TITLE 16.ECONOMIC REGULATION

Part 1. RAILROAD COMMISSION OF TEXAS

Chapter 3. OIL AND GAS DIVISION

16 TAC §3.14

The Railroad Commission of Texas (Commission) adopts amendments to §3.14, relating to Plugging, with changes to the version published in the March 14, 2003, issue of the Texas Register (28 TexReg 2160). The Commission adopts these amendments as a result of changes to Texas Natural Resources Code, §89.011, made by Senate Bill 310, 77th Legislature (2001), which became effective September 1, 2001. The Commission also adopts other amendments to allow for Commission approval of variances from certain requirements of the rule, to clarify wording and to conform the rule to Commission practice.

Senate Bill 310 amended Texas Natural Resources Code, §89.011, to require that an operator plugging a well after September 1, 2001, verify the placement of the plug at the base of the deepest fresh water stratum required to be protected, if usable quality water strata are present. Amended §89.011 states that the well is considered to have been properly plugged only when such verification is satisfactory and meets Commission requirements. The Commission has been enforcing this statutory requirement since September 1, 2001, and now adopts amendments to §3.14 to incorporate this requirement.

Statutory amendments to Texas Natural Resources Code, §89.011, also establish that the duty of an operator to properly plug a well that is being plugged back to produce fresh water for the use of the surface owner ends only when the well has been properly plugged in accordance with Commission requirements and the surface owner has obtained a permit for the well from the groundwater conservation district, if applicable. The Commission amends §3.14(a)(4) to state that the Commission will consider an application for a surface owner to condition an abandoned well for fresh water production only if the surface owner submits a signed statement attesting that one of the following four facts exists: there is no groundwater conservation district for the area in which the well is located; there is a groundwater conservation district for the area where the well is located, but the groundwater conservation district does not require that the well be permitted or registered; the surface owner has registered the well with the groundwater conservation district for the area where the well is located; or the surface owner has obtained a permit from the groundwater conservation district for the area where the well is located. In addition, the Commission adds language regarding the requirement that the duty of the operator to properly plug the well ends only when the well has been properly plugged in accordance with Commission requirements up to the base of usable quality water stratum; the Commission has approved the application to condition the well for usable quality water production operations; and the surface owner has registered the well with, or has obtained a permit for the well from, the groundwater conservation district, if applicable. Because the "permitting" requirements of the various groundwater conservation districts are not uniform, the Commission's adopted language reflects the fact that the groundwater conservation districts may require a permit for water wells, require registration of water wells, or neither. Information concerning the various groundwater conservation districts can be found at www.texasgroundwater.org.

The Commission deletes or modifies some of the definitions currently in §3.14(a)(1) and adds new definitions. The Commission adds definitions for "approved cementer," "groundwater conservation district," and "related piping" for clarification. The Commission deletes the definitions for "bay well," "offshore well," and "land well." The Commission also considered deleting the term "individual well bond" in response to comments; however, such deletion was not noticed for this rulemaking. No one who might be in favor of keeping the definition in this rule had an opportunity to comment. The Commission therefore keeps the definition in the adopted rule and will consider its deletion in future rulemakings. All of these terms are defined in §3.78 of this title (relating to Fees, Performance Bonds and Alternate Forms of Financial Security Required To Be Filed). The Commission amends the definition of "usable quality water strata" to reflect the fact that the Texas Natural Resource Conservation Commission is now the Texas Commission on Environmental Quality (TCEQ). The Commission also amends the term "to serve surface notice" to "to serve notice on the surface owner or resident" to clarify to whom the Commission requires an operator to provide notice of intent to plug a well. The Commission proposed to use the term "landowner" instead of "surface owner", and to replace the term "surface notice." In response to comments that the term "surface owner" is what most people use to refer to the person who owns the surface estate, the Commission decided not to use "landowner." The Commission kept the element of the definition that allows notice to be served on the surface owner or resident if the surface owner is not present.

In the proposed amendments, the Commission included language to clarify which specific Commission personnel have the authority to grant the various necessary approvals and proposed an amendment to change the term "assistant director of well plugging" to "deputy director of field operations" to reflect the correct title. However, the Commission adopts the term "Director or the Director's delegate" to refer to the director of the Oil and Gas Division Director or the Commission employee to whom the Director delegates authority to grant the various necessary approvals. The Commission adopts the term "District Director or the District Director's delegate" to refer to the various Oil and Gas Division District Directors or the Commission employee in each respective District to whom the District Director delegates authority to grant the various necessary approvals.

In §3.14(a)(3), the Commission adds a clarifying statement that the Commission's approval of a notice of intent to plug and abandon a well does not relieve an operator of the requirement to comply with the requirements in subsection (b)(2) to plug the well, produce the well, or obtain an extension to plug the well, test the well, or obtain financial assurance for the well.

In §3.14(b)(2)(A), the Commission corrects a citation in subclause (V).

The Commission amends §3.14(b)(2)(E), to clarify the existing requirement that inactive, bonded wells that are over 25 years old must be tested to determine whether the well poses a potential threat of harm to natural resources.

In §3.14(b)(4)(A), the Commission clarifies that the Commission may plug or replug any dry or inactive well, after notice and opportunity for hearing, if any formation fluid is leaking from the well, not just oil or gas.

In §3.14(d)(2), the Commission incorporates the statutory requirement from Senate Bill 310 that the operator verify the placement of the plug required at the base of the deepest usable quality water stratum by tagging the plug with tubing or drill pipe or by an alternate method approved by the district director or the district director's delegate. This change incorporates the statutory requirement the Commission has been enforcing since September 1, 2001, the effective date of SB 310. In addition, the Commission adds to this paragraph language to clarify the existing requirement that plugs be set as necessary to separate multiple usable quality water strata.

The Commission also amends §3.14(d)(4) to include language providing for approval of plugging materials other than cement. The Commission will require that any such request be submitted in writing to the Director or the Director's delegate and include all pertinent information to support such a request. The Commission adopts as the overall standard for approval of a request to use alternate plugging material, that the alternate plugging material and method will ensure that the well does not pose a potential threat of harm to natural resources.

Section 3.14(d)(9) currently requires the use of a mud-laden fluid with specific characteristics during plugging. In response to requests from a member of the Oil Field Cleanup Advisory Committee, the Commission adopts amendments to allow for approval of requests for the use of alternate fluids between plugs.

In §3.14(d)(10), the Commission makes a conforming amendment to delete the reference to §3.94, relating to Disposal of Oil and Gas NORM Waste, which was repealed by the Commission on February 11, 2003, and replaces it with a reference to new §4.614(b) relating to Authorized Disposal Methods, one of the NORM rules which the Commission adopted on that same date. The effective date of new §4.614 is March 3, 2003.

