
the Review Board concerning any amendment, action or inaction by the
Participants Committee prior to a Participant exercising any such
rights to seek review by the Commission or any other forum with
jurisdiction.
11A.11 The Review Board may not take action that is inconsistent with or
infringes upon any of the rights set forth in Section 17A.
SECTION 11B
TRANSMISSION OWNERS COMMITTEE
-----------------------------
11B.1 Organization. There shall be a Transmission Owners Committee
------------
established pursuant to this Section 11B which shall implement the
rights reserved to Transmission Owners by Section 17A.
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FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
▇▇▇.▇ Membership. Membership on the Transmission Owners Committee shall be
----------
open to all Transmission Owners, regardless of their individual choices
in Sector membership under Section 6.2.
11B.3 Appointment of Members and Alternates. A Transmission Owner shall join
-------------------------------------
the Transmission Owners Committee by written notice delivered to the
Secretary of the Transmission Owners Committee, and shall designate in
the notice the initial member appointed by it for the Committee and an
alternate of the member. In the absence of the member, the alternate
shall have all the powers of the member, including the power to vote.
11B.4 Term of Members. A member of the Transmission Owners Committee
-----------------
appointed by a Transmission Owner shall serve until replaced by the
Transmission Owner which appointed it or until such Transmission Owner
ceases to be a Participant or otherwise lose its right to appoint the
member. Appointment or replacement of a member shall be effected by a
Transmission Owner by giving written notice of such appointment or
replacement to the Secretary of the Transmission Owners Committee.
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11B.5 Regular and Special Meetings. The Transmission Owners Committee shall
----------------------------
hold its annual meeting in December or January at such time and place
as the Chair shall designate and shall hold other meetings in
accordance with a schedule adopted by the Committee or at the call of
the Chair. Thirty percent (30%) or more of the voting members of the
Transmission Owners Committee may call a special meeting of the
Committee in the event that the Chair shall fail to call such a meeting
within three business days following the Chair's receipt from such
members of a request specifying the subject matters to be acted upon at
the meeting.
11B.6 Notice of Meetings. Written notice of each meeting of the Transmission
------------------
Owners Committee shall be given to each Transmission Owner and to other
Participants not less than five (5) business days prior to the date of
the meeting.
11B.7 Attendance. Regular and special meetings may be conducted in person, by
----------
telephone, or other electronic means by means of which all persons
participating in the meeting can communicate in real time with each
other. In order to vote during the course of a meeting, attendance is
required in person or by telephone or other real time electronic means
by a voting member or its alternate or a duly
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designated agent who has been given, in writing, the authority to vote
for the member on all matters or the proxy to vote for the member on
specific matters.
11B.8 Votes. Any action taken by the Transmission Owners Committee shall
-----
require the concurrence of:
(i) representatives of at least two-thirds of the Transmission
Owners provided that Transmission Owners that are Related
Persons to one another shall together have a single vote; and
(ii) representatives of Transmission Owners having at least
two-thirds of the Weighted Votes of all Transmission Owners,
where each Transmission Owner's Weighted Vote is equal to its
original capital investment in its PTF as of the end of the
most recent year for which figures are available.
Notwithstanding the foregoing, if a vote is taken and paragraph (i)
above is satisfied but paragraph (ii) above is not, the action being
voted on by the Transmission Owners Committee shall pass if (1) there
are seven or more
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Transmission Owners on the Committee and fewer than three Transmission
Owners oppose the action or (2) there are less than seven Transmission
Owners on the Committee and only one Transmission Owner opposes the
action.
11B.9 Appointment of Task Forces or Working Groups. The Transmission Owners
--------------------------------------------
Committee shall have the authority to appoint task forces or working
groups to address matters for which the Committee is responsible.
Notwithstanding Section 7.6, such tasks force or working groups may be
limited to Transmission Owners only.
11B.10 Officers. At its annual meeting, the Transmission Owners Committee
--------
shall elect from its members a Chair and a Vice-Chair; it shall also
elect a Secretary who need not be a member of the Committee. These
officers shall have the powers and duties usually incident to such
offices, including the right to convene an executive session of the
Transmission Owners Committee to consider and vote upon submittals to
the Commission or litigation strategy.
11B.11 Adoption of Bylaws. The Transmission Owners Committee may adopt bylaws,
------------------
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consistent with this Agreement, governing procedural matters including
the conduct of its meetings.
11B.12 Review of Committee Actions. To the extent the Commission determines,
---------------------------
pursuant to Section 17A.7, that Transmission Owners have the exclusive
right to make unilateral filings under Section 205 of the Federal Power
Act, a Transmission Owner may either submit a dispute for resolution
pursuant to Section 21.1 or appeal to the Review Board any action taken
by the Transmission Owners Committee with respect to such a Section 205
filing. Such a submission or appeal shall be taken prior to the end of
the tenth business day following the meeting of the Transmission Owners
Committee to which the submission or appeal relates by giving to the
Secretary of the Transmission Owners Committee a signed and written
notice of submission or appeal. Pending action on an appeal by the
Review Board, the giving of a notice of appeal as aforesaid shall
suspend the action appealed from. For purposes of the application of
the dispute resolution process of Section 21.1 and the suspension
effect of a submission to alternative dispute resolution, Section 21.1
shall be applied as if the Transmission Owners Committee were the
Participants Committee.
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SECTION 11C
LIAISON COMMITTEE
-----------------
11C.1 Organization; Duties. There shall be a Liaison Committee which shall
--------------------
be an advisory committee only responsible to act as a steering
committee formanaging NEPOOL business through the committee process and
facilitating communications between NEPOOL and the System Operator and
among Participants. The Liaison Committee's duties as a steering
committee include, without limitation, recommending that matters be
assigned to particular committees for action where the subject matter
of a proposed rule or other action potentially falls in the purview of
more than one committee and assuring appropriate input from other
committees as needed.
11C.2 Membership. The Liaison Committee shall have the following members: the
----------
Chair and Vice-Chair of each of the Principal Committees; the Chair of
the Transmission Owners Committee; a Participant representative of each
Sector that is not otherwise represented on the Liaison Committee; the
chief executive
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officer of the System Operator; and two members of the System
Operator's Board of Directors.
11C.3 Regular and Special Meetings. The Liaison Committee shall hold meetings
----------------------------
in accordance with a schedule adopted by the Committee or at the call
of the Co- Chairs.
11C.4 Notice of Meetings. Written notice of each meeting of the Liaison
-------------------
Committee shall be given to each member of the Committee and all
members of the Participants Committee not less than five business days
prior to the date of the meeting.
11C.5 Attendance. Regular and special meetings may be conducted in person, by
----------
telephone, or other electronic means by means of which all persons
participating in the meeting can communicate in real time with each
other. Participants Committee members and alternates may attend
meetings of the Liaison Committee. Any individual that is not a member
of the Liaison Committee may participate at a meeting at the invitation
of a Co-Chair.
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11C.6 Officers. The Co-Chairs of the Liaison Committee shall be the chief
--------
executive officer of the System Operator and the Chair of the
Participants Committee. The Liaison Committee shall elect a Secretary
who need not be a member of the Committee. These officers shall have
the powers and duties usually incident to such offices.
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PART THREE
MARKET PROVISIONS
SECTION 12
INSTALLED CAPABILITY OBLIGATIONS AND PAYMENTS
---------------------------------------------
12.1 Obligations to Provide Installed Capability.
-------------------------------------------
(a) Each Participant shall have Installed System Capability during
each hour of each month at least sufficient to satisfy its
Installed Capability Responsibility for the month.
(b) [Deleted].
12.2 Computation of Installed Capability Responsibilities.
----------------------------------------------------
(a) (1) At the conclusion of each month, the System Operator
under the direction of the Participants Committee
shall determine each
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Participant's tentative Installed Capability
Responsibility in Kilowatts for such month in
accordance with the following formula:
X = (P(A-N)+Np)(1+T) - C(Dp)
As used in this Section 12.2(a)(1), the symbols used
in the formula and the additional symbols defined
below have the following meanings:
X is the Participant's tentative Installed
Capability Responsibility for the month.
P is the value of the Participant's fraction
for the month as determined in accordance
with the following formula:
P = (Fp + Dp) / (F + D), wherein:
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Fp is the Participant's Adjusted
Monthly Peak for the month less any
Kilowatts received by such
Participant pursuant to a contract
of a type that traditionally has
been treated by NEPOOL as a firm
contract for the purposes of this
Section prior to January 1, 1999,
but which does not constitute a Firm
Contract as defined in this
Agreement.
Dp is the Participant's actual or
potential load reduction resulting
from its NEPOOL Interruptible and
Dispatchable Loads for the month.
F is the aggregate for the month of
the Adjusted Monthly Peaks for all
Participants less any Kilowatts
received by any Participant pursuant
to a contract of a type that
traditionally has been treated by
NEPOOL as a firm contract for the
purposes of this Section prior to
January 1, 1999, but which
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does not constitute a Firm Contract
as defined in this Agreement.
D is the aggregate for the month of
the actual or potential load
reduction resulting from all
Participants' NEPOOL Interruptible
and Dispatchable Loads.
C is the factor, which when multiplied by D in
megawatts, results in the reduction to
NEPOOL Objective Capability that would
result from including D in the determination
of NEPOOL Objective Capability. The value
for C shall be adopted by the Participants
Committee each time it fixes NEPOOL
Objective Capability pursuant to Section
7.6(e).
A is the NEPOOL Objective Capability in
megawatts for the month as fixed by the
Participants Committee pursuant to Section
7.
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N is the aggregate of the New Unit Adjustments
for all Participants for the month as
determined by the Participants Committee in
accordance with Section 12.2(a)(2).
Np is the aggregate of the Participant's New
Unit Adjustments for the month, as
determined by the Participants Committee,
and is equal to the aggregate of the
--------
Participant's adjustments for each New Unit
included in its Installed System Capabilit
during the hour of the coincident peak load
of the Participants for the month. The
Participant's adjustment for each New Unit
may be positive or negative and shall be the
product of (i) the Participant's Installed
Capability Entitlement in the New Unit
during the hour of the coincident peak load
of the Participants for the month, times
-----
(ii) the New Unit Adjustment Factor
applicable to the New Unit as determined in
accordance with Section 12.2(a)(2).
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T is the Participant's Unit Availability
Adjustment Factor for the month. T may be
positive or negative and shall be determined
in accordance with the following formula:
T = (I-H) x J x R, wherein:
------------
100
I for the Participant for the month is the
percentage which represents the weighte
average (using the Installed Capability of
each Installed Capability Entitlement for
such month for the weighting) of the Four
Year Installed Capability Target
Availability Rates of the Installed
Capability Entitlements which are included
in the Participant's Installed System
Capability during the hour of the coincident
peak load of the Participants for the month.
The Four Year Target Availability Rate for
an Installed Capability Entitlement for any
month is the average of the monthly Target
Availability Rates for the forty-eight
months which comprise the period of four
consecutive
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calendar years ending within the Power Year
which includes such month, as determined on
the basis of the Target Availability Rates
for each of the forty-eight months, and as
applied on a basis which is consistent with
the fuel or maturity status of the unit for
each of the forty- eight months; provided,
however, that for the purpose of determining
the Four Year Target Availability Rate (i)
for months included within the Power Year
which commences June 1, 1999, the
determination shall be made for the months
of June through October on the basis of the
calendar years 1995 through 1998, and shall
be made for the months of November through
May on the basis of the calendar years 1996
through 1999, and (ii) for months included
within the Power Year which commences June
1, 2000, the determination shall be made on
the basis of the calendar years 1996 through
1999. The Target Availability Rates shall be
those utilized by the Participants Committee
in its most recent determination of NEPOOL
Objective Capability pursuant to Section 7.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 146
H for the Participant for the month is the
percentage which represents the weighted
average (using the Installed Capability of
each Installed Capability Entitlement for
such month for the weighting) of the Four
Year Actual Availability Rates of the
Installed Capability Entitlements which are
included in the Participant's Installed
System Capability during the hour of the
coincident peak load of the Participants for
the month. The Four Year Actual Availability
Rate for an Installed Capability Entitlement
for any month is the percentage which
represents the average of the amounts
determined for H1 for the four applicable
Twelve-Month Measurement Periods within the
forty-eight months which comprise the period
of four consecutive calendar years ending
within the Power Year which includes such
month; provided, however, that for the
purpose of determining the Four Year Actual
Availability Rate (i) for months included
within the Power Year which commences
June 1, 1999, the determination shall be
made for the months of June through October
on the basis of the
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 147
calendar years 1995 through 1998, and shall
be made for the months of November through
May on the basis of the calendar years 1996
through 1999, and (ii) for months included
within the Power Year which commences June
1, 2000, the determination shall be made on
the basis of the calendar years 1996 through
1999. A Twelve-Month Measurement Period is a
period of twelve sequential months. For
purposes of this sequence, the first month
in the four years and the immediately
succeeding months shall be considered to
follow the forty-eighth month in the four-
year period. The four applicable
Twelve-Month Measurement Periods to be used
in the determination of H1 for an Installed
Capability Entitlement shall be the four
sequential Twelve-Month Measurement Periods
out of the twelve possible combinations
which yield the highest H1.
H1 for an Installed Capability Entitlement in a
unit or combination of units for a
Twelve-Month Measurement Period is its
Actual Availability Rate. The Actual
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 148
Availability Rate of an Installed Capability
Entitlement for a Twelve-Month Measurement
Period is a percentage and shall be the
greater of:
(i) the percentage of (a) the amount of
generation which could have been
received with respect to the
Installed Capability Entitlement if
the unit or combination of units had
been fully available at its full
Installed Capability throughout the
Twelve-Month Measurement Period,
which is represented by (b) the
amount of generation which was
actually available during such
period, or
(ii) the average Target Availability Rate
expressed as a percentage for the
Installed Capability Entitlement
for the Twelve-Month Measurement
Period less twenty percentage
points. The average Target
Availability Rate of an Installed
Capability Entitlement for a
Twelve-Month Measurement
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 149
Period is a percentage and is the
average of the monthly Target
Availability Rates for the months
which comprise the Twelve-Month
Measurement Period, as determined on
the basis of the Target Availability
Rates for each of the twelve months,
and as applied on a basis which is
consistent with the fuel or maturity
status of the unit or combination of
units for each month in the
Twelve-Month Measurement Period. The
Target Availability Rates shall be
those utilized by the Participants
Committee in its most recent
determination of NEPOOL Objective
Capability pursuant to Section 7.
J for the month is the estimated percentage
point change in NEPOOL Objective Capability
which would be required as a result of a one
percentage point change in the weighted
average equivalent availability rate of the
generating units in which the Participants
have Installed
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 150
Capability Entitlements. The value for J
shall be adopted by the Participants
Committee each time it fixes NEPOOL
Objective Capability pursuant to Section 7.
R for the month is the phase-out factor for
the month, which shall be as follows:
R=0.75 for the Power Year
beginning November 1, 1997.
R=0.50 for the 12 month period
beginning November 1, 1998.
R=0.25 for the 12 month period
beginning November 1, 1999.
R=0 for the 12 month period
beginning November 1, 2000
and all subsequent 12
month periods.
(2) A New Unit Adjustment Factor for a New Unit shall be
determined to assign the effects of the New Unit on
NEPOOL
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 151
Objective Capability to those Participants with
Entitlements in the New Unit. The New Unit Adjustment
Factor for each New Unit for each month shall be
determined by the System Operator under the direction
of the Participants Committee in accordance with the
following formula:
n = R(K1(c-C) + K2(f-F) + K3(m-M) + K4(d-D) + K5(f-F)c2)
As used in this Section 12.2(a)(2), the symbols used
in the formula have the following meanings:
R is the phase out factor as defined in
Section 12.2(a)(1) above.
n is the New Unit Adjustment Factor, expressed
as a fraction, for the month for a New Unit.
c is the Winter Capability of the New Unit.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 152
C is the Winter Capability of the Proxy Unit,
which shall be the number of Kilowatts, as
determined by the Participants Committee,
which would result in the NEPOOL Objective
Capability being approximately the same if
the generating units in which the
Participants have Installed Capability
Entitlements were all units possessing Proxy
Unit characteristics.
f is the equivalent forced outage rate of the
New Unit, expressed as a fraction of a year,
utilized in the determination by the
Participants Committee of NEPOOL Objective
Capability for the month.
F is the equivalent forced outage rate of the
Proxy Unit. F, a fraction, shall be the
weighted average equivalent forced outage
rate (using the Winter Capability of each
generating unit for such weighting) of the
generating units in which the Participants
have Installed Capability Entitlements,
adjusted to compensate for the rounding of
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 153
the annual maintenance outage requirement of
the Proxy Unit.
m is the four-year average annual maintenance
outage requirement of the New Unit,
expressed as a fraction of a year. The data
used to determine m shall include the
annual maintenance outage requirements for
the current Power Year and the next three
Power Years, as utilized for the New Unit in
the most recent determination by the
Participants Committee of NEPOOL Objective
Capability pursuant to Section 7.
M is the annual maintenance outage requirement
of the Proxy Unit. M shall be a fraction,
the numerator of which shall be the number
of weeks (rounded to the nearest full
number) that most closely approximates the
weighted four-year average annual
maintenance outage requirement (using the
Winter Capability of each generating unit
for such weighting) for the generating
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 154
units in which the Participants have
Installed Capability Entitlements, and the
denominator of which shall be 52 weeks.
d is the summer derating of the New Unit,
expressed as a fraction of the Winter
Capability of the New Unit.
D is the summer derating of the Proxy Unit. D
shall be a fraction and shall be equal to
the weighted average fractional summer
derating (using the Winter Capability of
each generating unit for such weighting) of
the generating units in which the
Participants have Installed Capability
Entitlements.
K1, K2, K3, K4, and K5
are conversion coefficients for each of the
Summer and Winter Periods, determined by
regression analysis such that the product
for the Installed Capability of a New Unit
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 155
times its New Unit Adjustment Factor
-----
approximates the effect on NEPOOL Objective
Capability of the New Unit.
Proxy Unit characteristics and conversion
coefficients contained in the formula shall be
adopted by the Participants Committee and reviewed
every five years (or more frequently if the
Participants Committee determines that exceptional
circumstances require an earlier review) and revised
as necessary.
