1. (a) Each utility shall file with the department a compliance plan that discloses its affiliates and demonstrates that there are adequate procedures and policies in place for complying with En 2103.01(d), En 2103.02, En 2103.03, and En 2103.04 and the Puc 2100 rules.
2. (b) Compliance plans shall be filed with the department by July 1 each year and updated as required by En 2103.04.
3. (c) The compliance plan shall take effect upon its filing.

4. (d) The compliance plan shall include the following:

   1. (1) Copies of all utility procedures and policies for complying with Puc 2100 and RSA 366;
   2. (2) Identification of all affiliates with which the utility has a contract or arrangement that is subject to Puc 2100 or RSA 366, including contact information for all offices and officers of those affiliates;
   3. (3) A description of the business purpose and nature of the business conducted by each affiliate disclosed pursuant to (2) above;
   4. (4) Copies of all written contracts and arrangements, detailed descriptions of all unwritten contracts and arrangements, and any modifications thereof with each competitive affiliate disclosed pursuant to (2) above except under the circumstances that such copies have already been provided in accordance with (e) below and the utility has so indicated in its compliance filing;
   5. (5) Corporate officer certifications required by Puc 2105.05(d);
   6. (6) Employee transfer tracking information required by Puc 2105.06(a) and (b);
   7. (7) Employee statements required by Puc 2105.06(l); and
   8. (8) Corporate officer certifications required by En 2103.02.

5. (e) Each utility shall file, consistent with RSA 366:3, copies of all service contracts or arrangements which are written or detailed descriptions of all unwritten contracts or arrangements exceeding $500 as follows:

   1. (1) No later than 10 business days after the execution of the contract or the arrangement having been entered into; and
   2. (2) By electronic mail with the department at proceedings@energy.nh.gov.
6. (f) Any contract or arrangement not filed with the department or whose later filing is not approved pursuant to this section shall be subject to the provisions of RSA 366:4.

7. (g) In assessing whether to approve the late filing of a contract under En 2103.01(f), the department shall take into account:

   1. (1) The nature, extent, and gravity of the late filing:
   2. (2) The utility’s history of violations of RSA 366 and related rules of the department or commission;
   3. (3) The good faith efforts, if any, of the utility to comply with the department’s filing requirements;
   4. (4) The nature and degree of economic benefit gained by the utility or its affiliate;
   5. (5) Deterrence of future violations; and
   6. (6) Such other factors that are relevant and material to the particular circumstances.
8. (h) If a utility fails to provide the information required by En 2103 in the manner and time required, it shall be subject to the provisions of RSA 366:7 and the commission’s determination in disallowing payments as set forth at Puc 2106.01.

Source. #14519, eff 2-26-26, EXPIRES: 2-26-36