18 Cfr 358.5

§ 358.5

18 CFR Ch. I (4–1–06 Edition)

sales unit or Energy Affiliate, and the
employee’s position within the chain of
command of the Marketing or Energy
Affiliate.
(iv) The Transmission Provider must
update the information on its OASIS or
Internet website, as applicable, required by §§ 358.4(b)(1), (2) and (3) within
seven business days of any change, and
post the date on which the information
was updated.
(v) The Transmission Provider must
post information concerning potential
merger partners as affiliates within
seven days after the potential merger
is announced.
(vi) All OASIS or Internet website
postings required by part 358 must
comply, as applicable, with the requirements of § 37.6 or §§ 284.12(a) and
(c)(3)(v) of this chapter.
(c) Transfers. Employees of the Transmission Provider, Marketing or Energy
Affiliates are not precluded from transferring among such functions as long
as such transfer is not used as a means
to circumvent the Standards of Conduct. Notices of any employee transfers
between the Transmission Provider, on
the one hand, and the Marketing or Energy Affiliates, on the other, must be
posted on the OASIS or Internet
website, as applicable. The information
to be posted must include: the name of
the transferring employee, the respective titles held while performing each
function (i.e., on behalf of the Transmission Provider, Marketing or Energy
Affiliate), and the effective date of the
transfer. The information posted under
this section must remain on the OASIS
or Internet website, as applicable, for
90 days.
(d) Books and records. A Transmission
Provider must maintain its books of
account and records (as prescribed
under parts 101, 125, 201 and 225 of this
chapter) separately from those of its
Energy Affiliates and these must be
available for Commission inspections.
(e) Written procedures. (1) By February 9, 2004, each Transmission Provider is required to file with the Commission and post on the OASIS or
Internet website a plan and schedule
for implementing the standards of conduct.

(2) Each Transmission Provider must
be in full compliance with the Standards of Conduct by September 22, 2004.
(3) The Transmission Provider must
post on the OASIS or Internet web site,
current written procedures implementing the standards of conduct in
such detail as will enable customers
and the Commission to determine that
the Transmission Provider is in compliance with the requirements of this
section by September 22, 2004 or within
30 days of becoming subject to the requirements of part 358.
(4) Transmission Providers will distribute the written procedures to all
Transmission Provider employees and
employees of the Marketing and Energy Affiliates.
(5) Transmission Providers shall
train officers and directors as well as
employees with access to transmission
information or information concerning
gas or electric purchases, sales or marketing functions. The Transmission
Provider shall require each employee
to sign a document or certify electronically signifying that s/he has participated in the training.
(6) Transmission Providers are required to designate a Chief Compliance
Officer who will be responsible for
standards of conduct compliance.
[Order 2004, 68 FR 69157, Dec. 11, 2003, as
amended by Order 2004–A, 69 FR 23588, Apr.
29, 2004; Order 2004–B, 69 FR 48386, Aug. 10,
2004; Order 2004–C, 70 FR 291, Jan. 4, 2005]

§ 358.5 Non-discrimination
requirements.
(a) Information access. (1) The Transmission Provider must ensure that any
employee of its Marketing or Energy
Affiliate may only have access to that
information available to the Transmission Provider’s transmission customers (i.e., the information posted on
the OASIS or Internet website, as applicable), and must not have access to
any information about the Transmission Provider’s transmission system that is not available to all users of
an OASIS or Internet website, as applicable.
(2) The Transmission Provider must
ensure that any employee of its Marketing or Energy Affiliate is prohibited
from obtaining information about the
Transmission Provider’s transmission