If a New Unit has unique characteristics affecting
NEPOOL Objective Capability which are not adequately
reflected in the New Unit Adjustment Factor formula,
the Participants Committee shall determine for such
New Unit a New Unit Adjustment Factor which accounts
for the New Unit's unique characteristics.
The New Unit Adjustment Factor for any Restricted
Unit (as defined in Section 15.37B of the Prior
NEPOOL Agreement) for which proposed plans were
submitted subsequent to November 1,
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 156
1990 for review pursuant to Section 18.4 or its
predecessor section in the Prior NEPOOL Agreement
(or, in the case of a unit with a rated capacity of
less than 5 MW, for which notification was first
given to NEPOOL subsequent to November 1, 1990) and
for the Peabody Municipal Light Plant's Waters River
#2 unit shall be determined in accordance with the
formula previously specified in Section 12.2(a)(2),
modified as follows:
n = R(K1(c-C) + K2(f-F) + K3(m-M) + K4(d-D) +K5(f-F)c2)
+ K6(2500-a)
The symbols used in the above formula, as modified,
shall have the meanings previously specified, except
that the symbols "K6" and "a" shall have the
following meanings:
K6 is a scaling factor of 0.0001.
a is as follows:
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 157
for units with more than 2500 annual hours
available for operation, "a" = 2500,
for units with annual hours available for
operation between 500 and 2500, inclusive,
"a" = annual hours available for operation,
and
for units with annual hours available for
operation less than 500 hours, "a" = -7500;
provided, however, that a Participant may elect to
-------- -------
avoid, in whole or part, the effect on its Installed
Capability Responsibility of a Restricted Unit's
availability being limited to 2500 hours or less a
year by agreeing to leave unfilled a portion of its
dispatchable load allocation in accordance with rules
adopted by the Markets Committee prior to the
activation of the Participants Committee or the
Participants Committee thereafter.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) The tentative Installed Capability Responsibilities of the
Participants for any month, as determined in accordance with
Section 12.2(a), shall be adjusted in accordance with this
Section 12.2(b) in the event the value of H for any
Participant for any of the Twelve-Month Measurement Periods
applicable to the Participant for the month is increased in
accordance with Section 12.2(a) because of the application of
paragraph (ii) of the definition of H1. In such event the
System Operator under the direction of the Participants
Committee shall determine each Participant's tentative
Installed Capability Responsibility for the month with and
without the application of said paragraph (ii) The difference
between the sum of all Participants' tentative Installed
Capability Responsibilities, with and without the application
of said paragraph (ii) for the month, shall be added to the
tentative Installed Capability Responsibilities of the
Participants, as determined in accordance with Section
12.2(a), in proportion to said tentative Installed Capability
Responsibilities, thereby establishing each Participant's
adjusted tentative Installed Capability Responsibility for the
month.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) For each month, the System Operator under the direction of the
Participants Committee shall determine the sum of all
Participants' adjusted tentative Installed Capability
Responsibilities, as initially determined in accordance with
Section 12.2(a) and as adjusted in accordance with Section
12.2(b), if Section 12.2(b) is applicable for such month. If
the sum is less than, or equal to, the minimum NEPOOL
Installed Capability during the month, then the adjusted
tentative Installed Capability Responsibility as determined
pursuant to Section 12.2(a) or 12.2(b), whichever is
applicable, for each Participant is the final Installed
Capability Responsibility for each Participant. If the sum
is greater than such minimum NEPOOL Installed Capability, then
each Participant's final Installed Capability Responsibility
shall be its adjusted tentative Installed Capability
Responsibility as determined pursuant to Section 12.2(a) or
12.2(b), whichever is applicable, multiplied by the ratio of
the minimum NEPOOL Installed Capability during the month to
the sum of the adjusted tentative Installed Capability
Responsibilities for the month.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) It is recognized that the treatment of fuel conversions, dual
fuel units, immature units, new Installed Capability
Entitlements, cogeneration and small power-producing
facilities, Unit Contracts and other contract arrangements,
units with unusual maintenance cycles, and various other
matters can result in special problems in the determination of
Unit Availability Adjustment Factors and New Unit Adjustments.
Accordingly, the Markets Committee shall analyze such special
problems and recommend to the Participants Committee for
approval appropriate market operation rules to be applied in
taking such matters into account in the determination of Unit
Availability Adjustment Factors and New Unit Adjustments.
12.3 [Deleted].
12.4 Bids to Furnish Installed Capability. Each Participant shall submit to
------------------------------------
or have on file with the System Operator, in accordance with the market
operation rules approved by the Markets Committee prior to the
activation of the Participants Committee or the Participants Committee
thereafter, one or more bids specifying the Bid Price and Kilowatt
amount at which it will furnish any and
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 161
all surplus Installed System Capability for a month through NEPOOL to
other Participants. If no bid is submitted for a month for any surplus
Installed System Capability, the Bid Price for any such surplus for
which there is no bid shall be deemed to be zero.
12.5 Consequences of Deficiencies in Installed Capability Responsibility.
-------------------------------------------------------------------
(a) At the conclusion of each month, the System Operator shall
determine whether each Participant has satisfied its Installed
Capability Responsibility obligation for the month. If the
minimum monthly Installed System Capability of a Participant
during the month was less than its Installed Capability
Responsibility, the number of Kilowatts of its deficiency
shall be computed and the Participant shall be deemed to
purchase from other Participants through NEPOOL Kilowatts of
surplus Installed System Capability equal to the amount of its
deficiency and shall pay to NEPOOL for the month any
applicable fees for services assessed pursuant to Section 19.2
plus the product of its total Kilowatts of deficiency and the
----
Installed Capability Clearing Price for the month
determined in accordance with Section 12.5(b). For purposes
of this
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 162
Section 12, the minimum monthly Installed System Capability of
a Participant for a month is the Participant's lowest
Installed System Capability for any hour during the month.
Retirements made on the last day of any month shall not be
deducted from Installed System Capability for that month.
(b) At the end of each month, the System Operator shall determine
the Installed Capability Clearing Price for the month as
follows:
(i) The System Operator shall determine the aggregate
Kilowatt shortage of Installed System Capability for
the month for all Participants that did not satisfy
their Installed Capability Responsibilities for that
month.
(ii) The System Operator shall rank in the order of lowest
to highest Bid Price all Bid Prices received from
Participants having excess Installed System
Capability for the month.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇▇▇) For each Participant, its Installed System Capability
with the lowest Bid Prices shall be deemed to have
been furnished first, to the extent required, to meet
its Installed Capability Responsibility. Any
remainder starting with the lowest Bid Prices shall
be deemed to have been furnished, to the extent
required, to other Participants under this Agreement
to meet their shortages of Installed System
Capability for the month.
(iv) The Installed Capability Clearing Price for the month
shall equal the highest Bid Price for Installed
System Capability that is deemed in accordance with
Section 12.5(b)(iii) to have been furnished to
another Participant for the month.
12.6 [Deleted].
12.7 Payments to Participants Furnishing Installed Capability.
--------------------------------------------------------
(a) Participants that are deemed pursuant to Section 12.5 to
furnish any surplus in their Installed System Capability to
other Participants shall
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 164
receive therefor their pro rata shares on a Kilowatt basis of
all payments made by Participants for the month under Section
12.5, excluding any applicable fees for services assessed
pursuant to Section 19.2. If two or more Participants with
excess Installed System Capability have bid Kilowatts at the
Installed Capability Clearing Price, but not all the excess
Installed System Capability bid at such price is required to
meet shortages of Installed System Capability, then the excess
Installed System Capability bid at the Installed Capability
Clearing Price that each such Participant shall be deemed to
have furnished shall be the Kilowatts of excess Installed
System Capability bid by the Participant at that price
multiplied by the ratio of (i) the total Kilowatts of excess
----------
Installed System Capability bid at the Installed Capability
Clearing Price needed to meet the shortages to (ii) the total
Kilowatts of excess Installed System Capability bid by all
Participants at the Installed Capability Clearing Price.
(b) [Deleted].
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 165
SECTION 13
OPERATION, GENERATION, OTHER RESOURCES,
AND INTERRUPTIBLE CONTRACTS
13.1 Maintenance and Operation in Accordance with Good Utility Practice.
-----------------------------------------------------------------------
Each Participant shall, to the fullest extent practicable, cause all
generating facilities and other resources owned or controlled by it to
be designed, constructed, maintained and operated in accordance with
Good Utility Practice.
13.2 Central Dispatch. Subject to the following sentence, each Participant
----------------
shall, to the fullest extent practicable, subject all generating
facilities and other resources owned or controlled by it to central
dispatch by the System Operator; provided, however, that each
Participant shall at all times be the sole judge as to whether or not
and to what extent safety requires that at any time any of such
facilities will be operated at less than full capacity or not at all.
Each Participant may remove from central dispatch a generating facility
or other resources owned or controlled by it if and to the extent such
removal is permitted by rules and standards approved by the
Participants Committee.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 166
13.3 Maintenance and Repair. Each Participant shall, to the fullest extent
----------------------
practicable: (a) cause generating facilities and other resources owned
or controlled by it to be withdrawn from operation for maintenance and
repair only in accordance with maintenance schedules reported to and
published by the System Operator from time to time in accordance with
procedures established or approved by the Markets Committee prior to
the activation of the Participants Committee or the Participants
Committee thereafter, (b) restore such facilities to good operating
condition with reasonable promptness, and (c) accelerate or delay
maintenance and repair at the reasonable request of the System Operator
in accordance with market operation rules approved by the Markets
Committee prior to the activation of the Participants Committee or the
Participants Committee thereafter.
13.4 Objectives of Day-to-Day System Operation. The day-to-day scheduling
------------------------------------------
and coordination through the System Operator of the operation of
generating units and other resources shall be designed to assure the
reliability of the bulk power system of the NEPOOL Control Area. Such
activity shall:
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) satisfy the NEPOOL Control Area's Operating Reserve
requirements, including the proper distribution of those
Operating Reserves;
(b) satisfy the Automatic Generation Control requirements of the
NEPOOL Control Area; and
(c) satisfy the Energy requirements of all Electrical Loads of the
Participants,
all at the lowest practicable aggregate dispatch cost to the NEPOOL
Control Area in light of available Bid Prices and Participant-directed
schedules.
13.5 Satellite Membership. Each Participant which is responsible for the
---------------------
operation of transmission facilities rated 69 kV or above in the NEPOOL
Control Area or generating units and other resources which are subject
to central dispatch by NEPOOL, or which is responsible for implementing
voltage reduction and load shedding procedures in the NEPOOL Control
Area, shall become a member of the appropriate satellite dispatching
center; provided that by mutual agreement among the affected
Participants and the appropriate satellite, a Participant may
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 168
be excused from joining the satellite if it has arranged with a
satellite member to assume responsibility to the satellite for its
facilities or obligations.
SECTION 14
INTERCHANGE TRANSACTIONS
------------------------
14.1 Obligation for Energy, Operating Reserve and Automatic Generation
-----------------------------------------------------------------
Control.
-------
(a) Each Participant shall have for each hour an Energy obligation
equal to its Electrical Load plus the kilowatthours delivered
by such Participant to other Participants in the hour pursuant
to Firm Contracts or System Contracts, together with any
associated electrical losses.
(b) Each Participant shall have for each hour Operating Reserve
obligations equal to its share of the quantity of each
category of Operating Reserve required for the NEPOOL Control
Area in the hour.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 169
Subject to adjustment pursuant to Section 14.6, a
Participant's share of each category of Operating Reserve
required for any hour shall be determined in accordance with
the following formula:
ORp=SAp + [(OR-SA) (ELp/EL)], wherein
ORp is the Participant's share of that category
of Operating Reserve for the hour.
SAp is the number of Kilowatts, if any, of that
category of Operating Reserve for the hour
that the Participants Committee determines
should be assigned specifically to such
Participant and not be shared by all
Participants.
OR is the aggregate number of Kilowatts of that
category of Operating Reserve determined by
the System Operator in accordance with the
directions of the Participants Committee to
be required for the NEPOOL Control Area for
the hour that is not assigned to
Non-Participants.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 170
SA is the aggregate number of Kilowatts of that
category of Operating Reserve for the hour
that the Participants Committee determines
should not be shared by all Participants,
but not including Operating Reserve assigned
to Non-Participants.
ELp is the Participant's Electrical Load for the
hour.
EL is the sum of ELp for all Participants.
(c) Each Participant shall have for each hour an AGC obligation
equal to its share of AGC required for the NEPOOL Control Area
in the hour. Subject to adjustment pursuant to Section 14.6, a
Participant's share of AGC required for any hour shall be
determined in accordance with the following formula:
AGCp=AGC (ELp/EL), wherein
AGCp is the Participant's share of AGC for the
hour.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 171
AGC is the total amount of AGC determined by the
System Operator in accordance with market
operation rules approved by the Markets
Committee prior to the activation of the
Participants Committee or the Participants
Committee thereafter to be required for the
NEPOOL Control Area for the hour that is not
assigned to Non-Participants.
ELp and EL are as defined in Section 14.1(b).
14.2 Obligation to Bid or Schedule, and Right to Receive Energy, Operating
---------------------------------------------------------------------
Reserve and Automatic Generation Control.
----------------------------------------
(a) A Participant which has Energy Entitlements shall submit to or
have on file with the System Operator, in accordance with the
market operation rules approved by the Markets Committee prior
to the activation of the Participants Committee or the
Participants Committee thereafter, one or more bids for the
Energy Entitlements for which the Participant is permitted to
bid specifying the Bid Price at which it will furnish Energy
through NEPOOL to other Participants under this Agreement or
to Non-Participants for ancillary services under the Tariff,
or pursuant to arrangements with Non-Participants entered into
under Section 14.6, except to the extent such Entitlements are
scheduled by the Participant consistent with Section 14.2(d).
(b) A Participant which has Operating Reserve Entitlements or AGC
Entitlements shall also submit to or have on file with the
System Operator, in accordance with the market operation rules
approved by the Markets Committee prior to the activation of
the Participants Committee or the Participants Committee
thereafter, one or more bids for each such Entitlement for
which the Participant is permitted to bid specifying the Bid
Prices at which it will furnish 10-Minute Spinning Reserve,
10-Minute Non-Spinning Reserve, 30-Minute Operating Reserve
and/or AGC through NEPOOL to other Participants under this
Agreement or to Non-Participants for ancillary services under
the Tariff, except to the extent such Entitlements are
scheduled by the Participant consistent with Section 14.2(d).
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) Except as emergency circumstances may result in the System
Operator requiring load curtailments by Participants, each
Participant shall be entitled to receive from the other
Participants (or from the service made available from
Non-Participants pursuant to arrangements entered into
under Section 14.6) such amounts, if any, of Energy, Operating
Reserve, and AGC as it requires and Non-Participants shall be
entitled to receive from Participants the amount of ancillary
services to which they are entitled pursuant to the Tariff.
If, for any hour, load curtailments are required, the amount
that Participants and Non-Participants with shortages are
entitled to receive shall be proportionally reduced by the
System Operator in a fair and non-discriminatory manner in
light of the circumstances.
(d) All Bid Prices for Entitlements shall be submitted in
accordance with market operation rules approved by the Markets
Committee prior to the activation of the Participants
Committee or the Participants Committee thereafter. If a Bid
Price is not submitted for any such Entitlement, the Bid Price
shall be deemed to be zero. For a generating unit in which
there are multiple Entitlement holders, only one Participant
shall be
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 173
permitted to submit Bid Prices for Energy, Operating Reserve
and/or AGC Entitlements for such unit or to direct the
scheduling of the unit for any Scheduled Dispatch Period. The
Entitlement holders in each unit with multiple Entitlement
holders shall designate a single Participant that will be
permitted to submit Bid Prices and/or to direct the scheduling
of the unit. In the event that more than one Participant is
designated, or if the Entitlement holders do not designate a
single Participant, then Bid Prices for the unit shall be
based on its replacement cost of fuel, which shall be
furnished to the System Operator by the Participant
responsible for furnishing such information as of December 1,
1996. Further, any schedules for the unit will be submitted to
the System Operator by such Participant. Nothing in this
Agreement shall affect the rights of any Entitlement holder
under the contractual arrangements among such Entitlement
holders relating to the unit.
Prior to the Third Effective Date, Bid Prices must be
submitted for the next Scheduled Dispatch Period for all
Energy, Operating Reserve and AGC Entitlements in generating
unit or units and Energy Entitlements pursuant to Firm
Contracts or System Contracts which may be scheduled
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 174
by the buyer in accordance with Section 14.7(b) no later than
noon on the preceding day or such later time as is specified
in the market operation rules approved by the Markets
Committee prior to the activation of the Participants
Committee or the Participants Committee thereafter. On and
after the Third Effective Date, such Bid Prices shall be
submitted for each hour of the day and the notice period for
such Bid Prices shall be reduced to one hour or such shorter
time as the System Operator determines from time to time is
practical while maintaining reliability and meeting its other
obligations to the Participants, except that such notice
period shall be longer than one hour if and to the extent that
the System Operator reasonably determines that such notice is
the shortest notice that is technically feasible at that time
to maintain reliability and meet its other obligations to the
Participants. The System Operator shall notify the
Participants following its receipt of all Bid Prices of the
expected dispatch schedule for the next Scheduled Dispatch
Period. The System Operator shall reduce the notice required
for Bid Prices and the applicable Scheduled Dispatch Period to
the minimum time technically and practically feasible while
maintaining reliability and meeting its other obligations to
the Participants.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 175
Energy, Operating Reserve and/or AGC Entitlements in a
generating unit or units may also be scheduled directly by the
Participants permitted to submit Bid Prices for such
Entitlements, but only in accordance with this Section 14.2(d)
and market operation rules approved by the Markets Committee
prior to the activation of the Participants Committee or the
Participants Committee thereafter consistent herewith. Subject
to the right of the System Operator to direct changes to
schedules in order to ensure reliability in the NEPOOL Control
Area or any neighboring control area, a Participant permitted
to bid its Energy, Operating Reserve, and/or AGC Entitlements
in a generating unit or units, or required to make Energy
deliveries, may submit an hour-to-hour schedule for the
operation or dispatch of such Entitlements during a Scheduled
Dispatch Period at or before the time that Bid Prices are
required to be submitted for such period. In addition, prior
to the Third Effective Date, a Participant permitted to bid a
unit or units may submit a short-notice schedule for the
operation or dispatch of any or all of the Energy available
from such unit or units during the current or a subsequent
Scheduled Dispatch Period following the time that the System
Operator notifies the appropriate Participants of their
expected
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 176
Entitlement commitments for that Scheduled Dispatch Period;
provided that, for each such short-notice schedule, the
--------------
Participant has not been advised by the System Operator that
the Energy, Operating Reserve or AGC Entitlements from the
unit or units covered by the Participant's schedule are
expected to be used during the Scheduled Dispatch Period to
meet the region's Energy, Operating Reserve and/or AGC
requirements, and provided further that the Participant
-----------------------
short-notice schedule is only to facilitate transactions
during such period from resources or to load located outside
the NEPOOL Control Area; and provided further that such
-----------------------
schedule is furnished at least one hour in advance of the
start of the transaction. In addition, a Participant may, on
the same short notice, schedule System Contracts with Non-
Participants from resources or to load located outside of the
NEPOOL Control Area.