Prior to this proposal, the Commission had received comment that the current language in §3.14(d)(12) was confusing because it could be read to imply that all surface and subsurface piping on a lease or other facility must be removed after plugging. The Commission adds a definition of "related piping" in §3.14(a)(1)(J) and amends the wording in (d)(12), to clarify that only related surface and subsurface piping that is less than three feet beneath the ground surface must be removed within 120 days after plugging work is complete. The Commission clarified this requirement in a January, 1999, notice to operators. This rule incorporates the requirements outlined in the notice.

Finally, the Commission amends the language in subsections (e), (f), and (g) to clarify the placement and minimum length for plugs required with respect to usable quality water strata.

The Commission received 17 comments, two of which were from the following groups or associations: The Texas Oil and Gas Association (TXOGA) and the Texas Independent Producers and Royalty Owners Association (TIPRO), and two of which were from State Representatives Tommy Merritt (District 7) and Chuck Hopson (District 11).

TXOGA and other commenters expressed general support for the intent of the Commission to ensure fresh water protection by proper plugging methods for groundwater isolation and fluid level tests; the amendments clarifying the operator's responsibility for plugging; the process for transferring well bore responsibility to the surface owner; and, the authorization of alternate plugging materials. TIPRO expressed opposition to the part of the amendment because of concern that the amended rule would leave certain strata of usable quality water unprotected.

One commenter requested that the Commission not change this rule. Another commenter expressed concern that the Commission is weakening the current well plugging and abandonment requirements by amending the cement plugging requirements for abandoned oil and gas wells, and expressed concern about disposal wells in areas where there may be improperly plugged oil and gas wells. The Commission recognizes the risk posed by improperly plugged wells, but disagrees with these comments. First, the adopted changes are not intended to and in fact do not weaken standards currently in effect for the protection of usable quality subsurface water. Second, the substantive (as opposed to procedural and clarifying) changes are adopted to implement the requirements of amended Natural Resources Code §89.011, not to weaken the rule. Third, amendments concerning the use of alternative plugging materials provide that such materials will not be allowed unless the operator demonstrates that the alternative materials will effectively protect subsurface water. Finally, applications for disposal wells require an area of review to identify improperly plugged wells.

One commenter requested that the amendments include language to ensure that the wells plugged back for conversion to water wells be included in the State of Texas water well database by requiring notice (in the form of Commission Form P-13) to be sent to the Texas Department of Licensing and Regulation (TDLR), which licenses water well drillers, before the permit is accepted by the RRC. The Commission agrees that plugged wells to be converted to water wells should not be excluded from the water well database and that Form P-13 could be modified for integration into the TDLR process. The Commission is not inclined to make such notice a prerequisite for approval of the Form P-13; however, the Commission will provide this notice to the person at the Texas Water Development Board who maintains TDLR water well database.

Several commenters, including TXOGA, stated that the language in subsection (d)(12) has created confusion, resulting in unnecessary expenditures for operators and the potential for very large future liabilities with no apparent benefits. The Commission agrees that the particular sentence, "Within the same 120 day period, the operator shall remove all such tanks, vessels, related surface piping, and all subsurface piping that is less than three feet beneath the ground surface, remove all loose junk and trash from the location, and contour the location to discourage pooling of surface water at or around the facility site," has been the source of confusion because it may be read to require operators to remove all piping, including flow lines. The adopted change to subsection (d)(12) removes this source of confusion by using the term "related piping" when stating what the operator must remove. The adopted rule defines "related piping" to exclude flowlines, gathering lines, and injection lines that lead up to and away from any collection or treatment facilities covered by the rule.

Several commenters expressed concern about the amendments not requiring a cement plug from 50 feet above the uppermost fresh water sand to 50 feet below the lowest freshwater sand (i.e. across the entire fresh water strata). They urge the Commission not to change the rule to require anything less than it has previously required. The Commission disagrees with this comment because it is not consistent with how the Commission has applied the current requirements of §3.14(e). The current rule and the adopted amendments provide that both the base of the deepest usable quality water stratum and all other usable quality water strata be protected. The adopted language clarifies this requirement. The Commission recognizes that the current language in subsection (e) states that "a cement plug shall be placed from 50 feet below the base of the deepest usable quality water stratum to 50 feet above the top of the stratum," leading people to believe the rule required a plug for the entire width of the stratum. The Commission has never interpreted the rule to impose such a requirement, nor is such requirement necessary to protect fresh water. The Commission has applied the language in current subsection (e) to require a plug 50 feet below and above the base of the deepest freshwater stratum, and 50 feet below and above all separate usable quality water strata as identified by TCEQ and its predecessor agencies. The adopted amendment more clearly tracks the Commission's application and interpretation of the current language and maintains requirements that protect usable quality water. Generally, usable quality water intervals occur above saltwater or hydrocarbon bearing strata, and risk to usable quality water is posed by upward migration of saltwater or hydrocarbons or both. Thus, the rule requires that the base of deepest usable quality water strata be protected, and when additional usable quality water strata are identified, the amendments make clear the existing requirement that plugs shall be set as necessary to separate these strata.

Some commenters suggested that operators, pluggers, and cementers, not the RRC and/or Texas taxpayers, should be held liable for the proper plugging of wells, even if they plugged wells years and/or decades ago. The Commission holds operators and cementers responsible for proper plugging pursuant to §3.14(d)(1). The Commission holds operators and cementers liable for the proper plugging of wells and either or both are accountable to the Commission for complying with the regulations in place at the time a particular well was plugged.

One commenter stated that the addition of the language to allow the TCEQ the ability to require a plug between separate multiple usable quality water strata is an unauthorized delegation to TCEQ. The Commission disagrees that the amendments unlawfully delegate authority to TCEQ. TCEQ is the state agency responsible for identifying separate usable quality water strata. The Commission has always interpreted §3.14(e)(2) to require a plug between separate usable quality water strata. The Commission has historically relied on the TCEQ and its predecessor agencies, which are and have been responsible for maintaining information concerning the location of usable water quality strata. This reliance is reflected in the current version of §3.14. The information from TCEQ, commonly known as the "Water Board letter," tells the responsible operator/plugger and the Commission where usable quality water is present in the well bore, and thus is necessary for the Commission to evaluate and approve a proposed plugging plan.

One commenter stated that requiring the isolation of separate multiple usable quality water strata will add significant cost to the plugging procedure. The Commission disagrees because the adopted rule language does not change Commission practice in this regard.