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Federal Energy Regulatory Commission
system (including, but not limited to,
information about available transmission capability, price, curtailments,
storage, ancillary services, balancing,
maintenance activity, capacity expansion plans or similar information)
through access to information not
posted on the OASIS or Internet
website or that is not otherwise also
available to the general public without
restriction.
(b) Prohibited disclosure. (1) An employee of the Transmission Provider
may not disclose to its Marketing or
Energy Affiliates any information concerning the transmission system of the
Transmission Provider or the transmission system of another (including,
but not limited to, information received from non-affiliates or information about available transmission capability, price, curtailments, storage, ancillary services, balancing, maintenance activity, capacity expansion
plans, or similar information) through
non-public communications conducted
off the OASIS or Internet website,
through access to information not
posted on the OASIS or Internet
website that is not contemporaneously
available to the public, or through information on the OASIS or Internet
website that is not at the same time
publicly available.
(2) A Transmission Provider may not
share any information, acquired from
non-affiliated transmission customers
or
potential
non-affiliated
transmission customers, or developed in the
course of responding to requests for
transmission or ancillary service on
the OASIS or Internet website, with
employees of its Marketing or Energy
Affiliates, except to the limited extent
information is required to be posted on
the OASIS or Internet website in response to a request for transmission
service or ancillary services.
(3) If an employee of the Transmission Provider discloses information
in a manner contrary to the requirements of § 358.5(b)(1) and (2), the Transmission Provider must immediately
post such information on the OASIS or
Internet Web site.
(4) A non-affiliated transmission customer may voluntarily consent, in
writing, to allow the Transmission
Provider to share the non-affiliated

§ 358.5
customer’s information with a Marketing or Energy Affiliate. If a non-affiliated customer authorizes the Transmission Provider to share its information with a Marketing or Energy Affiliate, the Transmission Provider must
post notice on the OASIS or Internet
website of that consent along with a
statement that it did not provide any
preferences, either operational or raterelated, in exchange for that voluntary
consent.
(5) A Transmission Provider is not required to contemporaneously disclose
to all transmission customers or potential transmission customers information covered by § 358.5(b)(1) if it relates
solely to a Marketing or Energy Affiliate’s specific request for transmission
service.
(6) A Transmission Provider may
share generation information necessary to perform generation dispatch
with its Marketing and Energy Affiliate that does not include specific information about individual third party
transmission transactions or potential
transmission arrangements.
(7) Neither a Transmission Provider
nor an employee of a Transmission
Provider is permitted to use anyone as
a conduit for sharing information covered by the prohibitions of §§ 358.5(b)(1)
and (2) with a marketing or Energy Affiliate. A Transmission Provider may
share
information
covered
by
§§ 358.5(b)(1) and (2) with employees permitted to be shared under §§ 358.4(a)(4),
(5) and (6) provided that such employees do not act as a conduit to share
such information with any Marketing
or Energy Affiliates.
(8) A Transmission Provider is permitted to share information necessary
to maintain the operations of the
transmission system with its Energy
Affiliates.
(c) Implementing tariffs. (1) A Transmission Provider must strictly enforce
all tariff provisions relating to the sale
or purchase of open access transmission service, if these tariff provisions do not permit the use of discretion.
(2) A Transmission Provider must
apply all tariff provisions relating to
the sale or purchase of open access

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§ 358.5

18 CFR Ch. I (4–1–06 Edition)

transmission service in a fair and impartial manner that treats all transmission customers in a non-discriminatory manner, if these tariff provisions
permit the use of discretion.
(3) A Transmission Provider must
process all similar requests for transmission in the same manner and within
the same period of time.
(4) The Transmission Provider must
maintain a written log, available for
Commission audit, detailing the circumstances and manner in which it exercised its discretion under any terms
of the tariff. The information contained in this log is to be posted on the
OASIS or Internet Web site within 24
hours of when a Transmission Provider
exercises its discretion under any
terms of the tariff.
(5) The Transmission Provider may
not, through its tariffs or otherwise,
give preference to its Marketing or Energy Affiliate, over any other wholesale customer in matters relating to
the sale or purchase of transmission
service (including, but not limited to,

issues of price, curtailments, scheduling, priority, ancillary services, or
balancing).
(d) Discounts. Any offer of a discount
for any transmission service made by
the Transmission Provider must be
posted on the OASIS or Internet
website contemporaneous with the
time that the offer is contractually
binding. The posting must include: the
name of the customer involved in the
discount and whether it is an affiliate
or whether an affiliate is involved in
the transaction, the rate offered; the
maximum rate; the time period for
which the discount would apply; the
quantity of power or gas upon which
the discount is based; the delivery
points under the transaction; and any
conditions or requirements applicable
to the discount. The posting must remain on the OASIS or Internet website
for 60 days from the date of posting.
[Order 2004, 68 FR 69157, Dec. 11, 2003, as
amended by Order 2004–A, 69 FR 23588, Apr.
29, 2004; Order 2004–C, 70 FR 291, Jan. 4, 2005]

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