14.3 Amount of Energy, Operating Reserve and Automatic Generation Control
--------------------------------------------------------------------
Received or Furnished.
---------------------
(a) For purposes of Sections 14.4, 14.5, and 14.8, the amount of
Energy which a Participant is deemed to receive or furnish in
any hour shall be
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 177
the amount of its Adjusted Net Interchange. If the Adjusted
Net Interchange is negative, the Participant shall be deemed
to be receiving Energy in the hour. If the Adjusted Net
Interchange is positive, the Participant shall be deemed to be
furnishing Energy in the hour.
(b) For purposes of Sections 14.4, 14.5, and 14.9, prior to the
Third Effective Date: the amount of each category of
Operating Reserve which a Participant is deemed to receive in
any hour is the Kilowatts of such Operating Reserve assigne
to the Participant for the hour under Section 14.1(b) less any
----
Kilowatts provided in the hour by the Participant in
accordance with the market operation rules approved by the
Markets Committee prior to the activation of the Participants
Committee or the Participants Committee thereafter to meet any
Operating Reserve requirements that were specifically assigned
to it and not shared by all Participants; the amount of
Operating Reserve of each category that the Participant is
deemed to have furnished under the Agreement in the hour is
the amount of such Operating Reserve designated by the System
Operator to be provided in the hour by the Participant's
applicable Operating Reserve Entitlements, minus any
-----
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 178
Kilowatts used in the hour by the Participant in accordance
with the market operation rules to meet any Operating Reserve
requirements that were specifically assigned to it and not
shared by all Participants. For purposes of Sections 14.4,
14.5, and 14.9, on and after the Third Effective Date, the
amount of each category of Operating Reserve which a
Participant is deemed to have received or furnished in any
hour is the difference between the Kilowatts of such Operating
Reserve assigned to the Participant for the hour under Section
14.1(b) and the Kilowatts of such Operating Reserve designated
by the System Operator to be provided in the hour by the
Participant's applicable Operating Reserve Entitlements.
(c) For purposes of Sections 14.4, 14.5, and 14.10, prior to the
Third Effective Date, the amount of AGC which a Participant is
deemed to have received in an hour is the AGC assigned to the
Participant for the hour under Section 14.1(c), and the amount
a Participant is deemed to have furnished in the hour is the
AGC designated by the System Operator to be provided in the
hour by the Participant's AGC Entitlements. For purposes of
Sections 14.4, 14.5, and 14.10, on and
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 179
after the Third Effective Date, the amount of AGC which a
Participant is deemed to have received or furnished in an hour
is the difference between the AGC assigned to the Participant
for the hour under Section 14.1(c) and the AGC designated by
the System Operator to be provided in the hour by the
Participant's AGC Entitlements.
14.4 Payments by Participants Receiving Energy Service, Operating Reserve and
------------------------------------------------------------------------
Automatic Generation Control.
----------------------------
(a) For every hour in which a Participant's Adjusted Net
Interchange is negative, the number of megawatthours of its
Energy deficiency shall be computed and the Participant shall
pay for the hour the product of its total megawatthours of
deficiency and the Energy Clearing Price applicable for the
hour as determined in accordance with Section 14.8, together
with any applicable uplift charges assessed to the Participant
under Sections 14.14 and 14.15 of this Agreement and Section
24 of the Tariff and any applicable fees for services
assessed pursuant to Section 19.2.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) For every hour in which a Participant is deemed to receive
Operating Reserve of any category in accordance with Section
14.3(b), the number of Kilowatts it is deemed to receive for
the hour in each category shall be computed. The Participant
shall pay therefor for the hour any applicable uplift charge
assessed under Section 14.15 and any applicable fees for
services assessed pursuant to Section 19.2 plus the product of
----
(i) the aggregate amount paid to Participants for that
category of Operating Reserve for the hour pursuant to Section
14.5(b) and (ii) a fraction of which the numerator is the
Kilowatts of that category of Operating Reserve deemed under
Section 14.3(b) to have been received by the Participant for
the hour and the denominator is the aggregate Kilowatts of
that category of Operating Reserve deemed under Section
14.3(b) to have been received by all Participants for the
hour.
(c) For every hour in which a Participant is deemed under Section
14.3(c) to have received AGC, the amount it is deemed to
receive shall be computed and the Participant shall pay
therefor any applicable uplift charge assessed under Section
14.15 and any applicable fees for services assessed pursuant
to Section 19.2 plus the product of (i) the aggregate
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 181
amount paid to Participants for AGC for the hour pursuant to
Section 14.5(c) and (ii) a fraction of which the numerator is
the AGC the Participant is deemed under Section 14.3(c) to
have received for the hour and the denominator is the
aggregate amount of AGC all Participants are deemed under
Section 14.3(c) to have received for the hour.
14.5 Payments to Participants Furnishing Energy Service, Operating Reserve,
----------------------------------------------------------------------
and Automatic Generation Control.
--------------------------------
(a) Subject to the provisions of Section 14.12, a Participant that
is deemed in an hour to furnish Energy service to other
Participants pursuant to Section 14.3, or to Non-Participants
for ancillary services under the Tariff or pursuant to
arrangements entered into under Section 14.6, shall receive
for each megawatthour furnished by it the Energy Clearing
Price for the hour determined in accordance with Section 14.8
or the Bid Price for that megawatthour, if higher than the
Energy Clearing Price and the unit is either within the Energy
Clearing Price Block (as defined in Section 14.8(c)) or is
operated out of merit if such higher Bid Price is
appropriately paid pursuant to market operation rules
governing out-of-merit generation approved by the Markets
Committee prior to the activation of the Participants
Committee or the Participants Committee thereafter. In
addition, to the extent that the System Operator reduces
Energy production from a generating unit or units in order to
provide VAR support, Participants with Entitlements in such
unit or units may receive their lost opportunity costs if and
to the extent provided for by market operation rules approved
by the Markets Committee prior to the activation of the
Participants Committee or the Participants Committee
thereafter.
(b) A Participant that is deemed in an hour to furnish Operating
Reserve under the Agreement shall receive for each Kilowatt of
each category of Operating Reserve furnished by it the
applicable Operating Reserve Clearing Price as defined and
determined in accordance with Section 14.9 or the Bid Price to
provide such Kilowatt, if higher than the Operating Reserve
Selling Price for the hour.
(c) A Participant that is deemed in an hour to furnish AGC under
the Agreement shall receive therefor an amount calculated as
follows:
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) the AGC Clearing Price for the hour as defined and
determined in accordance with Section 14.10, times
-----
the change in AGC output of the Participant's AGC
Entitlements which the System Operator requested in
the hour, times an appropriate unit conversion factor
-----
as determined in accordance with market operation
rules approved by the Markets Committee prior to the
activation of the Participants Committee or the
Participants Committee thereafter; plus
----
(ii) an AGC reservation payment for each AGC Entitlement
that the System Operator designated for AGC in the
hour calculated as (A) the AGC Clearing Price in
effect for the hour, times (B) the level of AGC the
-----
System Operator determines to be available in the
hour from the Entitlement, times (C) the portion of
-----
the hour during which the System Operator had
designated the Entitlement for AGC; plus
----
(iii) a payment that compensates the Participant for its
lost opportunity cost, if any, for the operation of
the generating unit
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 183
or combination of units designated for AGC in the
hour below the desired level of output in order to
provide AGC, as determined in accordance with market
operation rules approved by the Markets Committee
prior to the activation of the Participants Committee
or the Participants Committee thereafter.
14.6 Energy Transactions with Non-Participants.
-----------------------------------------
(a) The Participants Committee is authorized to enter into
contracts on behalf of and in the names of all Participants
(i) with power pools or other entities in one or more other
control areas to purchase or furnish emergency Energy (and
related services) that is available for the System Operator to
schedule in order to ensure reliability in the NEPOOL Control
Area or neighboring control areas, and (ii) with Non-
Participants pursuant to which ancillary services will be
provided by the Participants pursuant to the Tariff. The
terms of any such contractual arrangement shall not require
the furnishing of emergency service to any other control area
until the service needs of all Participants have been
provided for with the least expensive resources practicable.
Energy
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 184
purchased in any hour from Non-Participants under a contract
entered into pursuant to this Section 14.6(a) shall be deemed
to be furnished to, and paid for by, Participants entitled to
or requiring such Energy in the hour pursuant to this Section
14 at the higher of the Energy Clearing Price for the hour or
the price paid to the Non-Participant for the Energy.
(b) The Participants Committee is authorized to provide for the
day-to-day scheduling through the System Operator of the HQ
Phase II Firm Energy Contract, in accordance with the HQ Use
Agreement, as if the Contract were a contract covering Energy
transactions with a Non-Participant entered into pursuant to
Section 14.6(a). The HQ Phase II Firm Energy Contract shall
not be deemed a Firm Contract for purposes of this Agreement.
Energy received in an hour from Hydro-Quebec pursuant to the
HQ Energy Banking Agreement, and Energy purchased in any hour
from Hydro-Quebec pursuant to the HQ Phase II Firm Energy
Contract or any other HQ Contract shall be deemed to be Energy
furnished to each Participant entitled to such Energy for the
hour in the amount reflected for the Participant in the System
Operator's scheduling of
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 185
Energy deliveries in the hour from Hydro-Quebec; except that
-----------
emergency Energy received from Hydro-Quebec under the HQ
Interconnection Agreement shall be deemed to be Energy
provided to (and shall be paid for by) Participants requiring
such emergency Energy in the hour. The System Operator shall
schedule such Energy deliveries to accommodate, to the maximum
extent possible, the schedule of Energy deliveries from
Hydro-Quebec requested by the Participant. The Participants
deemed to have received such Energy shall pay therefor the
higher of the Energy Clearing Price (together with any
applicable uplift charges under Sections 14.14 and/or 14.15 of
this Agreement and/or Section 24 of the Tariff and any
applicable fees for services assessed pursuant to Section
19.2) or the price paid to Hydro-Quebec for the Energy (or in
the case of Energy received under the HQ Energy Banking
Agreement, the price paid for the related Energy deliveries to
Hydro- Quebec under the Agreement and any amount payable to
Hydro-Quebec with respect to the transaction).
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 186
14.7 Participant Purchases Pursuant to Firm Contracts and System Contracts.
---------------------------------------------------------------------
(a) For Firm Contracts and System Contracts, the treatment of
Installed Capability, Energy, Operating Reserve and AGC
between the seller and the purchaser in determining their
respective responsibilities and Entitlements shall be as
agreed between the parties and reported to the System Operator
in accordance with market operation rules approved by the
Markets Committee prior to the activation of the Participants
Committee or the Participants Committee thereafter. If and to
the extent necessary to implement the agreement between the
parties, such market operation rules, upon approval by the
Participants Committee, shall supersede the provisions of th
Agreement that otherwise apply for determination of the
respective responsibilities and Entitlements of the parties.
(b) In the event a Participant has the right to receive Energy,
Operating Reserve and/or AGC from a Non-Participant under a
System Contract or a Firm Contract, such Contract shall be
treated as nearly as possible as if it were a Unit Contract
for an Energy Entitlement, Operating Reserve
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 187
Entitlement and/or AGC Entitlement, as applicable, provided
--------
that, in the case of Energy, Operating Reserve, and/or AGC,
----
the System Contract or Firm Contract permits the scheduling of
deliveries of such Energy, Operating Reserve and/or AGC to be
subject in whole or part to central dispatch through the
System Operator in accordance with market operation rules
approved by the Markets Committee prior to the activation of
the Participants Committee or the Participants Committee
thereafter.
14.8 Determination of Energy Clearing Price. For each hour, the System
--------------------------------------
Operator shall determine the Energy Clearing Price as follows:
(a) The System Operator shall rank in the order of lowest to
highest (i) the Dispatch Prices derived from the Bid Prices to
furnish Energy in the hour and (ii) the cost to NEPOOL of any
Energy received from Non-Participants in the hour pursuant to
contracts referenced in Section 14.6.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) The Energy Clearing Price shall be the weighted average of the
Dispatch Prices (or NEPOOL cost) of the "Energy Clearing Price
Block" as defined in the next sentence. The Energy Clearing
Price Block shall be identified for each hour in accordance
with market operation rules approved by the Markets Committee
prior to the activation of the Participants Committee or the
Participants Committee thereafter to reflect those resources
with the highest Dispatch Prices or NEPOOL cost that were
centrally dispatched by the System Operator for Energy deemed
to have been furnished to the Participants, excluding
resources that were dispatched out of merit as determined in
accordance with market operation rules approved by the Markets
Committee prior to the activation of the Participants
Committee or the Participants Committee thereafter.
14.9 Determination of Operating Reserve Clearing Price.
-------------------------------------------------
(a) For each hour as necessary, the System Operator shall
determine the Operating Reserve Clearing Price for each
category of Operating Reserve as follows:
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) The System Operator shall determine the aggregate
Kilowatts of the applicable category of Operating
Reserve that are deemed pursuant to Section 14.3(b)
to have been received by Participants for the hour.
(ii) For 10-Minute Non-Spinning Reserve and 30-Minute
Operating Reserve, the System Operator shall rank in
the order of lowest to highest the Bid Prices of the
resources designated by the System Operator for that
category of Operating Reserve for the hour. The
applicable Operating Reserve Clearing Price for
10-Minute Non-Spinning Reserve or 30-Minute Operating
Reserve shall be the weighted average of the highest
Bid Prices for the ▇▇▇▇ ▇▇▇▇▇▇▇▇▇ (or such other
number as may be specified by the Markets Committee
prior to the activation of the Participants Committee
or the Participants Committee thereafter) of that
category of Operating Reserve that are designated by
the System Operator for use in the hour.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇▇▇) For 10-Minute Spinning Reserve the System Operator
shall rank in order of lowest to highest the
10-Minute Spinning Reserve Lost Opportunity Prices
(as defined in Section 14.9(b)) of the resources
designated by the System Operator for the hour. The
Operating Reserve Clearing Price for 10-Minute
Spinning Reserve shall be the weighted average for
the ▇▇▇▇ ▇▇▇▇▇▇▇▇▇ (or such other number as may be
specified by the Markets Committee prior to the
activation of the Participants Committee or the
Participants Committee thereafter) of the highest
10-Minute Spinning Reserve Lost Opportunity Prices
for the hour of the Entitlements that were designated
by the System Operator for use in the hour.
(b) The System Operator shall determine a 10-Minute Spinning
Reserve Lost Opportunity Price for each hour for use in
determining the Operating Reserve Clearing Price for 10-Minute
Spinning Reserve. For the purposes of Section 14.9, the
10-Minute Spinning Reserve Lost Opportunity Price for a
Participant's resource shall be the amount by which the Energy
Clearing Price for the hour exceeds the resource's
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 191
Dispatch price (not less than zero), plus the Bid Price in the
----
hour for each resource to provide 10-Minute Spinning Reserve.
14.10 Determination of AGC Clearing Price. For each hour, the System Operator
-----------------------------------
shall determine the AGC Clearing Price. The AGC Clearing Price shall be
the weighted average "AGC Capability Price" for the "AGC Clearing Price
Block," as both terms are defined below in this Section 14.10. The AGC
Capability Price for each hour for each AGC Entitlement designated by
the System Operator to provide AGC in the hour shall be a cost per unit
of AGC capability based on the Bid Price for the Entitlement for the
hour divided by the amount of AGC available in the hour from that
Entitlement. The AGC Clearing Price Block shall be identified by the
System Operator for each hour in accordance with market operation rules
approved by the Markets Committee prior to the activation of the
Participants Committee or the Participants Committee thereafter to
reflect those AGC resources with the highest Bid Prices that were
designated by the System Operator to provide AGC in the hour and were
deemed pursuant to Section 14.3(c) to have been received by
Participants for the hour.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 192
14.11 Funds to or from which Payments are to be Made.
----------------------------------------------
(a) All payments for Energy, Operating Reserves or AGC furnished
or received, all uplift charges paid pursuant to this Section
14 of this Agreement and Section 24 of the Tariff, and all
fees for services paid pursuant to Section 19.2, and any
payments by Non-Participants for ancillary services under
Schedules 2-7 to the Tariff or pursuant to arrangements
referenced in Section 14.6, shall be allocated each month
through the Pool Interchange Fund as follows:
Step One. For each week in which Energy is delivered or
---------
received under the HQ Energy Banking Agreement, all payments
with respect to transactions under that Agreement shall be
made to or from the Energy Banking Fund provided for in
Section 14.11(b).
Step Two. (i) For each week in which Pre-Scheduled Energy (as
--------
defined in the HQ Phase I Energy Contract) is purchased
pursuant to the HQ Phase I Energy Contract, the aggregate
amount which is paid pursuant to Section 14.6(b) for such
Energy by each Participant which is a
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
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participant in the Phase I arrangements with Hydro-Quebec
shall be determined and paid on the Participant's account into
the Phase I Savings Fund.