One commenter stated that verification of the placement of a plug by tagging will cost $3,000 per plug just in rig time. The Commission disagrees. The verification of the placement of the plug by tagging may add some cost to a plugging operation, but typically not $3,000. The proper procedure for tagging plugs is to first spot/pump the cement plug at the required depth, raise the tubing or workstring, and shut down for a minimum of four hours to allow the cement to set up. After four hours the tubing is lowered to tag and verify the top of the cement. Four hours of rig time at a relatively high $250 per hour equals a potential cost of $1,000. Furthermore, current §3.14(e) requires open hole plugs to be evidenced by tagging with tubing or drill pipe. The tagging requirement for all plugs at the base of the deepest usable quality water is a specific provision in SB 310.

One commenter stated that there is no reasoned justification or statutory authority for separation of multiple usable quality water strata occurring above the base of the deepest "fresh water zone required to be protected" by the placement of plugs between the multiple usable quality water strata. The Commission disagrees. First, the practice of protecting multiple usable quality water strata is not new. Second, by statute, the Commission is responsible for protecting all subsurface water.

The commenter asserts that there is no analysis of the cost of this proposed requirement on small business operators as required by Texas Government Code, §2006.001, et seq .; that there is no specific authority delegated to the TCEQ under Texas Water Code, Chapter 27, to require separation of multiple usable quality water strata by plugs, and that the requirement to separate multiple usable quality water strata by plugs exceeds Commission authority under Texas Natural Resources Code, §§89.001, 91.011, 91.012, and 91.106(b), which require only separation of oil and gas strata from fresh water strata to avoid contamination of either strata. The commenter further states that the phrase "Plugs shall be set as necessary to separate multiple usable quality water strata..." is ambiguous, vague and without guiding standards as to what is "necessary," and unlawfully delegates discretion to the TCEQ and the RRC without any standard or guidelines defining "necessary."

The Commission disagrees with these comments. The separation of multiple usable quality water stratum occurring above the base of the deepest "fresh water stratum required to be protected" by the placement of plugs between the multiple usable quality water strata is consistent with current and longstanding Commission practice. There is no need for analysis of the cost of this proposed requirement on small business operators as required by Texas Government Code, §2006.001, et seq ., because the adopted rule does not change this Commission practice, and therefore does not increase costs to small business in a manner that warrants the referenced analysis. Even if there were a need for the analysis, the purpose of the requirement is to prevent pollution and the costs imposed on a business depend on the number of wells for which the business is responsible, regardless of the size of the business. The Commission is charged with protecting subsurface water. How wells are cased and cemented varies, and different completions pose different risks to subsurface water. Some wells may pose a risk to water above the deepest usable quality water stratum. Accordingly, the Commission has the duty to require plugs as necessary to protect multiple separate usable quality water strata as identified by the TCEQ and its predecessor agencies.

One commenter urges that the RRC's conclusion that "the RRC does not believe the amendments will result in any additional cost" is totally unfounded. The commenter states that evaluation of proposed §3.14(d)(2), (e)(4), (f)(3), (g)(4) and (i)(1) and (2) discloses the distinct possibility of adding significant cost to an operator. The Commission disagrees because all of the referenced amendments are clarifications of existing requirements.

One commenter stated that if the RRC complies with its own rules, and if the proposed amendments are adopted, the added cost to plug separate usable quality water strata will reduce funds available from the Oil Field Cleanup Fund to plug wells, with no additional benefits to the public. The Commission disagrees. As stated above, §3.14 currently requires plugs for both the deepest usable quality water strata and separate usable quality water stratum where identified by TCEQ.

One commenter states that the potential perforation of intermediate casing to place plugs separating multiple usable quality water stratum from each other will jeopardize the integrity of the pipe, cause extraordinary additional costs of at least $2,000 to $4,000 or more per required plug, and will not increase protection of usable quality water stratum above the base of the deepest usable quality water. The Commission disagrees. The perforating and squeezing of cement plugs behind casing strings is a common oilfield practice designed to ensure that all annuli are effectively sealed to prevent the migration of wellbore fluids behind casing strings and into strata of usable quality water. However, §3.13, relating to Casing, Cementing, Drilling and Completion Requirements, requires that surface casing be cemented to the surface and, therefore, should not require perforating for plugging purposes. If cement does not exist behind the casing opposite usable quality water strata, providing a conduit by which usable quality water could be contaminated, an operator must perforate and attempt to pump cement behind the casing to eliminate the threat of contamination. The adopted rule does not impose any new requirements or financial obligations in this regard.

One commenter believes that "subpart (2)" appears to unnecessarily require that tubing or drill pipe be cemented in the hole. Moreover, the phrase "plus 10% for each 1,000 feet" is ambiguous. The commenter urges that the proposed amendment may require a very costly operation that adds nothing to the protection of usable quality water strata or protection of the producing horizons, and objects to §3.14(a)(4) permitting a landowner to take over a well without the landowner being required to qualify for one of the required financial or alternative forms of financial security found in Texas Natural Resources Code, §91.104. The commenter states that the operator may remain liable for plugging even though the landowner assumes responsibility for the well as a water well.

The Commission is not clear to which "subpart (2)" the commenter is referring. However, the Commission points out that the phrase "10% for each 1,000 feet" has been a part of §3.14 for years and was not changed by these amendments.

The Commission disagrees with the comment that it is improper for a landowner to take over a well without the landowner being required to qualify for one of the required financial or alternative forms of financial security found in Texas Natural Resource Code §91.104. Senate Bill 310 did not address financial security requirements for converted oil and gas wells.

TXOGA and other commenters state that with respect to the definition of Individual Well Bond, this term should be deleted completely from the rule because it is not used. The Commission agrees to consider deleting the definition of "Individual Well Bond" from this rule in the future, but points out that such deletion was not part of the proposal. Because the public would not have an opportunity to comment on such deletion, the Commission has determined not to make it part of this rulemaking.

TIPRO, Rep. Hopson and Rep. Merritt opposed changes to subsection (e)(1) that would allow wells with insufficient surface casing to be plugged to only 50 feet above the base of the deepest usable quality water, and asserted that if this is the only requirement then subsurface water is at risk. The Commission disagrees that placement of a plug 50 feet above and below the deepest usable quality water is the only requirement. The adopted amendments do not change the requirement that in addition to the plug required for the deepest usable quality water depth, plugs shall be set as necessary to separate multiple usable quality water strata by placing a plug at each depth as determined by the TCEQ. This provision is consistent with current practice that requires a plug at each depth identified in the Water Board letter. The adopted rule continues the Commission practice protecting all identified strata with a plug 50 feet above and 50 feet below the identified depth. In addition, provisions in §3.14 (b)(7) allow the District office to require more protection where the circumstances warrant such protection.