(ii) For each week in which Energy is purchased pursuant to
the HQ Phase II Firm Energy Contract, the aggregate amount
which is paid pursuant to Section 14.6(b) for such Energy by
each Participant which is a participant in the Phase II
arrangements with Hydro-Quebec shall be determined and paid on
the Participant's account into the Phase II Savings Fund.
Step Three. For each week in which Other HQ Energy is
-----------
purchased pursuant to the HQ Phase I Energy Contract or Energy
is purchased pursuant to the HQ Interconnection Agreement, the
aggregate amount paid pursuant to Section 14.6(b) for such
Energy shall be determined for each Participant which is a
participant in the Phase I or Phase II arrangements with
Hydro-Quebec. Such amount shall be allocated between the
Participant's share of the Phase I Savings Fund and the
Participant's share of the Phase II Savings Fund created under
the HQ
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Use Agreement in the same ratio as (A) the sum of (x) the
number of kilowatthours of Other HQ Energy deemed to be
purchased by the Participant during the week and (y) the HQ
Phase I Percentage of the number of kilowatthours deemed to be
purchased by the Participant under the HQ Interconnection
Agreement during the week, bears to (B) the HQ Phase II
Percentage of the number of kilowatthours purchased under the
HQ Interconnection Agreement during the week.
Step Four. The balance remaining in the Pool Interchange Fund
--------
after Steps One through Three shall be retained in the Pool
Interchange Fund for the month and shall be used and disbursed
after each month in the following order:
(i) (A) amounts owed to Non-Participants (other than
Hydro-Quebec) for the month under contracts entered
into with them pursuant to Section 14.6(a) shall be
paid, and (B) amounts owed to Hydro-Quebec for the
month for Energy deemed to be furnished pursuant to
Section 14.6(b) to Participants which are not
participants in the Phase I or Phase II arrangements
with
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Hydro-Quebec shall be paid and, in the event the
price paid by any such Participant for such Energy is
the Energy Clearing Price, the excess, if any, of the
Energy Clearing Price over the amount owed to
Hydro-Quebec shall be paid to the Participant;
(ii) amounts paid by Participants for applicable fees for
services assessed pursuant to Section 19.2 shall be
used to reduce NEPOOL expenses; and
(iii) amounts owed to Participants for the month pursuant
to Section 14.5 shall then be paid.
(b) HQ Energy Banking Fund. All amounts allocated to the HQ
----------------------
Energy Banking Fund for each month shall be used and disbursed
as follows:
(i) Participants which furnish Energy for delivery to
Hydro-Quebec under the HQ Energy Banking Agreement
shall receive therefor from their share of the Energy
Banking Fund the amount to
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which they are entitled for such service in
accordance with Section 14.5.
(ii) amounts required to be paid to Hydro-Quebec under the
HQ Energy Banking Agreement shall be paid from the
shares of the Fund of the Participants engaging in
transactions under the HQEnergy Banking Agreement for
the month in accordance with their respective
interests in the transactions for the month. If
there is not enough in any such share, the
Participants with the deficient shares shall be
billed and pay into their shares of the Fund the
amounts required for payments to Hydro-Quebec.
(iii) subject to the remaining provisions of this Section,
at the end of each month any balance remaining in
each Participant's share of the HQ Energy Banking
Fund shall (I) in the case of any Participant which
is not a participant in the Phase I or Phase II
arrangements with Hydro-Quebec, be paid to such
Participant, and (II) in the case of any Participant
which is a participant in the Phase I or Phase II
arrangements with Hydro-Quebec, be paid to
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the Escrow Agent under the HQ Use Agreement to be
held and disbursed by it through the Phase I Savings
Fund and Phase II Savings Fund created under the HQ
Use Agreement, and shall be allocated between the
Participant's share of said Funds as follows:
(A) the balance remaining in the Participant's
share of the HQ Energy Banking Fund for the
month shall be divided by the number of
kilowatthours deemed to be received by the
Participant under the HQ Energy Banking
Agreement during the month to determine an
average savings amount
per kilowatthour;
(B) for any hour during the month in which the
number of kilowatthours received by NEPOOL
under the HQ Energy Banking Agreement
exceeded the HQ Phase I Transfer Capability,
an amount equal to (A) the Participant's
---------
share of the excess of (1) the number of
kilowatthours received over (2) the HQ Phase
I Transfer Capability times (B) the
-----
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average savings amount per kilowatthour
determined for that Participant under (i)
above shall be allocated to the Phase II
Savings Fund; and
(C) the remaining balance of the Participant's
share of the HQ Energy Banking Fund for the
month shall be allocated to the Phase I
Savings Fund.
It is recognized that, in view of the time which may
elapse between the delivery of Energy to or by
Hydro-Quebec in an Energy Banking transaction under
the HQ Energy Banking Agreement and the return of the
Energy, the amounts of Energy delivered to and
received from Hydro-Quebec, after adjustment for
losses, may not be in balance at the end of a
particular month.
Further, if as of the end of any month and after
adjustment for electrical losses, the cumulative
amount of Energy so received from Hydro-Quebec
exceeds the amount so delivered, the
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aggregate amount paid by Participants for the excess
Energy pursuant to Section 14.6(b) shall be paid to
the Energy Banking Fund. The Escrow Agent under the
HQ Use Agreement shall hold and invest these funds.
On the return of the excess Energy to Hydro-Quebec,
the amount so held by the Escrow Agent shall be
repaid to Hydro-Quebec and Participants in accordance
with the Energy Banking Agreement.
(c) Phase I HQ Savings Fund.The aggregate amount allocated to each
-----------------------
Participant's share of the Phase I HQ Savings Fund for each
month shall be used, first, to pay to Hydro-Quebec the amount
owed to it for the month for Energy furnished under the Phase
I HQ Energy Contract and the HQ Phase I Percentage of the
amount owed to it for the month for Energy furnished to the
Participants under the HQ Interconnection Agreement. The
balance of the amount allocated to the Fund for the month
shall be paid to the Escrow Agent under the HQ Use Agreement
to be held and disbursed by it through the Phase I HQ Savings
Fund created thereunder in accordance with each Participant's
contribution to such balance.
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(▇) Phase II HQ Savings Fund. The aggregate amount allocated to
------------------------
the Phase II HQ Savings Fund for each month shall be used,
first, to pay to Hydro-Quebec the amount owed to it for the
month for Energy deemed to be furnished to the Participant
under the Phase II HQ Firm Energy Contract and the HQ Phase II
Percentage of the amount owed to it for the month for Energy
deemed to be furnished to the Participant under the HQ
Interconnection Agreement. The balance of the amount
allocated to the Fund for the month shall be paid to the
Escrow Agent under the HQ Use Agreement to be held and
disbursed by it through the Phase II HQ Savings Fund created
thereunder in accordance with each Participant's contribution
to such balance.
14.12 Development of Rules Relating to Nuclear and Hydroelectric Generating
---------------------------------------------------------------------
Facilities, Limited-Fuel Generating Facilities, and Interruptible Loads.
------------------------------------------------------------------------
It is recognized that the central dispatch of Energy available from
nuclear generating facilities and from pondage associated with
hydroelectric generating facilities and from interruptible loads and of
pumping Energy for pumped storage hydroelectric generating facilities
and other limited-fuel generating facilities involves special problems
which must be resolved to assure fair and
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non-discriminatory treatment of Participants having Entitlements in
such generating facilities or having such interruptible loads or any
other Participants involved in such transactions. Accordingly, the
Markets Committee shall analyze such special problems and recommend to
the Participants Committee for approval appropriate rules for
dispatching such facilities (including, but not limited to, bids for
dispatchable pumping load at pumped storage facilities), for handling
such interruptible loads and for paying for Energy, Operating Reserve
and AGC involved in such transactions on a basis consistent with the
principles underlying this Section 14; and upon approval by the
Participants Committee such rules shall supersede the provisions of
Sections 12 and 14 to the extent of any conflict.
14.13 Dispatch and Billing Rules During Energy Shortages. It is recognized
----------------------------------------------------
that Energy shortages can result in special problems which must be
resolved to assure that dispatch and billing provisions do not prevent
achievement of the objectives specified in Section 13.4. Accordingly,
the Markets Committee shall analyze such special problems and recommend
to the Participants Committee for approval appropriate dispatch and
billing rules to be applied during periods when the Participants
Committee determines that there is, or is anticipated to
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be, an Energy shortage which adversely affects the bulk power supply of
the NEPOOL Control Area and any adjoining areas served by Participants.
Upon approval by the Participants Committee, such rules shall supersede
the economic dispatch and billing provisions of this Agreement to the
extent of any conflict therewith for the duration of such Energy
shortage period.
14.14 Congestion Uplift.
-----------------
(a) It shall be the responsibility of the Participants Committee
to review prior to January 1, 2000 the Congestion Costs
incurred with the new market arrangements contemplated by
Section 14 of this Agreement and with retail access, and to
determine whether subsection (b) of this Section, together
with an amendment specifying the rights of Participants
and Non-Participants across a constrained interface within the
NEPOOL Control Area and to make other necessary or appropriate
changes in subsection (b), all of the provisions of which
shall be considered for modification, or some other modified
or substitute provision dealing with the allocation of
Congestion Costs in a constrained transmission area, should be
made effective on March 1, 2000 and after the preparation of
necessary implementing rules and computer software or
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on an earlier or later effective date. If the Participants
Committee determines that such a provision should be made
effective, it shall recommend to the Participants any required
amendment to the Agreement and/or the Tariff and a schedule
for implementation which will permit sufficient time for the
development of necessary rules and computer software. If the
Participants Committee is unable to agree on such a
determination prior to January 1, 2000 any Participant or
group of Participants may propose such an amendment and
schedule in a filing with the Commission.
(b) Commencing on the earlier of June 1, 2000 or the beginning of
the first calendar month sixty (60) days after the filing of
an amendment to the Agreement and/or the Tariff by the
Participants Committee, any Participant or group of
Participants, but subject to the adoption of an amendment
specifying the rights of Participants and Non-Participants
across constrained interfaces within the NEPOOL Control Area
and making other necessary or appropriate changes in the
language of this subsection (b), and the preparation of
necessary implementing rules and computer software, (or on
such earlier or later date as is fixed by the
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Participants Committee in accordance with subsection (a) of
this Section), whenever limitations in available transmission
capacity in any hour require that the System Operator dispatch
out-of-merit resources that are bid by the Participants in any
area which is determined to be a constrained transmission area
in accordance with market operation rules approved by the
Regional Market Operations Committee and the Regional
Transmission Operations Committee prior to the activation of
the Participants Committee or the Participants Committee
thereafter, the System Operator shall determine for the
constrained transmission area the aggregate Congestion Costs
for the hour.
Such Congestion Costs for each hour shall be allocated to and
paid by Participants and Non-Participants as a congestion
uplift as follows:
(i) In accordance with market operation rules approved by
the Regional Market Operations Committee and the
Regional Transmission Operations Committee prior to
the activation of the Participants Committee or the
Participants Committee thereafter, the System
Operator shall identify for each Participant and Non-
Participant the difference in megawatt hours, if any,
between (A) Electrical Load served by the Participant
or Non-Participant in the constrained area and
transactions by the Participant or Non-Participant
occurring in the hour which utilized the constrained
interface to move Energy through the constrained area
and (B) the Participant's or Non-Participant's
in-merit Energy Entitlements located in the
constrained area that were used in the hour to serve
such Electrical Load, taking into account Firm
Contracts and System Contracts between Participants
and electrical losses, if and as appropriate.
(ii) The System Operator shall identify for each
Participant and Non-Participant the megawatt hours,
if any, of the rights of that Participant or
Non-Participant to use the then effective transfer
capability across the constrained interface.
(iii) The System Operator shall identify for each
Participant and Non-Participant the megawatt hours,
if any, by which the amount determined pursuant to
clause (i) above for that Participant or
Non-Participant exceeds the amount determined for
that Participant or Non-Participant pursuant to
clause (ii) above. If the clause (i) amount exceeds
the clause (ii) amount, the
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Participant or Non-Participant shall be responsible
for paying a share of the aggregate Congestion Costs
in proportion to the Participant's or
Non-Participant's share of the aggregate amount of
such excesses for all Participants and
Non-Participants, and such Congestion Costs shall be
included, as a transmission charge, in the Regional
Network Service, Internal Point-to-Point Service or
Through or Out Service charge, whichever is
applicable.
(c) As used in this Section 14.14, the "Congestion Cost" of an
out-of-merit resource for an hour means the product of (i) the
difference between its Dispatch Price and the Energy Clearing
Price for the hour, times (ii) the number of megawatt hours of
out-of-merit generation produced by the resource for the hour.
14.15 Additional Uplift Charges. It is recognized that the System Operator
-------------------------
may be required from time to time to dispatch resources out of merit
for reasons other than those covered by Section 14.14 of this Agreement
and Section 24 of the Tariff. Accordingly, if and to the extent
appropriate, feasible and practical,
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dispatch and operational costs shall be categorized and allocated as
uplift costs to those Participants and Non-Participants that are
responsible for such costs. Such allocations shall be determined in
accordance with market operation rules that are consistent with this
Agreement and any applicable regulatory requirements and approved by
the Regional Market Operations Committee prior to the activation of the
Participants Committee or the Participants Committee thereafter.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 207
PART FOUR
TRANSMISSION PROVISIONS
SECTION 15
OPERATION OF TRANSMISSION FACILITIES
------------------------------------
15.1 Definition of PTF. PTF or pool transmission facilities are the
-------------------
transmission facilities owned by Participants rated 69 kV or above
required to allow energy from significant power sources to move freely
on the New England transmission network, and include:
1. All transmission lines and associated facilities owned by
Participants rated 69 kV and above, except for lines and
associated facilities that contribute little or no parallel
capability to the NEPOOL Transmission System (as defined in
the Tariff). The following do not constitute PTF:
(a) Those lines and associated facilities which are
required to serve local load only.
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(▇) Generator leads, which are defined as radial
transmission from a generation bus to the nearest
point on the NEPOOL Transmission System.
(c) Lines that are normally operated open.
2. Parallel linkages in network stations owned by Participants
(including substation facilities such as transformers, circuit
breakers and associated equipment) interconnecting the lines
which constitute PTF.
3. If a Participant with significant generation in its
transmission and distribution system (initially 25 MW) is
connected to the New England network and none of the
transmission facilities owned by the Participant qualify to be
included in PTF as defined in (1) and (2) above, then such
Participant's connection to PTF will constitute PTF if both of
the following requirements are met for this connection:
(a) The connection is rated 69 kV or above.
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(▇) The connection is the principal transmission
link between the Participant and the
remainder of the New England PTF network.
4. Rights of way and land owned by Participants required
for the installation of facilities which constitute
PTF under (1), (2) or (3) above.
The Reliability Committee shall review at least annually the
status of transmission lines and related facilities and
determine whether such facilities constitute PTF and shall
prepare and keep current a schedule or catalogue of PTF
facilities.
The following examples indicate the intent of the above
definitions:
(i) Radial tap lines to local load are excluded.
(ii) Lines which loop, from two geographically
separate points on the NEPOOL Transmission
System, the supply
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to a load bus from the NEPOOL Transmission
System are included.
(iii) Lines which loop, from two geographically
separate points on the NEPOOL Transmission
System, the connections between a generator
bus and the NEPOOL Transmission System are
included.
(iv) Radial connections or connections from a
generating station to a single substation or
switching station on the NEPOOL Transmission
System are excluded, unless the requirements
of paragraph (3) above are met.
Transmission facilities owned by a Related Person of a
Participant which are rated 69 kV or above and are required to
allow Energy from significant power sources to move freely on
the New England transmission network shall also constitute PTF
provided (i) such Related Person files with the Secretary of
the Participants Committee its consent to such treatment; and
(ii) the Participants Committee determines that
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treatment of the facility as PTF will facilitate
accomplishment of NEPOOL's objectives. If a facility
constitutes PTF pursuant to this paragraph, it shall be
treated as "owned" by a Participant for purposes of the Tariff
and the other provisions of Part Four of the Agreement.
15.2 Maintenance and Operation in Accordance with Good Utility Practice.
----------------------------------------------------------------------
Each Participant which owns or operates PTF or other transmission
facilities rated 69 kV or above shall, to the fullest extent
practicable, cause all such transmission facilities owned or operated
by it to be designed, constructed, maintained and operated in
accordance with Good Utility Practice.
15.3 Central Dispatch. Each Participant which owns or operates PTF or other
----------------
transmission facilities rated 69 kV or above shall, to the fullest
extent practicable, subject all such transmission facilities owned or
operated by it to central dispatch by the System Operator; provided,
however, that each Participant shall at all times be the sole judge as
to whether or not and to what extent safety requires that at any time
any of such facilities will be operated at less than their full
capability or not at all.
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15.4 Maintenance and Repair. Each Participant shall, to the fullest extent
----------------------
practicable: (a) cause transmission facilities owned or operated by it
to be withdrawn from operation for maintenance and repair only in
accordance with maintenance schedules reported to and published by the
System Operator in accordance with procedures approved or established
by the Tariff Committee from time to time, (b) restore such facilities
to good operating condition with reasonable promptness, and (c) in
emergency situations, accelerate maintenance and repair at the
reasonable request of the System Operator in accordance with rules
approved by the Tariff Committee.
15.5 Additions to or Upgrades of PTF. The possible need for an addition to
-------------------------------
or upgrade of PTF may be identified in connection with an application
or request for service under the Tariff, or in connection with a
request for the installation of or material change to a generation or
transmission facility, or may be separately identified by a NEPOOL
committee, a Participant or the System Operator. In such cases, a
study, if necessary, to assess available transmission capacity and, if
necessary, a System Impact Study and a Facility Study shall be
performed by the affected Participant(s) in whose Local Network(s) the
addition or upgrade would or might be effected or their designee(s), or
the Reliability
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Committee and/or the System Operator, in the case of a System Impact
Study, or the Committee's or the System Operator's designee(s) with
review of the study by the System Operator if it does not perform the
study. Studies to assess available transmission capacity and System
Impact Studies and Facilities Studies shall be conducted, as
appropriate, in accordance with the affected Participant's Local
Network Service Tariff, or in accordance with the applicable
methodology specified in Attachments C and D to the Tariff, and the
provisions of the Local Network Service Tariff or the applicable
provisions of Attachments I and J to the Tariff shall apply, as
appropriate, with respect to the payment of the costs of the study and
the other matters covered thereby.
If any of the studies referred to above indicates that new PTF
facilities or a facility modification or other PTF upgrades are
necessary to provide the requested service, or in connection with a new
or modified generation or transmission facility, or otherwise in order
to ensure adequate, economic and reliable operation of the bulk power
supply systems of the Participants for regional purposes, whether or
not a particular customer is benefited, upon approval of the studies by
the Reliability Committee, subject to review by the System Operator,
one or more Transmission Providers shall be designated by
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the Reliability Committee, subject to review by the System Operator, to
design and effect the construction or modification.
Upon the designation of a Transmission Provider to design and effect a
PTF addition or upgrade and the fixing of the cost responsibilities of
the Participants and Non-Participants and agreement as to the security
and other provisions of said arrangement, the Transmission Provider
designated to perform the construction shall, in accordance with the
terms of such arrangement and subject to Sections 18.4 and 18.5, use
its best efforts to obtain any necessary public approvals or permits,
to acquire any required rights of way or other property, and to effect
the proposed construction or modification.
Responsibility for the costs of new PTF or any modification or other
upgrade of PTF shall be determined, to the extent applicable, in
accordance with Parts V and VI and Schedule 11 of the Tariff, including
without limitation the provisions relating to responsibility for the
costs of new PTF or modifications or other upgrades to PTF exceeding
regional system, regulatory or other public requirements set forth in
paragraph (ii) of Schedule 11 to the Tariff.
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SECTION 16
SERVICE UNDER TARIFF
--------------------
16.1 Effect of Tariff. The Tariff specifies the terms and conditions under
----------------
which the Participants will provide regional transmission service
through NEPOOL. This Section 16 specifies various rights and
obligations with respect to the revenues to be collected by NEPOOL for
the Participants under the Tariff and related matters.
16.2 Obligation to Provide Regional Service. The Participants which own PTF
--------------------------------------
shall collectively provide through NEPOOL regional transmission service
over their PTF facilities, and the facilities of their Related Persons
which constitute PTF in accordance with Section 15.1, to other
Participants and other Eligible Customers pursuant to the Tariff. The
Tariff provides open access for all of the types of regional
transmission service required by Participants and other Eligible
Customers over PTF and it is intended to be the only source of such
service, except for service provided for Excepted Transactions.
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16.3 Obligation to Provide Local Network Service. Each Participant which
--------------------------------------------
owns transmission facilities other than PTF shall provide service over
such facilities to other Participants or other Eligible Customers
connected to the Transmission Provider's transmission system pursuant
to a tariff (a "Local Network Service Tariff") filed by the
Transmission Provider with the Commission. A Participant is also
obligated to provide service under its Local Network Service Tariff or
otherwise (i) to permit a Participant or other Entity with an
Entitlement in a generating unit in the Participant's local network to
deliver the output of the generating unit to an interconnection point
on PTF and (ii) to permit the delivery to an Eligible Customer taking
Internal Point-to-Point Service under the Tariff of the Energy and/or
capacity covered by its Completed Application for that Internal
Point-to-Point Service.
A Local Network Service Tariff shall provide:
(i) for a pro rata allocation of monthly revenue requirements not
otherwise paid for through charges to Eligible Customers for
Local Point-to-Point Service among the Transmission Provider's
Network Customers receiving service under the tariff on the
basis of their loads during the
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 217
hour in the month in which the total connected load to the
Local Network is at its maximum, without any adjustment for
credits for generation;
(ii) for the recovery under the Local Network Service Tariff from
Eligible Customers taking Regional Network Service and
Internal Point-to-Point Service of that portion of the
Transmission Provider's annual transmission revenue
requirements with respect to PTF which is not recovered
through the distribution of revenues from Regional Network
Service or Internal Point-to-Point Service pursuant to Section
16.6;
(iii) that where all or a part of the load of a Participant or other
Eligible Customers taking service under the tariff is
connected directly to PTF, the Participant or other Eligible
Customers receiving the service shall pay each Year during the
Transition Period for such service with respect to the load
directly connected to PTF the percentage specified in the
schedule below of the applicable Local Network Service Tariff
charge for service across non-PTF transmission facilities and
shall have no obligation to pay charges for service across
non-PTF transmission
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 218
facilities with respect to that portion of the connected load
after the Transition Period, but shall continue to pay its
share of any other Local Network Service costs directly
associated with the PTF-connected load; provided that in the
event of any inconsistency between the foregoing provisions
and the terms of any Excepted Transaction which is listed in
Attachment G-1 to the Tariff, the Excepted Transaction shall
control:
Year One Year Two Year Three Year Four Years
-------- -------- ---------- --------- -----
Five and
--------
Six
---
% of
charge to 100% 80% 60% 40% 20%
be paid
(iv) that if the Transmission Provider receives a distribution
pursuant to Section 16.6 from NEPOOL out of revenues paid for
Through or Out Service or for In Service (as defined in the
Tariff), the amounts received shall reduce its Local Network
Service revenue requirements; and
(v) that if the Transmission Provider receives transmission
revenues from an Eligible Customer taking Local Network
Service from that Transmission Provider with respect to an
Excepted Transaction, the amounts received
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 219
shall reduce the amount due from such Eligible Customer
connected to the Transmission Provider's transmission system
for Local Network Service provided thereto by the Transmission
Provider rather than reducing the Transmission Provider's
total cost of service, except that any reductions to the
amount due from Eligible Customers for Excepted Transactions
identified in Section 25(1) and (2) of the Tariff shall be
made only for service rendered through February 28, 1999, and
such reductions shall cease and shall be replaced thereafter
in their entirety with the credits under the NEPOOL Tariff,
provided in accordance with Sections 25A and 25B of the
Tariff.
16.4 Transmission Service Availability. The availability of transmission
-----------------------------------
capacity to provide transmission service under the Tariff shall be
determined in accordance with the Tariff. In determining the
availability of transmission capacity, existing committed uses of the
Participants' transmission facilities shall include uses for existing
firm loads and reasonably forecasted changes in such loads, and for
Excepted Transactions.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 220
16.5 Transmission Information. Information concerning (i) available
------------------------
transmission capacity, (ii) transmission rates and (iii) system
conditions that may give rise to Interruptions or Curtailments shall be
made available to all Participants and Non-Participants through the
OASIS on a timely and non-discriminatory basis. All Participants
owning PTF or other transmission facilities rated 69 kV or higher shall
make available to the System Operator the information required to
permit the maintenance of the OASIS in compliance with Commission Order
889 and any other applicable Commission orders; provided that no
Participant shall be required to furnish information which is required
to be treated as confidential in accordance with NEPOOL policy without
appropriate arrangements to protect the confidentiality of such
information.
16.6 Distribution of Transmission Revenues. Payments required by the Tariff
-------------------------------------
for the use of the NEPOOL Transmission System shall be made to NEPOOL
and shall be distributed by it in accordance with this Section 16.6.
A. Regional Network Service Revenues. Revenues received by NEPOOL
---------------------------------
for providing Regional Network Service each month during the
Transition Period shall be distributed to those Participants
owning PTF
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 221
or those load-serving Participants supporting PTF which are
obligated to take and pay for Regional Network Service and/or
Internal Point-to- Point Service in accordance with the
Tariff, in part on the basis of allocated flows for the region
as determined in accordance with the methodology specified in
Attachment A to this Agreement and in part in proportion to
the respective Annual Transmission Revenue Requirements for
PTF of such owners and supporters, in accordance with the
following Schedule:
Year One Year Two Year Three Year Four Year Five Year Six
Allocated 25% 20% 15% 10% 5% 2.5%
Flows:
Annual 75% 80% 85% 90% 95% 97.5%
Transmission
Revenue
Requirements:
Revenues received by NEPOOL for providing Regional Network
Service each month after the Transition Period shall be
distributed to the
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 222
Participants owning or supporting PTF in proportion to their
respective Annual Transmission Revenue Requirements for PTF.
B. Through or Out Service Revenues. The revenues received by
-------------------------------
NEPOOL each month for providing Through or Out Service shall
be distributed among the Participants owning PTF on the basis
of allocated flows for the transaction determined in
accordance with the methodology specified in Attachment A to
this Agreement; provided that for service provided during the
Transition Period but not thereafter, for an "Out" transaction
which originates on the system of a Participant which owns the
PTF interconnection facilities on the New England side of the
interface with the other Control Area over which the
transaction is delivered, 100% of the megawatt mile flows with
respect to the transaction shall be deemed to occur on such
Participant's system.
C. Internal Point-to-Point Service Revenues. The revenues
----------------------------------------
received by NEPOOL each month for providing Internal
Point-to-Point Service shall be distributed among those
load-serving Participants owning or supporting PTF which are
obligated to take and pay for Regional
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 223
Network Service and/or Internal Point-to-Point Service in
accordance with the Tariff, in proportion to their respective
Annual Transmission Revenue Requirements for PTF under
Attachment F to the Tariff.
D. Ancillary Service Payments. The revenues received by NEPOOL
--------------------------
pursuant to Schedule 1 to the Tariff (scheduling, system
control and dispatch service) will be used to reimburse
NEPOOL, the System Operator (if the System Operator does not
receive revenues for that service under a separate tariff) and
Participants for the costs which are reflected in the charges
for such service. The revenues received by NEPOOL pursuant to
Schedules 2-7 to the Tariff shall be distributed prior to the
Second Effective Date in accordance with the continuing
provisions of the Prior NEPOOL Agreement and the rules adopted
thereunder, and shall be distributed on or after the Second
Effective Date in accordance with Section 14.
E. Congestion Payments. Any congestion uplift charge received as
-------------------
a payment for transmission service pursuant to Section 24 of
the Tariff for
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 224
any hour shall be applied in accordance with Section 14.5(a)
in payment for Energy service.
SECTION 17
POOL-PLANNED UNIT SERVICE
17.1 Effective Period. The provisions contained in this Section 17 shall
----------------
continue in effect for the period to and including February 28, 2001,
and shall be of no effect after that date.
17.2 Obligation to Provide Service. Until February 28, 2001, each
---------------------------------
Participant shall provide service over its PTF facilities under this
Section 17 rather than under the Tariff, for the following purposes:
(a) the transfer to a Participant's system of its ownership
interest or its Unit Contract Entitlement under a contract
entered into by it before November 1, 1996 in a Pool-Planned
Unit which is off its system;
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FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) the transfer to a Participant's system of its Entitlement in a
purchase under a contract entered into by it before November
1, 1996 (including a purchase under the HQ Phase II Firm
Energy Contract) from Hydro-Quebec where the line over which
the transfer is made into New England is the HQ
Interconnection; and
(c) the transfer to a Non-Participant of its Entitlement in a
Pool-Planned Unit pursuant to an arrangement which has been
approved prior to November 1, 1996 by the Participants
Committee.
17.3 Rules for Determination of Facilities Covered by Particular
-----------------------------------------------------------------------
Transactions. It is anticipated that it may be necessary with respect
------------
to a particular transmission use under subsection (a), (b) or (c) of
Section 17.2 to determine whether the transaction is effected entirely
over PTF, entirely over facilities that are not PTF, or partially over
each.
The following rules shall be controlling in the determination of the
facilities required to effect the use:
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FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) To the extent that EHV PTF is available to effect the
transaction, over all or part of the distance to be covered,
the use shall be deemed to be effected on such EHV PTF over
such portion of the distance to be covered.
(b) To the extent that EHV PTF is not available for the entire
distance to be covered by the use, but Lower Voltage PTF is
available to cover all or part of the distance not covered by
EHV PTF, the transaction shall be deemed to be effected on
such Lower Voltage PTF.
If a Participant has ownership or contractual rights with
respect to an Excepted Transaction which are independent of
this Agreement and the Tariff and are adequate to provide for
a transfer of the types specified in subsections 17.2(a), (b)
or (c), and such rights are not limited to the transfer in
question, the transfer shall be deemed to have been effected
pursuant to such rights and not pursuant to the provisions of
this Agreement. A copy of each instrument establishing such
rights, or an opinion of counsel describing and authenticating
such rights, shall be filed with the Secretary of the
Participants Committee.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 227
17.4 Payments for Uses of EHV PTF During the Transition Period.
---------------------------------------------------------
(a) Each Participant shall pay each month for its uses of EHV PTF
for transfers of Entitlements pursuant to subsections (a) or
(b) of Section 17.2, one-twelfth of the NEPOOL EHV PTF
Participant Summer or Winter Wheeling Rate in effect for the
calendar year ending December 31, 1996, as determined in
accordance with the Prior NEPOOL Agreement, for each Kilowatt
of its current Entitlements which qualify for transfer
pursuant to subsections (a) or (b) of Section 17.2, except as
otherwise provided in Section 17.3; provided that such payment
shall be required with respect to only one-half the Kilowatts
covered by a NEPOOL Exchange Arrangement (as hereinafter
defined).
Each Participant which is a party to the HQ Phase II Firm
Energy Contract (other than a Participant (i) whose system is
directly interconnected to the HQ Interconnection or (ii)
which has contractual rights independent of this Agreement and
the Tariff which give it direct access to the HQ
Interconnection and which are not limited to transfers of
Energy delivered over the HQ Interconnection) shall also pay
each
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 228
month for the use of EHV PTF for deliveries under the Phase II
Firm Energy Contract during the Base Term of the HQ Phase II
Firm Energy Contract, one-twelfth of the NEPOOL EHV PTF
Participant Summer or Winter Wheeling Rate in effect for the
calendar year ending December 31, 1996, as determined in
accordance with the Prior NEPOOL Agreement, for each Kilowatt
of its HQ Phase II Net Transfer Responsibility for the month.
If, and to the extent that, such Responsibility continues for
any period by which the term of said Contract extends beyond
the Base Term, each such Participant shall continue to pay the
above rate during the extension period with respect to its
continuing Responsibility. A Participant shall not be deemed
to be directly interconnected to the HQ Interconnection for
purposes of this paragraph solely because of its participation
in arrangements for the support and/or use of PTF facilities
installed or modified to effect reinforcements of the New
England AC transmission system required in connection with the
HQ Interconnection. A copy of each contract establishing
rights independent of this Agreement and the Tariff which
provides direct access to the HQ Interconnection, or an
opinion of
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 229
counsel describing and authenticating such rights, shall be
filed with the Secretary of the Participants Committee.
The NEPOOL EHV PTF Participant Summer Wheeling Rate for any
calendar year shall be applicable to the months in the Summer
Period.
The NEPOOL EHV PTF Participant Winter Wheeling Rate for any
calendar year shall be applicable to the months in the Winter
Period.
A NEPOOL Exchange Arrangement is one entered into by two
Participants each of which has an ownership interest in a
Pool-Planned Unit on its own system pursuant to which each
sells out of its ownership interest, a Unit Contract
Entitlement to the other for a period of time which is, in
whole or part, the same for both sales. Such an arrangement
shall constitute a NEPOOL Exchange Arrangement even though the
beginning and ending dates of the two Unit Contract sale
periods are different, but only for the period for which both
sales are in effect. If for any period the number of Kilowatts
covered by the two Unit Contract Entitlements of a NEPOOL
Exchange Agreement are not
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 230
the same, the portion of the larger Entitlement which exceeds
the amount of the smaller Entitlement shall not be deemed to
be covered by such NEPOOL Exchange Arrangement for purposes of
this Section 17.4.
(b) Each Participant shall pay each month for its use of EHV PTF
for a transfer of an Entitlement in a Pool-Planned Unit to a
Non-Participant pursuant to Section 17.2(c) such charge as is
fixed by the Participants Committee at the time of its
approval of the sale, and filed with the Commission.
(c) Fifty percent of all amounts required to be paid with respect
to transfers by a Participant pursuant to subsection (a) or
(b) of Section 17.2 shall be paid to a pool transmission fund
and distributed monthly among the Participants in proportion
to the respective amounts of their costs with respect to EHV
PTF for the calendar year 1996 as determined in accordance
with the Prior NEPOOL Agreement.
(d) The remaining 50% of all amounts required to be paid with
respect to transfers by a Participant pursuant to subsections
(a) or (b) of Section
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 231
17.2 shall be paid to, and retained by, the Participant on
whose system the transfer originates, or in the event the EHV
PTF system of such Participant is supported in part by other
Participants, then to the Participant on whose system the
transfer originates and such other Participants in proportion
to the respective shares of the costs of such EHV PTF system
borne by each of them or in such other manner as the
Participants involved may jointly direct; provided that the
Participant on whose system the transfer originates shall have
the right to waive such 50% payment in whole or part as to a
particular transfer except that no such waiver may adversely
affect the payments to any other Participant which is
supporting in part the originating system's EHV PTF system.
17.5 Payments for Uses of Lower Voltage PTF. Each Participant which uses
---------------------------------------
another Participant's Lower Voltage PTF pursuant to this Section 17
shall pay each month to the owner of such Lower Voltage PTF (1) for
each Kilowatt of its use of such Lower Voltage PTF for transfer of
Entitlements pursuant to Subsections 17.2(a), (b) or (c) during the
month, and (2) during the Base Term of the HQ Phase II Firm Energy
Contract (and during any extension of the term of said Contract if and
to the extent its HQ Phase II Net Transfer Responsibility
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 232
continues during the extension period) for each Kilowatt of its HQ
Phase II Net Transfer Responsibility for the month, the owner's Lower
Voltage PTF Winter Wheeling Rate or Summer Wheeling Rate for the 1996
calendar year, as determined in accordance with the Prior NEPOOL
Agreement; except that the requirements for such payments shall
terminate on March 1, 1999 for Participants receiving network service
under both the Tariff and applicable Local Network Service Tariff.