Commission District staff had an opportunity to visit with Rep. Merritt, and after he was given explanation from the above paragraph, he advised the Commission that he agrees with the proposed amendments.

TXOGA expressed appreciation for the opportunity in subsection (d)(4) to use alternate plugging materials other than cement, but requests that the Commission delegate to the districts the authority to approve alternate materials. The Commission disagrees that the use of alternate plugging material may be approved by the district director. The adopted amendment requires the Oil and Gas Division Director or the Director's delegate to issue such approvals because the Commission believes this type of decision warrants consistency of application to avoid the possibility of different districts imposing different standards. Once a new method is approved, it will become available to the Districts.

The United States Environmental Protection Agency Region Six (EPA) commented that because the Commission's underground injection control program under the federal Safe Drinking Water Act requires that all Class II wells be plugged upon abandonment in accordance with Rule 14, the EPA views the proposed amendments to Rule 14 as a modification to the Texas Class II UIC program. EPA commented that, in the absence of a statement of criteria by which alternate plugging materials would be allowed under the rule, EPA would consider the amendments of such scope as to require a program revision submission.

The Commission disagrees. The amendments to Rule 14 provide a mechanism only for approval of alternative plugging materials. As proposed, requests for approval of alternative plugging materials will be reviewed on a case-by-case basis by executive staff in the Austin Headquarters. Further, such requests will be approved only if the Commission is sure that the alternative plugging materials will afford equal protection of usable quality water. Factors the Commission will consider in making a decision on whether or not to approve such a request will include but will not be limited to whether or not a well to be plugged using an alternative method was used as an injection or disposal well; the well's history; the well's current bottom hole pressure; the presence of highly pressurized formations intersected by the wellbore; the method by which the alternative material will be placed in the wellbore; and the compressive strength and other critical properties of the alternative material to be used. Although it would be preferable to identify an exclusive list of circumstances under which Commission staff would approve requests to use alternative plugging materials, the extreme variety of interplaying factors to be considered make it impractical to do so. The Commission has added clarifying language to the text of subsection (d)(4) to explain the process by which approval of alternative plugging materials may be gained.

TXOGA and other commenters request clarification as to the need to place 9.5 pounds per gallon, 40 viscosity fluid in all portions of the well not filled with cement or other alternate material. They recognize that these fluid properties have been a requirement for many years but observe that there seems to be no sound basis for a prescriptive mud property to be used in every well to be plugged in the state of Texas.

The Commission agrees alternative mud can be allowed in certain circumstances and the adopted rule makes that change in subsection (d)(9).

TXOGA also disagrees with the Commission's requirement to restrict volume extenders from cement used for plugging. They state that operators currently encounter difficulties in plugging depleted strata with Commission recommended neat cement slurries. They aver that current cementing technology has advanced compressive strengths and yields for lightweight extended cements to equal or surpass those strengths of neat cements, and request that the Commission allow operators the option to use the current techniques and cements to properly isolate formations in an economical and efficient manner.

The Commission agrees with this comment in part and has made changes to subsection (d)(4) to allow an operator to request approval to use alternate materials other than API oil well cement without volume extenders to plug a well.

TXOGA and other commenters object to the proposed change in the definition of "notice" in subsection (a)(1)(L), and the use of the term "landowner" there and in subsection (a)(4) and (5). They declare that the current definition of notice is consistent with accepted industry practice to provide notice to either the surface owner or the lawful resident if the surface owner is absent; paragraph (5) currently reflects this common-sense approach. They recommend that paragraphs (1) and (5) remain unchanged, and that the phrase "surface owner or resident" be substituted for "landowner" in paragraph (4). The Commission agrees to substitute the term "surface owner" for "landowner" and to continue the practice of allowing notice to the resident or occupant of a property if the owner is absent. The Commission has changed the proposed language in response to this comment because the Commission agrees that the term "surface owner" is the commonly accepted legal term for the person who owns surface rights and the Commission does not intend this rulemaking to change the notification standard.

TXOGA and other commenters point out that references to specific Commission titles such as "the deputy director of field operations" may cause confusion in the future. They suggest that the rule not specify a specific organization title and instead substitute the phrase director or the director's delegate. The Commission agrees with this comment and has substituted the term "Director or the Director's delegate" in those parts of the rule where the Austin office is responsible for the decision, and the term "District Director or the District Director's delegate" where the district office is responsible for the decision. For consistency, the Commission has also changed the term "Commission or its delegate" to refer to the appropriate director instead.

TXOGA and other commenters state that in subsection (b)(2)(E) operators are required to submit Mechanical Integrity Test results to the district office and fluid level tests results to Austin. They observe that this is further complicated by the requirement that hydraulic pressure tests that are not witnessed by the district office must be submitted to Austin for review and acceptance, and declare that these requirements have long been a difficult problem for industry and the district offices. TXOGA and other commenters strongly recommend that the district offices be given jurisdiction over all MIT, fluid level, and hydraulic pressure tests.

The Commission disagrees with this comment, primarily because of resource allocation limits. Fluid level test results are evaluated by a database calculation and the district offices are not set up to accomplish the data entry as efficiently as the Austin office. The Commission can accomplish this part of the process in Austin with fewer employees than it would take in each district. The automated process provides initial test results, and when the test results are clear, there is no need for further Commission involvement. This resolves a majority of the test issues. When the test results are unclear, the district will get involved. The Commission finds that its current process is the most effective use of limited Commission resources.

TXOGA states that proposed §3.14(b)(2)(A)(i)(V) and (b)(2)(E)(i) seem to have a conflicting use of the terms paragraph and subparagraph and probably should both be the same.

The Commission disagrees there are conflicting uses of the terms paragraph and subparagraph. The reference in §3.14(b)(2)(A)(i)(V) is to subparagraph (E) of paragraph (2) of subsection (b); the reference in (b)(2)(E)(i) is to subparagraph (E) which concerns testing.

TXOGA comments that §3.14(a)(3), should specifically refer to the Commission approved forms W-3A (Notice of Intent To Plug and Abandon), W-3 (Plugging Record) and W-15 (Cementing Report) where applicable to assist operators in the proper filing procedure. They support the Commission's language in this section to remind operators that the approval of intent to plug does not relieve an operator of the requirement to plug wells in a timely manner, nor does the approval extend permission to plug wells.

The Commission declines to specifically refer to the Commission approved forms W-3A (Notice of Intent To Plug and Abandon), W-3 (Plugging Record) and W-15 (Cementing Report) in §3.14(a)(3) because such addition was not noticed as a part of this rulemaking. The Commission will consider such references in future rulemakings.

One commenter recommends that the Commission add the following language to §3.14 as new subsection (l): "The Commission recognizes the improvement to a rule may come through its application. Where an operator can prove through the hearings process that a more economic or safer method to plugging can be applied that is not in Rule 14, then the hearing officer upon good cause has the discretion to recommend a modification of any specific plugging requirement or detail in this rule." The Commission declines to adopt the suggested change because the proposal unnecessarily adds a layer of legal process to the rule and is outside the scope of the notice given in this rulemaking. In this rulemaking, the Commission creates additional flexibility with provisions allowing administrative approval of certain requirements in the rule. If the Commission denies approval under these new provisions or denies some other request for a variance, the operator always has an opportunity for a hearing. Furthermore, if, as experience accumulates, the Commission determines it should change the rule, it can propose amendments. If an affected party wants to change the rule, it can petition the Commission for a rulemaking.

One commenter asked that the amendments add a provision to subsection (d)(12) stating that the surface shall receive remediation in accordance with §3.91. The commenter also asked that the amendments add a provision allowing a landowner to recover costs incurred in bringing a violation of §3.14 to the Commission's attention. The Commission declines to add these provisions because they were not noticed for this rulemaking. No one who might be against adding these provisions had an opportunity to comment on them.

The Commission adopts amendments to §3.14 pursuant to Texas Natural Resources Code, §81.051 and §81.052, which provide the Commission with jurisdiction over all persons owning or engaged in drilling or operating oil or gas wells in Texas and the authority to adopt all necessary rules for governing and regulating persons and their operations under Commission jurisdiction, and pursuant to Texas Natural Resources Code, §85.202(a) and §91.101(a)(3), which require the Commission to adopt rules requiring the proper plugging of wells, preventing injury to adjoining property, preventing pollution of surface and subsurface water, and confining oil, gas, and water to the strata in which they are found; and §89.011, which requires an operator to verify the placement of a plug at the base of the deepest freshwater strata required to be protected.

Statutory authority: Texas Natural Resources Code, §§81.051, 81.052, 85.202(a)(2), 85.2021(c), 89.011, 91.101(3), and 91.103 - 91.107.

Cross-reference to statute: Texas Natural Resources Code, Chapters 81, 85, 89, and 91.

Issued in Austin, Texas, on July 8, 2003.

§3.14.Plugging.

(a) Definitions and application to plug.

(1) The following words and terms, when used in this section, shall have the following meanings, unless the context clearly indicates otherwise:

(A) Active operation--Regular and continuing activities related to the production of oil and gas for which the operator has all necessary permits. In the case of a well that has been inactive for 12 consecutive months or longer and that is not permitted as a disposal or injection well, the well remains inactive for purposes of this section, regardless of any minimal activity, until the well has reported production of at least 10 barrels of oil for oil wells or 100 mcf of gas for gas wells each month for at least three consecutive months.

(B) Approved cementer--A cementing company, service company, or operator approved by the Commission to mix and pump cement for the purpose of plugging a well in accordance with the provisions of this section. The term shall also apply to a cementing company, service company, or operator authorized by the Commission to use an alternate material other than cement to plug a well.

(C) Delinquent inactive well--An unplugged well that has had no reported production, disposal, injection, or other permitted activity for a period of greater than 12 months and for which, after notice and opportunity for hearing, the Commission has not extended the plugging deadline.

(D) Funnel viscosity--Viscosity as measured by the Marsh funnel, based on the number of seconds required for 1,000 cubic centimeters of fluid to flow through the funnel.

(E) Good faith claim--A factually supported claim based on a recognized legal theory to a continuing possessory right in a mineral estate, such as evidence of a currently valid oil and gas lease or a recorded deed conveying a fee interest in the mineral estate.

(F) Groundwater conservation district--Any district or authority created under §52, Article III, or §59, Article XVI, Texas Constitution, that has the authority to regulate the spacing of water wells, the production from water wells, or both.

(G) Individual well bond--A bond or letter of credit issued:

(i) on a Commission-approved form;

(ii) by a third party surety, insurance company, or financial institution approved by the Commission; and

(iii) to secure the timely and proper plugging of a specified well and remediation of the wellsite in accordance with Commission rules.

(H) Operator designation form--A certificate of transportation authority and compliance or an application to drill, deepen, recomplete, plug back, or reenter which has been completed, signed and filed with the Commission.

(I) Productive horizon--Any stratum known to contain oil, gas, or geothermal resources in producible quantities in the vicinity of an unplugged well.

(J) Related piping--The surface piping and subsurface piping that is less than three feet beneath the ground surface between pieces of equipment located at any collection or treatment facility. Such piping would include piping between and among headers, manifolds, separators, storage tanks, gun barrels, heater treaters, dehydrators, and any other equipment located at a collection or treatment facility. The term is not intended to refer to lines, such as flowlines, gathering lines, and injection lines that lead up to and away from any such collection or treatment facility.

(K) Reported production--Production of oil or gas, excluding production attributable to well tests, accurately reported to the Commission on a monthly producer's report.

(L) To serve notice on the surface owner or resident--To hand deliver a written notice identifying the well or wells to be plugged and the projected date the well or wells will be plugged to the surface owner or resident if the owner is absent at least three days prior to the day of plugging or to mail the notice by first class mail, postage pre-paid, to the last known address of the surface owner or resident at least seven days prior to the day of plugging.

(M) Unbonded operator--An operator that has a current and active organization report on file with the Commission but that does not have a current individual performance bond, blanket performance bond, letter of credit, or cash deposit as its financial security under §3.78 of this title (relating to Fees, Performance Bonds, and Alternate Forms of Financial Security Required to be Filed (Statewide Rule 78).

(N) Usable quality water strata--All strata determined by the Texas Commission on Environmental Quality or its successor agencies to contain usable quality water.

(O) Written notice--Notice actually received by the intended recipient in tangible or retrievable form, including notice set out on paper and hand-delivered, facsimile transmissions, and electronic mail transmissions.

(2) The operator shall give the Commission notice of its intention to plug any well or wells drilled for oil, gas, or geothermal resources or for any other purpose over which the Commission has jurisdiction, except those specifically addressed in §3.100(f)(1) of this title (relating to Seismic Holes and Core Holes) (Statewide Rule 100), prior to plugging. The operator shall deliver or transmit the written notice to the district office on the appropriate form.