17.6 Use of Other Transmission Facilities by Participants. For the period to
----------------------------------------------------
and including February 28, 1999, each Participant which has no direct
connection between its system and PTF shall be entitled to use the
non-PTF transmission facilities of any other Participant required to
reach its system for any of the purposes for which PTF may be used
under Section 17.2. Such use shall be effected, and payment made, in
accordance with the other Participant's filed open access tariff.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 233
17.7 Limits on Individual Transmission Charges. Any charges for transmission
-----------------------------------------
service pursuant to this Section 17 by any Participant to another
Participant shall be just, reasonable and not unduly discriminatory or
preferential. No provision of this Section 17 shall be construed to
waive the right of any Participant to seek review of any charge, term
or condition applicable to such transmission service by another
Participant by the Commission or any other regulatory authority having
jurisdiction of the transaction.
SECTION 17A
TRANSMISSION OWNERS RESERVED RIGHTS
-----------------------------------
Notwithstanding any other provision of this Agreement, or any other
agreement or amendment made in connection with the restructuring of NEPOOL, each
Transmission Owner shall retain all of the rights set forth in this Section 17A;
provided, however, that such rights shall be exercised in a manner consistent
with the Transmission Owner's rights and obligations under the Federal Power Act
and the Commission's rules and regulations thereunder.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 234
17A.1 Each Transmission Owner shall have the right at any time unilaterally
to file pursuant to Section 205 of the Federal Power Act to change the
revenue requirements underlying its component of the rates for service
under the NEPOOL Tariff and the transmission-related provisions of this
Agreement.
17A.2 Nothing in this Agreement shall restrict any rights, to the extent such
rights exist: (a) of Transmission Owners that are parties to a merger,
acquisition or other restructuring transaction to make a filing under
Section 205 of the Federal Power Act with respect to the reallocation
or redistribution of revenues among such Transmission Owners; or (b) of
any Transmission Owner to terminate its participation in NEPOOL
pursuant to Section 21.2 of this Agreement, notwithstanding any effect
its withdrawal from NEPOOL may have on the distribution of transmission
revenues among other Transmission Owners. Further, nothing in this
Agreement shall be interpreted to permit the adoption of a rate design
change that is inconsistent with any settlement under the Tariff
accepted by the Commission without the consent of all signatories to
the settlement.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 235
17A.3 Each Transmission Owner retains all rights that it otherwise has
incident to its ownership of its assets, including, without limitation,
its PTF and non-PTF, including the right to build, acquire, sell,
merge, dispose of, retire, use as security, or otherwise transfer or
convey all or any part of its assets, including, without limitation,
the right, individually or collectively, to amend or terminate the
Transmission Owner's relationship with the ISO in connection with the
creation of an alternative arrangement for the ownership and/or
operation of its transmission facilities on an unbundled basis (e.g., a
transmission company), subject to necessary regulatory approvals and to
any approvals required under applicable provisions of this Agreement.
This section is not intended to reduce or limit any other rights of a
Transmission Owner as a signatory to this Agreement.
17A.4 The obligation of any Transmission Owner to expand or modify its
transmission facilities in accordance with the Tariff shall be subject
to the Transmission Owners' right to recover, pursuant to appropriate
financial arrangements contained in Commission-accepted tariffs or
agreements, all reasonably incurred costs, plus a reasonable return on
investment, associated with constructing and owning or financing such
expansions or modifications to its facilities.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 236
17A.5 Each Transmission Owner shall have the right to adopt and implement
procedures it deems necessary to protect its electric facilities from
physical damage or to prevent injury or damage to persons or property.
17A.6 Each Transmission Owner retains the right to take whatever actions it
deems necessary to fulfill its obligations under local, state or
federal law.
17A.7 In addition to having the rights reserved under other provisions of
this Section 17A, all Participants retain the right to take any
position before the Commission, and any appellate court with
jurisdiction to review a Commission determination, or to seek a
determination by the Commission, regarding whether, and the extent to
which, the Transmission Owners may retain the exclusive right to make
unilateral filings under Section 205 of the Federal Power Act to amend
the Tariff and the transmission related provisions of this Agreement.
If and to the extent the Commission rules that the Transmission Owners
do not retain such rights, then any such amendment that is not subject
to any of Section 17A.1 through 17A.6 may be filed with the Commission
only upon the approval by the Participants Committee of the amendment
under Section 6.11, including Section 6.11(d). If and to the extent
the Commission
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 237
rules that the Transmission Owners do retain such rights, then the
Transmission Owners, acting through the Transmission Owners Committee,
shall have the exclusive right to make unilateral filings under Section
205 of the Federal Power Act to amend the Tariff and the
transmission-related provisions of this Agreement, other than filings
subject to Sections 17A.1 or 17A.2.
17A.8(a) Notwithstanding anything to the contrary in this Agreement, the
rights of each Participant under the Federal Power Act shall be
preserved.
(b) Any dispute over whether a matter falls within the scope of any of
the rights reserved under this Section 17A will be subject to
resolution pursuant to Section 11.A.
(c) No amendment to any provision of this Section 17A or Section 11B
may be adopted without the agreement of the Transmission Owners
specified in Section 11B.
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FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) Any agreement entered into between NEPOOL and a System Operator
shall require the System Operator to respect the rights reserved under
this Section 17A.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 239
PART FIVE
GENERAL
SECTION 18
GENERATION AND TRANSMISSION FACILITIES
--------------------------------------
18.1 Designation of Pool-Planned Facilities. At the request of a
--------------------------------------------
Participant, the Participants Committee shall designate as
"pool-planned" a generating or transmission facility to be constructed
by the Participant or its Related Person if the Participants Committee
determines that the facility is consistent with NEPOOL planning. The
Participants Committee may not unreasonably withhold designation as a
Pool-Planned Facility of a generation unit or other facility proposed
by one or more Participants in order to satisfy their anticipated
Installed Capability Responsibilities with a mix of generation and
other resources reasonably comparable as to economics and types to that
being developed for New England.
18.2 Construction of Facilities. Subject to Sections 13.1, 15.2, 15.5,
--------------------------
18.3, 18.4 and 18.5, and to the provisions of the Tariff, each
Participant shall have the right to
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 240
determine whether, and to what extent, additions to and modifications
in its generating and transmission facilities shall be made. However,
each Participant shall give due consideration to recommendations made
to it by the Participants Committee or the System Operator for any such
additions or modifications and shall follow such recommendations unless
it determines in good faith that the recommended actions would not be
in its best interest.
18.3 Protective Devices for Transmission Facilities and Automatic Generation
-----------------------------------------------------------------------
Control Equipment.
-----------------
Each Participant shall install, maintain and operate such protective
equipment and switching, voltage control, load shedding and emergency
facilities as the Participants Committee may determine to be required
in order to assure continuity of service and the stability of the
interconnected transmission facilities of the Participants. Until the
Second Effective Date, each Participant shall also install, maintain
and operate such Automatic Generation Control equipment as the
Participants Committee may determine to be required in order to
maintain proper frequency for the interconnected bulk power system of
the Participants and to maintain proper power flows into and out of the
NEPOOL Control Area.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 241
18.4 Review of Participant's Proposed Plans. Each Participant shall submit
---------------------------------------
to the System Operator, Participants Committee, the Reliability
Committee, and the Markets Committee or the Tariff Committee, as
appropriate, for review by them, in such form, manner and detail as the
Participants Committee may reasonably prescribe, (i) any new or
materially changed plan for additions to, retirements of, or changes in
the capacity of any supply and demand-side resources or transmission
facilities rated 69 kV or above subject to control of such Participant,
and (ii) any new or materially changed plan for any other action to be
taken by the Participant which may have a significant effect on the
stability, reliability or operating characteristics of its system or
the system of any other Participant. No significant action (other than
preliminary engineering action) leading toward implementation of any
such new or changed plan shall be taken earlier than sixty days (or
ninety days, if the System Operator or the Participants Committee
determines that it requires additional time to consider the plan and so
notifies the Participant in writing within the sixty days) after the
plan has been submitted to the Committees. Unless prior to the
expiration of the sixty or ninety days, whichever is applicable, the
Participants Committee notifies the Participant in writing that it has
determined that implementation of the plan will have a significant
adverse effect upon the reliability or operating
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characteristics of its system or of the systems of one or more other
Participants, the Participant shall be free to proceed. The time limits
provided by this Section 18.4 may be changed with respect to any such
submission by agreement between the Participants Committee and the
Participant required to submit the plan.
18.5 Participant to Avoid Adverse Effect. If the Participants Committee
-------------------------------------
notifies a Participant pursuant to Section 18.4 that implementation of
the Participant's plan has been determined to have a significant
adverse effect upon the reliability or operating characteristics of its
system or the systems of one or more other Participants, the
Participant shall not proceed to implement such plan unless the
Participant or the Non-Participant on whose behalf the Participant has
submitted its plan takes such action or constructs at its expense such
facilities as the Participants Committee determines to be reasonably
necessary to avoid such adverse effect; provided that if the plan is
for the retirement of a supply or demand-side resource, the Participant
may proceed with its plan only if, after engaging in good faith
negotiations with persons designated by the Participants Committee to
address the adverse effects on reliability or operating
characteristics, the negotiations either address the adverse effects to
the
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satisfaction of the Participants Committee, or no satisfactory
resolution can be achieved on terms acceptable to the parties within 90
days of the Participant's receipt of the Participants Committee's
notice. Any agreement resulting from such negotiations shall be in
writing and shall be filed in accordance with the Commission's filing
requirements if it requires any payment.
SECTION 19
EXPENSES
--------
19.1 Annual Fee. Each Participant shall pay to NEPOOL in January of each
----------
year an annual fee, which shall be applied toward NEPOOL expenses, as
follows:
(a) Each End User Participant which is a non-profit residential or
small business consumer, or non-profit group representing such
entities, shall pay an annual fee of $500.
(b) Each End User Participant, other than non-profit residential
or small business consumers or non-profit groups representing
such entities, shall pay an annual fee of $500; plus an
----
additional fee of $500 per megawatt
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hour of its highest Energy use during any hour in the
preceding year (net of any use of on-site generation) up to a
maximum of $5,000; plus an additional fee of $200 per megawatt
hour for each megawatt hour by which its highest Energy use
during any hour in the preceding year (net of any use of
on-site generation during such hour) exceeded 20 megawatt
hours.
(c) Each Participant which is a Publicly Owned Entity and a member
of the Publicly Owned Entity Sector shall pay an annual fee of
$5,000, except that any such Participant which is engaged in
electricity distribution and had annual Energy sales of less
than 30,000 megawatt hours in the preceding year shall pay an
annual fee of $500, and the difference between $5,000 and $500
for each such Participant shall be paid, as an additional
fee, by the remaining Participants which are Publicly Owned
Entities and members of the Publicly Owned Entity Sector.
(d) Each Participant other than an End User Participant or a
Publicly Owned Entity shall pay an annual fee of $5,000.
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19.2 NEPOOL Expenses. Commencing on January 1, 1999, most expenses of the
----------------
System Operator are recovered by it directly from Participants and Non-
Participants under the ISO's Tariff for Transmission Dispatch and Power
Administration (the "ISO Tariff") or through direct charges for
services rendered by the ISO, and have ceased to be NEPOOL expenses. At
that time, the payment of a portion of NEPEX expenses from the Savings
Fund in accordance with the Prior NEPOOL Agreement also terminated.
Further, commencing on January 1, 1999 through June 30, 1999, the
balance of NEPOOL expenses remaining to be paid after the application
of (i) the annual fee to be paid pursuant to Section 19.1 and (ii) any
fees or other charges for services or other revenues received by
NEPOOL, or collected on its behalf by the System Operator, shall,
except as otherwise provided in Section 19.3, be allocated among and
paid monthly by the Participants in accordance with their respective
voting shares, as determined in accordance with the Agreement
provisions in effect during such period.
Commencing as of July 1, 1999, such balance of NEPOOL expenses for July
and subsequent months shall be divided equally into as many shares as
there are active
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Sectors pursuant to Sector 6.2 (other than an End User Sector) and each
Sector's share shall be paid monthly by the Participants in each such
Sector (other than an End User Sector) in such manner as the
Participants in each Sector may determine by unanimous vote and advise
the ISO, provided that if the Participants in a Sector fail to agree
unanimously on the allocation of their Sector's share, the Participants
in the Sector shall pay for such Sector share in the same proportion as
the vote they are entitled to in the Sector. Participants in the Sector
that are represented by a group voting member shall subdivide their
portion of the Sector's share of expenses in such a manner as they may
determine by unanimous agreement; provided that if there is not
unanimous agreement among the Participants represented by a group
member as to how to allocate their portion of the Sector's share of
expenses, such portion shall be allocated among the Participants
represented by that group member as follows: (i) for each Participant
in the Generation Sector represented by a group voting member, the
portion will be allocated in the same proportion that the Megawatts of
generation owned by the Participants represents of the total Megawatts
owned by Participants represented by the group voting member; and (ii)
for Participants in the Transmission Sector, the portion will be
allocated equally among the Participants represented by the group
member. Notwithstanding the foregoing, no portion of
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such balance shall be paid by End User Participants and, until such
time as an End User Sector is activated, the monthly share allocated to
the Publicly Owned Entity Sector shall be reduced by one-twelfth of the
aggregate annual fees paid by End Users for the year pursuant to
Section 19.1 and one-third of the amount of such reduction shall be
allocated to each of the other three Sectors.
19.3 Restructuring Costs.
-------------------
(a) The expense of restructuring NEPOOL ("Restructuring Expense"),
including but not limited to (i) software development,
hardware and system software costs for implementation of the
Tariff and the new market system, (ii) the costs of the
formation of the Independent System Operator and related
separation costs, (iii) legal and consultant costs related to
the amendment of the NEPOOL Agreement (including the Tariff
and the proceeding with respect thereto at the Federal Energy
Regulatory Commission, and (iv) capital expenditures and
capitalized project costs of the Independent System Operator,
shall be funded (to the extent not already funded) and
amortized according to this Section 19.3.
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(▇) The Restructuring Expense incurred (other than certain capital
expenditures and capitalized project costs funded separately
by the ISO) before the Second Effective Date (the "Early
Restructuring Expense") has been funded during the period
prior to such date by those entities which have been the
Participants during such period. Commencing at the Second
Effective Date, the Early Restructuring Expense shall be
amortized in equal monthly amounts and repaid over the next 60
months with interest thereon at the rate of 8% per annum from
the date of payment. Each month during the first twelve months
of such period each Participant shall pay its percentage "X",
as determined below, of 1/60th of the Early Restructuring
Expense, plus accumulated interest, and each Participant or
other Entity which previously paid an unreimbursed portion of
the aggregate Early Restructuring Expense shall be entitled to
receive each month its percentage "Y", as determined below, of
the aggregate amount to be paid for the month, including
accumulated interest. "X" and "Y" shall be determined i
accordance with the following formulas:
A
X = -- in which
A1
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X is the percentage to be paid for a month by
a Participant of the aggregate amount
payable pursuant to this subsection (b) by
all Participants for the month.
A is the amount payable by the Participant for
the month under Schedule 2 (Energy
Administration Services) of the ISO Tariff
(as defined in Section 19.2) as amended or
revised from time to time.
A1 is the aggregate amount payable by all
Participants for the month under Schedule 2
(Energy Administration Services) of the ISO
Tariff as amended or revised from time to
time.
Y = B
-- in which
B1
Y is the percentage to be received for a month
by a Participant or other Entity of the
aggregate amount to be received pursuant to
this subsection (b) by all Participants or
other Entities for the month.
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▇ is the amount of Early Restructuring Expense
paid by the Participant or other Entity
which has not previously been reimbursed.
B1 is the aggregate amount of Early
Restructuring Expense paid by all
Participants and other Entities which has
not previously been reimbursed.
(c) The Restructuring Expense incurred on the Second Effective
Date and to but not including January 1, 2000 or thereafter
shall be funded each month by the Participants in proportion
to the Member Fixed Voting Shares (as defined in Section
6.9(c)) of each Participant as in effect at the beginning of
the month provided, however, that in calculating the
allocation of this portion of the Restructuring Expense, the
Member Fixed Voting Shares of End User Participants tha
participate in NEPOOL for governance purposes only in
accordance with NEPOOL's Standard Membership Conditions,
Waivers and Reminders ("Governance Only End User
Participants") shall not be included in such calculations and
the amounts that would otherwise have been
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payable by such Governance Only End User Participants will be
allocated to all of the other Participants on the basis of
their Member Fixed Voting Shares.
(d) The Restructuring Expense incurred on or after January 1, 2000
(the"Late Restructuring Expense") shall initially be funded
for each month, on an as incurred basis, by the Participants
in proportion to their charges under the ISO Tariff for the
prior month. The aggregate Late Restructuring Expense funded
in any calendar year shall be amortized in equal monthly
amounts and repaid over the next 60 months, commencing
in January of the immediately succeeding calendar year, with
interest thereon from the date of payment at the rate equal to
the average Weighted Costs of Capital of all Transmission
Providers in effect on October 20, 1999 (without subsequent
adjustment) determined pursuant to Section II(A)(2)(a) of the
Implementation Rule for Calculating Annual Transmission
Revenue Requirements filed as a supplement to the Tariff.
Thus, for example, the Late Restructuring Expense incurred in
2000 will be amortized and repaid over a 60-month period
commencing in January 2001. Each month during the applicable
amortization period each
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Participant shall pay its share of the portion of the Late
Restructuring Expense being amortized during such period, plus
accumulated interest, and each Participant or other Entity
which previously paid an unreimbursed portion of the aggregate
Late Restructuring Expense being amortized during such period
shall be entitled to receive its share of the aggregate amount
paid for such month, including accumulated interest, according
to an allocation methodology that is based on the appropriate
schedules of the ISO Tariff, which allocation methodology will
be established under subsection (e) below.
(e) The Participants agree to amend the Agreement within twelve
months after the Second Effective Date to specify how the
balance of the Early Restructuring Expense is to be paid. The
Participants agree to amend the Agreement by November 1, 2000
to provide for the amortization and repayment of the Late
Restructuring Expense, according to an allocation methodology
that is based on the appropriate schedules of the ISO Tariff
as approved by the Commission.
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(▇) The funding methodology set forth in subsection (d) shall
terminate automatically upon the implementation of a permanent
restructuring funding methodology acceptable to the
Participants Committee and the ISO, to the extent superseded
by such permanent restructuring funding methodology.