(3) The operator shall cause the notice of its intention to plug to be delivered to the district office at least five days prior to the beginning of plugging operations. The notice shall set out the proposed plugging procedure as well as the complete casing record. The operator shall not commence the work of plugging the well or wells until the proposed procedure has been approved by the district director or the director's delegate. The operator shall not initiate approved plugging operations before the date set out in the notification for the beginning of plugging operations unless authorized by the district director or the director's delegate. The operator shall notify the district office at least four hours before commencing plugging operations and proceed with the work as approved. The district director or the director's delegate may grant exceptions to the requirements of this paragraph concerning the timing of notices when a workover or drilling rig is already at work on location, and ready to commence plugging operations. Operations shall not be suspended prior to plugging the well unless the hole is cased and casing is cemented in place in compliance with Commission rules. The Commission's approval of a notice of intent to plug and abandon a well shall not relieve an operator of the requirement to comply with subsection (b)(2) of this section, nor does such approval constitute an extension of time to comply with subsection (b)(2) of this section.

(4) The surface owner and the operator may file an application to condition an abandoned well located on the surface owner's tract for usable quality water production operations. The application shall be made on the form prescribed by the Commission, the Application of Landowner to Condition an Abandoned Well for Fresh Water Production.

(A) Standard for Commission Approval. Before the Commission will consider approval of an application:

(i) the surface owner shall assume responsibility for plugging the well and obligate himself, his heirs, successors, and assignees to complete the plugging operations;

(ii) the operator responsible for plugging the well shall place all cement plugs required by this rule up to the base of the usable quality water strata; and

(iii) the surface owner shall submit:

(I) a signed statement attesting to the fact that:

(-a-) there is no groundwater conservation district for the area in which the well is located; or

(-b-) there is a groundwater conservation district for the area where the well is located, but the groundwater conservation district does not require that the well be permitted or registered; or

(-c-) the surface owner has registered the well with the groundwater conservation district for the area where the well is located; or

(II) a copy of the permit from the groundwater conservation district for the area where the well is located.

(B) The duty of the operator to properly plug ends only when:

(i) the operator has properly plugged the well in accordance with Commission requirements up to the base of the usable quality water stratum;

(ii) the surface owner has registered the well with, or has obtained a permit for the well from, the groundwater conservation district, if applicable; and

(iii) the Commission has approved the application of surface owner to condition an abandoned well for fresh water production.

(5) The operator of a well shall serve notice on the surface owner of the well site tract, or the resident if the owner is absent, before the scheduled date for beginning the plugging operations. A representative of the surface owner may be present to witness the plugging of the well. Plugging shall not be delayed because of the lack of actual notice to the surface owner or resident if the operator has served notice as required by this paragraph. The district director or the director's delegate may grant exceptions to the requirements of this paragraph concerning the timing of notices when a workover or drilling rig is already at work on location and ready to commence plugging operations.

(b) Commencement of plugging operations and extensions.

(1) The operator shall complete and file in the district office a duly verified plugging record, in duplicate, on the appropriate form within 30 days after plugging operations are completed. A cementing report made by the party cementing the well shall be attached to, or made a part of, the plugging report. If the well the operator is plugging is a dry hole, an electric log status report shall be filed with the plugging record.

(2) Plugging operations on each dry or inactive well shall be commenced within a period of one year after drilling or operations cease and shall proceed with due diligence until completed. Plugging operations on delinquent inactive wells shall be commenced immediately unless the well is restored to active operation. For good cause, a reasonable extension of time in which to start the plugging operations may be granted pursuant to the following procedures.

(A) Wells that have been inactive for less than 36 months.

(i) The Commission or its delegate may administratively grant an extension of up to one year of the deadline for plugging a well that is operated by an unbonded operator and has been inactive, without a return to active operation, for a period of less than 36 months if the following criteria are met:

(I) The well and associated facilities are in compliance with all other laws and Commission rules;

(II) The operator's organization report is current and active;

(III) The operator has, and upon request provides evidence of, a good faith claim to a continuing right to operate the well;

(IV) The operator has paid the proper fee as provided in §3.78 of this title (relating to Fees, Performance Bonds, and Alternative Forms of Financial Security Required To Be Filed) (Statewide Rule 78);

(V) The operator has tested the well in accordance with the provisions of subparagraph (E) of this paragraph and files with its application proof of either:

(-a-) a fluid level test conducted within 90 days prior to the application for a plugging extension demonstrating that any fluid in the wellbore is at least 250 feet below the base of the deepest usable quality water strata; or,

(-b-) a hydraulic pressure test conducted during the period the well has been inactive demonstrating the mechanical integrity of the well; and,

(VI) The requested plugging extension will not extend beyond the thirty-sixth month of inactivity.

(ii) A plugging extension granted under this subparagraph may not extend the period of inactivity beyond 36 months.

(B) Wells that have been inactive for 36 months or longer.

(i) The Commission or its delegate may administratively grant an extension of up to one year of the deadline for plugging a well that is operated by an unbonded operator and has been inactive, without a return to active operation, for a period of 36 months or longer if the criteria set out in subclauses (I)-(IV) of subsection (b)(2)(A)(i) of this section are met, and, in addition:

(I) The operator has tested the well in accordance with the provisions of subparagraph (E) of this paragraph and files with its application proof of either:

(-a-) a fluid level test conducted within 90 days prior to the application for a plugging extension demonstrating that any fluid in the wellbore is at least 250 feet below the base of the deepest usable quality water strata, or,

(-b-) a hydraulic pressure test conducted during the period the well has been inactive and not more than four years prior to the date of application demonstrating the mechanical integrity of the well; and,

(II) The operator files an individual well bond in the amount provided for in §3.78(m) of this title (relating to Fees, Performance Bonds, and Alternative Forms of Financial Security Required To Be Filed) (Statewide Rule 78).

(ii) An operator may rebut the presumed estimated plugging costs for a specific well for which a plugging extension is sought at hearing by clear and convincing evidence establishing a higher or lower prospective plugging cost for the well. The operator, Commission staff, or any owner of the surface or mineral estate on which the well is located may initiate a hearing on the prospective plugging cost for a well for the purpose of setting the amount of an individual well bond by filing a request for hearing.

(C) Plugging of inactive wells operated by bonded operators. An operator that maintains valid, Commission-approved financial security in the form of an individual performance bond, blanket performance bond, letter of credit, or cash deposit as provided in §3.78 of this title (relating to Fees, Performance Bonds, and Alternate Forms of Financial Security Required to be Filed) (Statewide Rule 78) will be granted a one-year plugging extension for each well it operates that has been inactive for 12 months or more at the time its annual organizational report is approved by the Commission if the following criteria are met:

(i) The well and associated facilities are in compliance with all laws and Commission rules; and,

(ii) The operator has, and upon request provides evidence of, a good faith claim to a continuing right to operate the well.

(D) Revocation or denial of plugging extension.

(i) The Commission or its delegate may revoke a plugging extension if the operator of the well that is the subject of the extension fails to maintain the well and all associated facilities in compliance with Commission rules; fails to maintain a current and accurate organizational report on file with the Commission; fails to provide the Commission, upon request, with evidence of a continuing good faith claim to operate the well; or fails to obtain or maintain a valid individual well bond or organizational bond or letter of credit as required by this subsection.

(ii) If the Commission or its delegate declines to grant or continue a plugging extension or revokes a previously granted extension, the operator shall either return the well to active operation or, within 30 days, plug the well or request a hearing on the matter.

(E) The operator of any well more than 25 years old that becomes inactive and subject to the provisions of this paragraph or the operator of any well for which a plugging extension is sought under the terms of subparagraph (A) or (B) of this paragraph shall plug or test such well to determine whether the well poses a potential threat of harm to natural resources, including surface and subsurface water, oil and gas.

(i) In general, a fluid level test is a sufficient test for purposes of this subparagraph. The operator shall give the district office written notice specifying the date and approximate time it intends to conduct the fluid level test at least 48 hours prior to conducting the test; however, upon a showing of undue hardship, the district director or the director's delegate may grant a written waiver or reduction of the notice requirement for a specific well test. The director or the director's delegate may require alternate methods of testing if necessary to ensure the well does not pose a potential threat of harm to natural resources. Alternate methods of testing may be approved by the director or the director's delegate by written application and upon a showing that such a test will provide information sufficient to determine that the well does not pose a threat to natural resources.

(ii) No test other than a fluid level test shall be acceptable without prior approval from the district director or the director's delegate. The district director or the director's delegate shall be notified at least 48 hours before any test other than a fluid level test is conducted. Mechanical integrity test results shall be filed with the district office and fluid level test results shall be filed with the Commission in Austin. Test results shall be filed on a Commission-approved form, within 30 days of the completion of the test. Upon request, the operator shall file the actual test data for any mechanical integrity or fluid level test that it has conducted.

(iii) Notwithstanding the provisions of clause (ii) of this subparagraph, a hydraulic pressure test may be conducted without prior approval from the district director or the director's delegate, provided that the operator gives the district office written notice specifying the date and approximate time for the test at least 48 hours prior to the time the test will be conducted, the production casing is tested to a depth of at least 250 feet below the base of usable quality water strata, or 100 feet below the top of cement behind the production casing, whichever is deeper, and the minimum test pressure is greater than or equal to 250 psig for a period of at least 30 minutes.

(iv) If the operator performs a hydraulic pressure test in accordance with the provisions of clause (iii) of this subparagraph, the well shall be exempt from further testing for five years from the date of the test, except to the extent compliance with paragraph (2) of subsection (b) of this section requires more frequent testing. Further, the Commission or its delegate may require the operator to perform testing more frequently to ensure that the well does not pose a threat of harm to natural resources. The Commission or its delegate may approve less frequent well tests under this subparagraph upon written request and for good cause shown provided that less frequent testing will not increase the threat of harm to natural resources.

(v) Wells that are returned to continuous production, as evidenced by three consecutive months of reported production of at least 10 barrels of oil or 100 mcf of gas per month, need not be tested.

(3) Transfer of operatorship. A transfer of operatorship submitted for any well or lease will not be approved unless the operator acquiring the well or lease has on file with the Commission financial security as provided in §3.78 of this title (relating to Fees, Performance Bonds, and Alternate Forms of Financial Security Required to be Filed) (Statewide Rule 78).

(4) The Commission may plug or replug any dry or inactive well as follows:

(A) After notice and hearing, if the well is causing or is likely to cause the pollution of surface or subsurface water or if oil, gas, or other formation fluid is leaking from the well, and:

(i) Neither the operator nor any other entity responsible for plugging the well can be found; or

(ii) Neither the operator nor any other entity responsible for plugging the well has assets with which to plug the well.

(B) Without a hearing if the well is a delinquent inactive well and:

(i) the Commission has sent notice of its intention to plug the well as required by §89.043(c) of the Texas Natural Resources Code; and

(ii) the operator did not request a hearing within the period (not less than 10 days after receipt) specified in the notice.

(C) Without notice or hearing, if:

(i) The Commission has issued a final order requiring that the operator plug the well and the order has not been complied with; or

(ii) The well poses an immediate threat of pollution of surface or subsurface waters or of injury to the public health and the operator has failed to timely remediate the problem.

(5) The Commission may seek reimbursement from the operator and any other entity responsible for plugging the well for state funds expended pursuant to paragraph (4) of this subsection.

(c) Designated operator responsible for proper plugging.

(1) The entity designated as the operator of a well specifically identified on the most recent Commission-approved operator designation form filed on or after September 1, 1997, is responsible for properly plugging the well in accordance with this section and all other applicable Commission rules and regulations concerning plugging of wells.

(2) As to any well for which the most recent Commission-approved operator designation form was filed prior to September 1, 1997, the entity designated as operator on that form is presumed to be the entity responsible for the physical operation and control of the well and to be the entity responsible for properly plugging the well in accordance with this section and all other applicable Commission rules and regulations concerning plugging of wells. The presumption of responsibility may be rebutted only at a hearing called for the purpose of determining plugging responsibility.

(d) General plugging requirements.

(1) Wells shall be plugged to insure that all formations bearing usable quality water, oil, gas, or geothermal resources are protected. All cementing operations during plugging shall be performed under the direct supervision of the operator or his authorized representative, who shall not be an employee of the service or cementing company hired to plug the well. Direct supervision means supervision at the well site during the plugging operations. The operator and the cementer are both responsible for complying with the general plugging requirements of this subsection and for plugging the well in conformity with the procedure set forth in the approved notice of intention to plug and abandon for the well being plugged. The operator and cementer may each be assessed administrative penalties for failure to comply with the general plugging requirements of this subsection or for failure to plug the well in conformity with the approved notice of intention to plug and abandon the well.

(2) Cement plugs shall be set to isolate each productive horizon and usable quality water strata. Plugs shall be set as necessary to separate multiple usable quality water strata by placing the required plug at each depth as determined by the Texas Commission on Environmental Quality or its successor agencies. The operator shall verify the placement of the plug required at the base of the deepest usable quality water stratum by tagging with tubing or drill pipe or by an alternate method approved by the district director or the district director's delegate.