SECTION 20
INDEPENDENT SYSTEM OPERATOR
---------------------------
(a) The Participants Committee is authorized and directed to
approve one or more agreements to be entered into with the ISO
(the "ISO Agreement")and any amendments to the ISO Agreement
which the Committee may deem necessary or appropriate from
time to time. The ISO Agreement shall specify the rights and
responsibilities of NEPOOL and the ISO, for the continued
operation of the NEPOOL control center by the ISO as the
control center operator for the NEPOOL Control Area and the
administration of the Tariff. In addition, the ISO shall be
responsible for the furnishing of billing and other services
required by NEPOOL.
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(▇) The fees and charges of the ISO (other than those recovered
under the ISO Tariff, as defined in Section 19.2, and fees and
charges for services which are separately billed), and any
indemnification payable under the ISO Agreement, shall be
shared by the Participants in accordance with Section 19.
(c) The Participants shall provide to the ISO the financial
support, information and other resources necessary to enable
the ISO to provide the services specified in the ISO
Agreement, or in this Agreement, in accordance with Good
Utility Practice and subject to the budgeting, approval and
dispute resolution provisions of the ISO Agreement and this
Agreement.
(d) The Participants shall provide appropriate funding for the
acquisition of land, structures, fixtures, equipment and
facilities, and other capital expenditures and capitalized
project expenditures for the ISO, which are included in the
annual budget for the ISO in accordance with the provisions of
the ISO Agreement, or otherwise specifically approved by the
Participants Committee. All such land, structures, fixtures,
equipment
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and facilities, and other capital assets, and all software or
other intellectual property or rights to intellectual property
or other assets acquired or developed by the ISO in order to
carry out its responsibilities under the ISO Agreement shall
be the property of the Participants or shall be acquired by
the Participants under lease in accordance with arrangements
approved by the Participants Committee. For those Participants
subject to the Public Utility Holding Company Act of 1935
("PUHCA"), any such acquisition by those Participants is
subject to PUHCA approval to the extent such acquisition
requires approval under PUHCA. Unless otherwise agreed by the
Participants, the funding of the acquisition, or lease, of
land, structures, fixtures, equipment and facilities, and
other capital and/or capitalized project related expenditures,
or the acquisition of other assets, and the ownership thereof,
or the obligations of Participants as lessees, shall be in
accordance with Section 19.3 of this Agreement. The
Participants shall make all such assets (including the assets
of the existing NEPOOL headquarters and control center)
available for use by the ISO in carrying out its
responsibilities under the ISO Agreement. The ISO Agreement
shall require the ISO, on behalf of the Participants, to
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maintain and care for, insure as appropriate, and pay any
property taxes relating to, assets made available for its use.
(e) The ISO Agreement shall require the ISO to refrain from any
action that would create any lien, security interest or
encumbrance of any kind upon the facilities, equipment or
other assets of any Participant, or upon anything that becomes
affixed to such facilities, equipment or other assets. The
Participants and the ISO shall include in the ISO Agreement
a provision that, upon the request of any Participant, the ISO
shall (i) provide a written statement that it has taken no
action that would create any such lien, security interest or
encumbrance, and (ii) take all actions within the control of
the ISO, at the direction and expense of the requesting
Participant, required for compliance by such Participant with
the provisions of its mortgage relating to such facilities,
equipment or other assets.
(f) The ISO shall have the right to appoint a non-voting member
and an alternate to each NEPOOL committee other than the
Participants
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Committee. The member appointed to each committee shall have
all of the rights of any other member of the committee except
the right to vote.
(g) The ISO shall have the same rights as a Participant to appeal
to the Participants Committee any action taken by any other
NEPOOL committee, and shall be entitled to appear before the
Participants Committee on any such appeal. Further, the ISO
shall be entitled to submit any dispute with respect to a vote
of the Participants Committee to approve, modify, or reject a
proposed action to resolution in accordance with Section 21.1,
whether or not the action could have been submitted by a
Participant in accordance with Section 21.1A. In addition,
the ISO shall be entitled to submit any dispute with respect
to a vote of the Participants Committee which denies an appeal
to the Participants Committee by the ISO or which takes action
on any rulemaking issue to the Board of Directors of the ISO
for determination, subject to the right of the Participants
Committee to seek a review in accordance with the Alternate
Dispute Resolution procedures or by the Commission. The ISO
shall give notice of any such submission to the Secretary of
the Participants Committee within ten days of the action of
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the Participants Committee and shall mail a copy of such
notice to each member of the Participants Committee. Pending
final action on the submission in accordance with Section 21.1
or by the Board of Directors of the ISO or the Commission, as
appropriate, the giving of notice of the submission shall
suspend the Participants Committee's action. Unless the Board
of Directors of the ISO acts within 60 days of the ISO's
notice to the Participants Committee, the Participants
Committee action will be deemed to be approved.
(h) The ISO Agreement shall specify the ISO's independent
authority with respect to rulemaking.
(i) NEPOOL and its committees and the ISO shall consult and
coordinate from time to time with the relevant state
regulatory, siting and other authorities of the six New
England states on operating, planning and other issues of
concern to the states. The New England Conference of Public
Utilities Commissioners, Inc. ("NECPUC") or its designee shall
be furnished notices of meetings of all NEPOOL committees and
the Board of Directors of the ISO, and minutes of their
meetings. NECPUC
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and other state authorities shall be provided an appropriate
opportunity to appear at meetings of the NEPOOL committees and
the Board of Directors of the ISO and to present their views.
Representatives of NEPOOL and the ISO shall be designated to
attend meetings of NECPUC or any committee or task force of
NECPUC, to the extent NECPUC or its committee or task force
may deem such attendance appropriate.
(j) Appointment of Technical Committee Officers. The System
-------------------------------------------
Operator shall, after its chief executive officer has
conferred with the Participant members of the Liaison
Committee regarding such appointment(s), appoint the Chair and
Secretary of each of the Technical Committees. Each individual
appointed by the System Operator shall be an independent
person not affiliated with any Participant. Before appointing
an individual to the position of Chair or Secretary, the
System Operator shall notify the Committee to which such
officer is being appointed of the proposed assignment and,
consistent with its personnel practices, provide any other
information about the individual reasonably requested by the
Committee. In the event that a Technical
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Committee determines that the performance of the Chair or
Secretary of the Committee is not satisfactory, the Committee
shall provide notice to the System Operator that such
performance deficiencies must be corrected within 60 days. If
the Committee determines that the performance deficiencies
have not been corrected within the 60-day period, the
Committee may vote to remove the officer, subject to appeal to
the Participants Committee. A vote of the Technical Committee
to remove its officer shall be immediately effective and
binding on the System Operator and shall cause the System
Operator to appoint a replacement officer in accordance with
the provisions of this Section 20(j) unless an appeal to the
Participants Committee has been taken prior to the end of the
tenth business day following the vote to remove the officer in
which case the vote for removal shall be subject to the
outcome of such appeal. A vote of the Participants Committee
with respect to any such appeal shall be immediately effective
and binding on the System Operator and not subject to any
further appeals.
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SECTION 21
MISCELLANEOUS PROVISIONS
------------------------
21.1 Alternative Dispute Resolution.
------------------------------
A. General:
-------
If the ISO is aggrieved by a vote of the Participants
Committee to approve, modify or reject a proposed action under
this Agreement, including the Tariff, it may submit the matter
for resolution hereunder. If the Participants Committee is
aggrieved by an action of the ISO Board of Directors ("ISO
Board") under this Agreement, including the Tariff or the ISO
Agreement (as defined in Section 20(a)), the Participants
Committee may submit the matter for resolution hereunder;
provided, however, that if the action of the ISO relates to
rulemaking, the Participants Committee may submit the matters
for resolution under this Section 21.1 only with the
concurrence of the ISO. Any Participant which is aggrieved by
a vote of the Participants Committee to approve, modify or
reject a proposed action under this Agreement, including the
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Tariff, may, as provided below, submit the matter for
resolution hereunder if the vote:
(1) requires such Participant to make a payment or to
take any action pursuant to this Agreement; or
(2) reduces the amount of any receipt or forbids,
pursuant to this Agreement, the taking of any action
by the Participant; or
(3) fails to afford it any right to which it is entitled
under the provisions of this Agreement or imposes on
it a burden to which it is not subject under the
provisions of this Agreement; or
(4) results in the termination of the Participant's
status as a Participant or imposes any penalty on the
Participant; or
(5) results in an allocation of transmission or other
facilities support obligations; or
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(6) fails to grant in full an application for
transmission service pursuant to the Tariff.
No legal or regulatory proceeding (except those reasonably
necessary to toll statutes of limitations, claims for laches
or other bars to later legal or regulatory action) shall be
initiated by any Participant with respect to any such matter
while proceedings are pending under this Section with respect
to the matter.
B. Procedure:
---------
(1) Submission of a Dispute: The ISO or a Participant
-------------------------
seeking review of a vote of the Participants
Committee shall give written notice to the Secretary
of the Participants Committee within ten business
days of the vote, and shall mail or telecopy a copy
of its notice to each member of the Participants
Committee. Where the Participants Committee is
seeking review of an action of the ISO Board, the
Participants Committee shall give written notice to
the
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Secretary of the ISO Board. The provider of notice
under this Section shall be referred to herein as the
"Aggrieved Party."
(2) Suspension of Action: If the ISO seeks review of a
---------------------
vote of the Participants Committee pursuant to this
Section, the vote to be reviewed shall be suspended
pending resolution of such review by the arbitrator
or the Commission if raised in regulatory
proceedings. If a Participant seeks such a review,
the vote to be reviewed shall be suspended for up to
90 days following the giving of the Participant's
notice pending resolution of any arbitration
proceeding unless the Participants Committee
determines that the suspension will imperil the
stability or reliability of the NEPOOL Control Area
bulk power supply.
(3) Aggrieved Party Options: (i) If the notice is to seek
-----------------------
review of a vote of the Participants Committee, the
Aggrieved Party's notice to the Participants
Committee shall invoke arbitration as described
herein in its notice pursuant to paragraph B(1), and
may also initiate mediation with the agreement of the
Participants
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Committee, while reserving such Party's right to
proceed with the arbitration if mediation does not
resolve the matter within 20 days of the giving of
the Party's notice or such longer period as may be
fixed by mutual agreement of the Participants
Committee and the Aggrieved Party. Notwithstanding
the initiation of mediation, the arbitration
proceeding shall proceed concurrently with the
selection of the arbitrator pursuant to paragraph
C(1) of this Section 21.1.
(ii) If the notice is to seek review of an ISO action, the
Participants Committee's notice to the ISO Board
shall (subject to the concurrence of the ISO for
actions relating to rulemaking as provided in Section
21.1A) invoke arbitration as described herein in its
notice pursuant to paragraph B(1), and may also
initiate mediation with the agreement of the ISO
Board, while reserving the Participants Committee's
right to proceed with the arbitration if mediation
does not resolve the matter within 20 days of the
giving of the Participants Committee's notice or such
longer period as may be fixed by mutual agreement of
the ISO Board
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 266
and the Participants Committee. Notwithstanding the
initiation of mediation, the arbitration proceeding
shall proceed concurrently with the selection of the
arbitrator pursuant to paragraph C(1) of this Section
21.1.
(4) Mediation Positions not to be Used Elsewhere: All
-----------------------------------------------
mediation proceedings pursuant to this Section are
confidential and shall be treated as compromise and
settlement negotiations for purposes of applicable
rules of evidence.
(5) Time Limits; Duration: Any other Participant that
---------------------
wishes to participate in an arbitration proceeding
hereunder shall give signed written notice to the
Secretary of the Participants Committee, and to the
Secretary of the ISO Board if the ISO is involved in
such arbitration, no later than ten calendar days
after the giving of the notice of arbitration. The
arbitration procedure shall not exceed 90 calendar
days from the date of the Aggrieved Party's notice
invoking arbitration to the arbitrator's decision
unless the parties agree upon a longer or shorter
time. All
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 267
agreements by the ISO or the aggrieved Participant
and the Participants Committee to use mediation shall
establish a schedule which will control unless later
changed by mutual agreement.
C. Arbitration:
-----------
(1) Selection of Arbitrator: The ISO or the
aggrieved Participant and the Participants
Committee shall attempt to choose by mutual
agreement a single neutral arbitrator to
hear the dispute. If the ISO or the
Participant and the Participants Committee
fail to agree upon a single arbitrator
within ten calendar days of the giving of
notice of arbitration to the Secretary of
the Participants Committee or the Secretary
of the ISO Board, as the case may be, the
American Arbitration Association shall be
asked to appoint an arbitrator. In either
case, the arbitrator shall be knowledgeable
in matters involving the electric power
industry, including the operation of control
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 268
areas and bulk power systems, and shall not
have any substantial business or financial
relationships with the ISO, NEPOOL or its
Participants (other than previous experience
as an arbitrator) unless otherwise mutually
agreed by the ISO or the aggrieved
Participant and the Participants Committee.
(2) Costs: NEPOOL shall be responsible for all
-----
of the costs of the proceeding if it is
initiated by the ISO or by the Participants
Committee. If a proceeding is initiated by
an aggrieved Participant, each party shall
be responsible for the following costs, if
applicable:
(i) its own costs incurred during the
arbitration process (except that
this does not preclude billing the
aggrieved Participant for its share
of NEPOOL Expenses that may include
the Participants Committee's
arbitration costs); plus
----
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FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇▇) One half of the common costs of the
arbitration including, but not
limited to, the arbitrator's fee and
expenses, the rental charge for a
hearing room and the cost of a court
reporter and transcript, if
required.
(3) Hearing Location: Unless otherwise mutually
----------------
agreed, the site for all arbitration
hearings shall be NEPOOL counsel's office.
D. Rules and Procedures:
--------------------
(1) Procedure and Discovery: The procedural
-------------------------
rules (if any), the conduct of the
arbitration and the availability, extent and
duration of pre-hearing discovery (if any),
which shall be limited to the minimum
necessary to resolve the matters in dispute,
shall be determined by the arbitrator in
his/her sole discretion at or prior to the
initial hearing.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 270
(2) Pre-hearing Submissions: The Aggrieved Party
-----------------------
shall provide the arbitrator with a brief
written statement of its complaint and a
statement of the remedy or remedies it
seeks, accompanied by copies of any
documents or other materials it wishes the
arbitrator to review. The Participants
Committee will provide the arbitrator with a
copy of this Agreement and all relevant
implementing documents, a brief description
of the action being arbitrated, copies of
the minutes of all NEPOOL committee meetings
at which the matter was discussed, a brief
statement explaining why the Participants
Committee believes its decision should be
upheld by the arbitrator, and copies of any
documents or other materials the
Participants Committee wishes the arbitrator
to review. If the Participants Committee is
the Aggrieved Party, the ISO Board will
provide copies of minutes of the ISO Board
meetings at which the matter was discussed,
a brief statement explaining why the ISO
Board believes its decision should be upheld
by the arbitrator, and copies of
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 271
any documents or other materials the ISO
Board wishes the arbitrator to review. These
submissions shall be made within five days
after the selection of the arbitrator.
In addition, each party shall designate one
or more individuals to be available to
answer questions the arbitrator may have on
the documents or other materials submitted
by that party. The answers to all such
questions shall be reduced to writing by the
party providing the answer and a copy shall
be furnished to the other party.
(3) Initial Hearing: An initial hearing will be
---------------
held no later than 10 days after the
selection of the arbitrator and shall be
limited to issues raised in the pre-hearing
filings. The scheduling of further hearings
at the request of either party or on the
arbitrator's own motion shall be within the
sole discretion of the arbitrator.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 272
(4) Decision: The arbitrator's decision shall be
--------
due, unless the deadline is extended by
mutual agreement of the ISO or the aggrieved
Participant and the Participants Committee,
within sixty days of the initial hearing or
within ninety days of the Aggrieved Party's
initiation of arbitration, whichever occurs
first. The arbitrator shall be authorized
only to interpret and apply the provisions
of this Agreement and the arbitrator shall
have no power to modify or change the
Agreement in any manner.
(5) Effect of Arbitration Decision: The decision
------------------------------
of the arbitrator will be conclusive in a
subsequent regulatory or legal proceeding as
to the facts determined by the arbitrator
but will not be conclusive as to the law or
constitute precedent on issues of law in any
subsequent regulatory or legal proceedings.
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 273
An aggrieved party may initiate a proceeding with a
court or with the Commission with respect to the
arbitration or arbitrator's decision only:
o if the arbitration process does not
result in a decision within the time
period specified and the proceeding
is initiated within thirty days
after the expiration of such time
period; or
o on the grounds specified in Sections
10 and 11 of Title 9 of the United
States Code for judicial vacation or
modification of an arbitration award
and the proceeding is initiated
within thirty days of the issuance
of the arbitrator's decision.
(6) Other Disputes: In the event a dispute
--------------
arises with a Non-Participant which receives
or is eligible to receive service under this
Agreement or the Tariff with respect to such
service, the Non-Participant shall have the
right to have
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 274
the dispute considered by the Participants
Committee. In the event the Non-Participant
is aggrieved by the Participants Committee's
vote on the dispute, and the vote has any of
the effects specified in paragraph A of this
Section 21.1, the aggrieved Non-Participant
may require that the dispute be resolved in
accordance with this Section 21.1. To the
extent that NEPOOL provides services to
Non-Participants under separate agreements,
the Participants Committee shall incorporate
the provisions of this Section by reference
in any such agreement, in which case the
term "Participant" shall be deemed for
purposes of the dispute resolution
provisions to include such Non-Participant
purchasers of NEPOOL services.
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 275
21.2 Payment of Pool Charges; Termination of Status as Participant.
-------------------------------------------------------------
(a) Any Participant shall have the right to terminate its status
as a Participant upon no less than six months' prior written
notice given to the Secretary of the Participants Committee.
(b) If at any time during the term of this Agreement a receiver or
trustee of a Participant is appointed or a Participant is
adjudicated bankrupt or an order for relief is entered under
the Federal Bankruptcy Code against a Participant or if there
shall be filed against any Participant in any court (pursuant
to the Federal Bankruptcy Code or any statute of Canada or any
state or province) a petition in bankruptcy or insolvency or
for reorganization or for appointment of a receiver or trustee
of all or a portion of the Participant's property, and within
ninety days after the filing of such a petition against the
Participant, the Participant shall fail to secure a discharge
thereof, or if any Participant shall file a petition in
voluntary bankruptcy or seeking relief under any provision of
any bankruptcy or insolvency law or shall make an assignment
for the benefit
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 276
of creditors, the Participants Committee may terminate such
Participant's status as a Participant as of any time
thereafter.
(c) Each Participant is obligated to pay when due in accordance
with NEPOOL procedures all amounts invoiced to it by NEPOOL,
or by the ISO on behalf of NEPOOL. If a Participant disputes
a NEPOOL invoice in whole or part, it shall be entitled to
continue to receive service under the Agreement and the
Tariff, so long as the Participant (i) continues to
make all payments not in dispute, and (ii) pays into an
independent escrow account the portion of the invoice in
dispute, pending resolution of the dispute. If the Participant
fails to meet these two requirements for continuation of
service, NEPOOL may suspend service, in whole or part, to the
Participant sixty days after the giving of notice to the
Participant of NEPOOL's intention to suspend service, in
accordance with Commission policy.
(d) In the event a Participant fails, for any reason other than a
billing dispute as described in subsection (c) of this Section
21.2, to pay when due in accordance with NEPOOL procedures all
amounts invoiced to it
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 277
by NEPOOL, or by the ISO on behalf of NEPOOL, or the
Participant fails to perform any other obligation under the
Agreement or the Tariff, and such failure continues for at
least ten days, NEPOOL may notify the Participant that it is
in default and may initiate a proceeding before the Commission
to terminate such Participant's status as a Participant.
Pending Commission action on such termination, NEPOOL may
suspend service, in whole or part, to the Participant on or
after 50 days after the giving of such notice and the
initiation of such proceeding, in accordance with Commission
policy, unless the Participant cures the default within such
50-day period.
(e) If the status of a Participant as a Participant is terminated
pursuant to this Section 21.2 or any other provision of this
Agreement, such former Participant's generation and
transmission facilities shall continue to be subject to such
NEPOOL or other requirements relating to reliability as the
Commission may approve in acting on the termination, for so
long as the Commission may direct. Further, if any of such
former Participant's transmission facilities are required in
order to permit transactions among any of the remaining
Participants pursuant to this Agreement or the
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 278
Tariff, all pending requests for transmission service under
the Tariff relating to such Participant's facilities shall be
followed to completion under the Participant's own tariff and
all existing service over the Participant's facilities shall
continue to be provided under the Tariff for a period of three
years. It is the intent of this subsection that no such
termination should be allowed to jeopardize the reliability of
the bulk power facilities of any remaining Participant or
should be allowed to impose any unreasonable financial burden
on any remaining Participant.
(f) No such termination of a Participant's status as a Participant
shall affect any obligation of, or to, such former Participant
incurred prior to the effective time of such termination.
21.3 Assignment. The Agreement shall inure to the benefit of, and shall be
----------
binding upon, the successors and assigns of the respective signatories
hereto, but no assignment of a signatory's interests or obligations
under the Agreement or any portion thereof shall be made without the
written consent of the Participants Committee, except as otherwise
permitted by the Tariff, or except in connection with a sale, merger,
or consolidation which results in the transfer of all or a
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 279
portion of a signatory's generation or transmission assets to, and the
assumption of all of the obligations of the signatory under this
Agreement (or in the case of a transfer of a portion of a signatory's
generation or transmission assets, the assumption of obligations of the
signatory under this Agreement with respect to such assets) by, an
acquiring or surviving Entity which either is, or concurrently becomes,
a Participant, or agrees to assume such of the signatory's obligations
with respect to such assets as the Participants Committee may
reasonably require, or except in connection with the grant of a
security interest in a Participant's assets as security for bonds or
other financing.
21.4 Force Majeure. A Participant shall not be considered to be in default
-------------
in respect of any obligation hereunder if prevented from fulfilling
such obligation by an event of Force Majeure. An event of Force Majeure
means any act of God, labor disturbance, act of the public enemy, war,
insurrection, riot, fire, storm or flood, explosion, breakage or
accident to machinery or equipment, any Curtailment, any order,
regulation or restriction imposed by a court or governmental military
or lawfully established civilian authorities, or any other cause beyond
a Participant's control, provided that no event of Force Majeure
affecting any Participant shall excuse that Participant from making any
payment
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 280
that it is obligated to make under this Agreement. A Participant whose
performance under this Agreement is hindered by an event of Force
Majeure shall make all reasonable efforts to perform its obligations
under this Agreement, and shall promptly notify the Participants
Committee of the commencement and end of any event of Force Majeure.
21.5 Waiver of Defaults. No waiver of the performance by a Participant of
------------------
any obligation under this Agreement or with respect to any default or
any other matter arising in connection with this Agreement shall be
effective unless given by the Participants Committee. Any such waiver
by the Participants Committee in any particular instance shall not be
deemed a waiver with respect to any subsequent performance, default or
matter.
21.6 Other Contracts. No Participant shall be a party to any other
---------------
agreement which in any manner is inconsistent with its obligation
under this Agreement.
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 281
21.7 Liability and Insurance.
-----------------------
(a) Each Participant will indemnify and save each of the other
Participants, its officers, directors and Related Persons
(each an "Indemnified Party") harmless from and against all
actions, claims, demands, costs, damages and liabilities
asserted by a third party against the Indemnified Party
seeking indemnification and arising out of or relating to
bodily injury, death or damage to property caused by or
sustained on facilities owned or controlled by such
Participant that are the subject of this Agreement, or caused
by a failure to act in accordance with this Agreement by the
Participant from which indemnification is sought, except (i)
to the extent that such liabilities result from the negligence
or willful misconduct of the Participant seeking
indemnification, and (ii) each Participant shall be
responsible for all claims of its own employees, agents and
servants growing out of any workmen's compensation law. The
amount of any indemnity payment under the provisions of this
Section 21.7 shall be reduced (including, without limitation,
retroactively) by any insurance proceeds or other amounts
actually recovered by the Indemnified Party in respect of the
indemnified action, claim, demand, cost, damage or
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 282
liability. Notwithstanding the foregoing, no Participant shall
be liable to any Indemnified Party for any claim for loss of
profits or revenues, attorneys' fees or costs, cost of capital
or financing, loss of goodwill or cost of replacement power
arising from a Participant's carrying out, or failing to carry
out, any obligations contemplated by this Agreement or for any
other indirect, incidental, special, consequential, punitive,
or multiple damages or loss; provided, however, that nothing
herein shall reduce or limit the obligations of any
Participant to Non-Participants.
(b) Each Participant shall furnish, at its sole expense, such
insurance coverage as the Participants Committee may
reasonably require with respect to its obligation pursuant to
Section 21.7(a).
21.8 Records and Information. Each Participant shall keep such records as
-----------------------
may reasonably be required by a NEPOOL committee or the System
Operator, and shall furnish to such committee or the System Operator
such records, reports and information (including forecasts) as it may
reasonably require, provided the confidentiality thereof is protected
in accordance with NEPOOL's information policy.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 283
21.9 Consistency with NPCC and NERC Standards. The standards, criteria and
----------------------------------------
rules adopted by NEPOOL committees under this Agreement shall be
consistent with those adopted by the NPCC and NERC or any successor to
either.
21.10 Construction.
------------
(a) The Table of Contents contained in this Agreement and the
headings of the Sections of this Agreement are intended for
convenience only and shall not be deemed to be part of this
Agreement or considered in construing it.
(b) This Agreement shall be interpreted, construed and governed in
accordance with the laws of the State of Connecticut.
21.11 Amendment. Subject to Section 17A and the provisions of this Section,
---------
this Agreement, including the Tariff, and any attachment or exhibit
hereto may be amended from time to time by vote of the Participants in
accordance with Section 6.11.
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 284
Any amendment to this Agreement approved in accordance with Section
6.11 and/or Section 17A shall be in writing and shall become effective,
and shall bind all Participants regardless of whether they have
executed a ballot in favor of such amendment, on the date specified in
the amendment, subject to acceptance or approval by the Commission.
Nothing herein shall be construed to prevent any Participant from
challenging any proposed amendment before a court or regulatory agency
on the ground that the proposed amendment or its application to the
Participant is in violation of law or of this Agreement.
21.12 Termination. This Agreement shall continue in effect until terminated,
-----------
in accordance with the Commission's regulations, by Participants
represented by members of the Participants Committee having Member
Fixed Voting Shares equal to at least 70% of the Member Fixed Voting
Shares of all Participants. No such termination shall relieve any party
of any obligation arising prior to the effective time of such
termination.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 285
21.13 Notices to Participants, Committees, Committee Members, or the System
---------------------------------------------------------------------
Operator.
--------
(a) Any notice, demand, request or other communication required or
authorized by this Agreement to be given to any Participant
shall be in writing, and shall be (1) personally delivered to
the Participants Committee member or alternate representing
that Participant; (2) mailed, postage prepaid, to the
Participant at the address of its member on the Participants
Committee as set out in the NEPOOL roster; (3) sent by
facsimile ("faxed") to the Participant at the fax number of
its member on the Participants Committee as set out in the
NEPOOL roster; or (4) delivered electronically to the
Participant at the electronic mail address of its member on
the Participants Committee or at the address of its principal
office. The designation of any such address may be changed at
any time by written notice delivered to the Secretary of the
Participants Committee, who shall cause such change to be
reflected in the NEPOOL roster.
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FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
(▇) Any notice, demand, request or other communication required or
authorized by this Agreement to be given to any NEPOOL
committee shall be in writing and shall be delivered to the
Secretary of the committee. Each such notice shall either be
personally delivered to the Secretary, mailed, postage
prepaid, or sent by facsimile ("faxed") to the Secretary at
the address or fax number set out in the NEPOOL roster, or
delivered electronically to the Secretary. The designation of
such address may be changed at any time by written notice
delivered to each Participant.
(c) Any notice, demand, request or other communication required or
authorized by this Agreement to be given to a member or
alternate to that member of a Principal Committee (for the
purposes of this Section 21.13, individually or collectively
the "Committee Member") shall be (1) personally delivered to
the Committee Member; (2) mailed, postage prepaid, to the
Committee Member at the address of the Committee Member set
out in the NEPOOL roster; (3) sent by facsimile ("faxed")
to the Committee Member at the fax number of the Committee
Member set out in the NEPOOL roster; or (4) delivered
electronically to the
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 287
Committee Member at the electronic mail address of the
Committee Member set out in the NEPOOL roster. The designation
of any such address may be changed at any time by written
notice delivered to the Secretary of the Principal Committee
on which the Committee Member serves, who shall cause such
change to be reflected in the NEPOOL roster.
(d) Any notice, demand, request or other communication required or
authorized by this Agreement to be given to the System
Operator shall be in writing, and shall be (1) personally
delivered to the Participants Committee member or alternate
appointed by the System Operator; (2) mailed, postage prepaid,
to the System Operator at the address of its member on the
Participants Committee as set out in the NEPOOL roster;
(3) sent by facsimile ("faxed") to the System Operator at the
fax number of its member on the Participants Committee as set
out in the NEPOOL roster; or (4) delivered electronically to
the System Operator at the electronic mail address of its
member on the Participants Committee or at the address of its
principal office. The designation of any such address may be
changed at any time by written notice delivered to the
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 288
Secretary of the Participants Committee, who shall cause such
change to be reflected in the NEPOOL roster.
(e) To the extent that the Participants Committee is required to
serve upon any Participant a copy of any document or
correspondence filed with the Commission under the Federal
Power Act or the Commission's rules and regulations
thereunder, by or on behalf of any Principal Committee,
such service may be accomplished by electronic delivery to the
Participant at the electronic mail address of its Participants
Committee member and alternate. The designation of any such
address may be changed at any time by written notice delivered
to the Secretary of the Participants Committee.
(f) Any such notice, demand or request so addressed and mailed by
registered or certified mail shall be deemed to be given when
so mailed. Any such notice, demand, request or other
communication sent by regular mail or by facsimile ("faxed")
or delivered electronically shall be deemed given when
received by the Participant, Committee Member,
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FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 289
System Operator, or Secretary of the NEPOOL committee,
whichever is applicable.
21.14 Severability and Renegotiation. If any provision of this Agreement is
-------------------------------
held by a court or regulatory authority of competent jurisdiction to be
invalid, void or unenforceable, the remainder of the terms, provisions,
covenants and restrictions of this Agreement shall continue in full
force and effect and shall in no way be affected, impaired or
invalidated, except as otherwise explicitly provided in this Section.
If any provision of this Agreement is held by a court or regulatory
authority of competent jurisdiction to be invalid, void or
unenforceable, or if the Agreement is modified or conditioned by a
regulatory authority exercising jurisdiction over this Agreement, the
Participants shall endeavor in good faith to negotiate such amendment
or amendments to this Agreement as will restore the relative benefits
and obligations of the Participants under this Agreement immediately
prior to such holding, modification or condition. If after sixty days
such negotiations are unsuccessful the Participants may exercise their
withdrawal or termination rights under this Agreement.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
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New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 290
21.15 No Third-Party Beneficiaries. Except for the provisions of this
------------------------------
Agreement and the Tariff which provide for service to Non-Participants,
this Agreement is intended to be solely for the benefit of the
Participants and their respective successors and permitted assigns and,
unless expressly stated herein, is not intended to and shall not confer
any rights or benefits on any third party (other than successors and
permitted assigns) not a signatory hereto.
21.16 Counterparts. This Agreement may be executed in any number of
------------
counterparts, and each executed counterpart shall have the same force
and effect as an original instrument and as if all the parties to all
of the counterparts had signed the same instrument. Any signature page
of this Agreement may be detached from any counterpart of this
Agreement without impairing the legal effect of any signatures thereon,
and may be attached to another counterpart of this Agreement identica
in form hereto but having attached to it one or more signature pages.
IN WITNESS WHEREOF, the signatories have caused this Agreement to be
executed by their duly authorized officers or representatives.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 291
ATTACHMENT A
TO RESTATED
NEPOOL AGREEMENT
METHODOLOGY FOR
DETERMINATION OF
TRANSMISSION FLOWS
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 292
The methodology for determining parallel path transmission flows to be
used in determining the distribution of revenues received for Regional Network
Service provided during the Transition Period, or for Through or Out Service, is
as follows, and shall be determined (1) on the basis of the flows for all
transactions in the NEPOOL Control Area ("Regional Flows") for the purpose of
allocating during the Transition Period Regional Network Service revenues, and
(2) on the basis of the flows for the particular transaction ("Transaction
Flows") for the purpose of allocating revenues during or after the Transition
Period from the furnishing of Through or Out Service:
A. Responsibility for Calculations
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The calculation of megawatt mile allocations in accordance with this
methodology shall be performed under the direction of the Reliability Committee.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 293
B. Periodic Review
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Calculations of MW-Mile allocations shall be performed whenever
significant changes to the transmission system load flows, as determined by the
Reliability Committee, occur.
C. Facilities Included in the Analysis
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1. Transmission Lines
A calculation of MW-miles shall be determined for all
PTF lines.
2. Generators
The analysis shall include all generators with a
Winter Capability equal to or greater than 10.0 MW.
Multiple generators connected to a single bus with a
total Winter Capability equal to or greater than 10.0
MW shall also be included.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule ▇▇. ▇, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇. ▇▇▇
▇. Transformers
All transformers connecting PTF transmission lines
shall be included in the analysis.
D. Determination of Rate Distribution
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1. General
Modeling of the transmission system shall be
performed using a system simulation program and
associated cases as approved by the Reliability
Committee.
2. Determination of Regional Flows
The change in real power flow (MW) over each
transmission line and transformer shall be determined
for each generator (or group of generators on a
single bus) by determining the absolute value of the
difference between the flows on each facility with
the
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 295
generator(s) modeled off and while operating at its
net Winter Capability. In addition, a generator shall
be simulated at each transmission line tie to the
NEPOOL Control Area and changes in flow determined
for this generator off or while generating at a level
of 100 MW. Loads throughout the NEPOOL Control Area
shall be proportionally scaled to account for
differences in generator output and electrical
losses. The changes in flow shall be multiplied by
the length of each respective line. Changes in flow
through transformers shall be multiplied by a factor
of five. Changes in flow through phase-shifting
transformers shall be multiplied by a factor of ten.
The resulting values represent the MW-miles
associated with each facility.
3. Determination of Transaction Flows
a. Definition of Supply and Receipt Areas
For the purposes of these calculations,
areas of supply and receipt shall be
determined by the Reliability Committee.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 296
These areas shall be based on the system
boundaries of each Local Network.
b. Calculation of MW-Miles
The change in real power flow (MW) over each
transmission line and transformer shall be
determined for each combination of supply
and receipt areas by determining the
absolute value of the difference between the
flows on each facility following a scaled
increase of the supplying areas generation
by 100 MW. Loads in the area of receipt
shall be scaled to account for changes in
generation and electrical losses. In
instances where the areas of supply and/or
receipt are outside the NEPOOL Control Area,
the changes in real power flow will be
determined only for facilities within the
NEPOOL Control Area. The changes in flow
shall then be multiplied by the length of
each respective line. Changes in flow
through transformers shall be multiplied by
a factor of five.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43
New England Power Pool
FERC Electric Rate Schedule No. 5, Original Revised Sheet No. 297
Changes in flow through phase-shifting
transformers shall be multiplied by a factor
of ten. The resulting values represent the
MW-miles associated with each facility.
4. Assignment of MW-Miles to Participants
Each Participant shall have assigned to it the
MW-miles associated with each PTF facility for which
it has full ownership and for which there are no
arrangements in effect by which other Participants
support the facility. For facilities that are jointly
owned and/or supported, each Participant shall be
assigned MW-miles in proportion to the percentage of
its ownership of jointly-owned facilities and/or the
percentage of its support for facilities that are
jointly supported to the extent such support payments
are included in the determination of Annual
Transmission Revenue Requirements.
Issued by: ▇▇▇▇▇ ▇. ▇▇▇▇ Effective: March 1, 2000
Issued on: December 30, 1999 67269.43