(3) Cement plugs shall be placed by the circulation or squeeze method through tubing or drill pipe. Cement plugs shall be placed by other methods only upon written request with the written approval of the district director or the director's delegate.

(4) All cement for plugging shall be an approved API oil well cement without volume extenders and shall be mixed in accordance with API standards. Slurry weights shall be reported on the cementing report. The district director or the director's delegate may require that specific cement compositions be used in special situations; for example, when high temperature, salt section, or highly corrosive sections are present. An operator shall request approval to use alternate materials, other than API oil well cement without volume extenders, to plug a well by filing with the director or the director's delegate a written request providing all pertinent information to support the use of the proposed alternate material and plugging method. The director or the director's delegate shall determine whether such a request warrants approval, after considering factors which include but are not limited to whether or not the well to be plugged was used as an injection or disposal well; the well's history; the well's current bottom hole pressure; the presence of highly pressurized formations intersected by the wellbore; the method by which the alternative material will be placed in the wellbore; and the compressive strength and other performance specifications of the alternative material to be used. The director or the director's delegate shall approve such a request only if the proposed alternate material and plugging method will ensure that the well does not pose a potential threat of harm to natural resources.

(5) Operators shall use only cementers approved by the director or the director's delegate, except when plugging is conducted in accordance with subparagraph (B)(ii) of this paragraph or paragraph (6) of this subsection. Cementing companies, service companies, or operators may apply for designation as approved cementers. Approval will be granted on a showing by the applicant of the ability to mix and pump cement or other alternate materials as approved by the director or the director's delegate in compliance with this rule. An approved cementer is authorized to conduct plugging operations in accordance with Commission rules in each Commission district.

(A) A cementing company, service company, or operator seeking designation as an approved cementer shall file a request in writing with the district director of the district in which it proposes to conduct its initial plugging operations. The request shall contain the following information:

(i) the name of the organization as shown on its most recent approved organizational report;

(ii) a list of qualifications including personnel who will supervise mixing and pumping operations;

(iii) length of time the organization has been in the business of cementing oil and gas wells;

(iv) an inventory of the type of equipment to be used to mix and pump cement or other alternate materials as approved by the director or the director's delegate; and

(v) a statement certifying that the organization will comply with all Commission rules.

(B) No request for designation as an approved cementer will be approved until after the district director or the director's delegate has:

(i) inspected all equipment to be used for mixing and pumping cement or other alternate materials as approved by the director or the director's delegate; and

(ii) witnessed at least one plugging operation to determine if the cementing company, service company, or operator can properly mix and pump cement or other alternate materials as approved by the director or the director's delegate according to the specifications required by this rule.

(C) The district director or the director's delegate shall file a letter with the director or the director's delegate recommending that the application to be designated as an approved cementer be approved or denied. If the district director or the director's delegate does not recommend approval, or the director or the director's delegate denies the application, the applicant may request a hearing on its application.

(D) Designation as an approved cementer may be suspended or revoked for violations of Commission rules. The designation may be revoked or suspended administratively by the director or the director's delegate for violations of Commission rules if:

(i) the cementer has been given written notice by personal service or by registered or certified mail informing the cementer of the proposed action, the facts or conduct alleged to warrant the proposed action, and of its right to request a hearing within 10 days to demonstrate compliance with Commission rules and all requirements for retention of designation as an approved cementer; and

(ii) the cementer did not file a written request for a hearing within 10 days of receipt of the notice.

(6) An operator may request administrative authority to plug its own wells without being an approved cementer. An operator seeking such authority shall file a written request with the district director and demonstrate its ability to mix and pump cement or other alternate materials as approved by the director or the director's delegate in compliance with this subsection. The district director or the director's delegate shall determine whether such a request warrants approval. If the district director or the director's delegate refuses to administratively approve this request, the operator may request a hearing on its request.

(7) The district director or the director's delegate may require additional cement plugs to cover and contain any productive horizon or to separate any water stratum from any other water stratum if the water qualities or hydrostatic pressures differ sufficiently to justify separation. The tagging and/or pressure testing of any such plugs, or any other plugs, and respotting may be required if necessary to ensure that the well does not pose a potential threat of harm to natural resources.

(8) For onshore or inland wells, a 10-foot cement plug shall be placed in the top of the well, and casing shall be cut off three feet below the ground surface.

(9) Mud-laden fluid of at least 9-1/2 pounds per gallon with a minimum funnel viscosity of 40 seconds shall be placed in all portions of the well not filled with cement or other alternate material as approved by the director or the director's delegate. The hole shall be in static condition at the time the cement plugs are placed. The district director or the director's delegate may grant exceptions to the requirements of this paragraph if a deviation from the prescribed minimums for fluid weight or viscosity will insure that the well does not pose a potential threat of harm to natural resources. An operator shall request approval to use alternate fluid other than mud-laden fluid by filing with the district director a written request providing all pertinent information to support the use of the proposed alternate fluid. The district director or the director's delegate shall determine whether such a request warrants approval, and shall approve such a request only if the proposed alternate fluid will insure that the well does not pose a potential threat of harm to natural resources.

(10) Non-drillable material that would hamper or prevent reentry of a well shall not be placed in any wellbore during plugging operations, except in the case of a well plugged and abandoned under the provisions of §3.35 or §4.614(b) of this title (relating to Procedures for Identification and Control of Wellbores in Which Certain Logging Tools Have Been Abandoned (Statewide Rule 35); and Authorized Disposal Methods, respectively). Pipe and unretrievable junk shall not be cemented in the hole during plugging operations without prior approval by the district director or the director's delegate.

(11) All cement plugs, except the top plug, shall have sufficient slurry volume to fill 100 feet of hole, plus 10% for each 1,000 feet of depth from the ground surface to the bottom of the plug.

(12) The operator shall fill the rathole, mouse hole, and cellar, and shall empty all tanks, vessels, related piping and flowlines that will not be actively used in the continuing operation of the lease within 120 days after plugging work is completed. Within the same 120 day period, the operator shall remove all such tanks, vessels, and related piping, remove all loose junk and trash from the location, and contour the location to discourage pooling of surface water at or around the facility site. The operator shall close all pits in accordance with the provisions of §3.8 of this title (relating to Water Protection (Statewide Rule 8)). The district director or the director's delegate may grant a reasonable extension of time of not more than an additional 120 days for the removal of tanks, vessels and related piping.

(e) Plugging requirements for wells with surface casing.

(1) When insufficient surface casing is set to protect all usable quality water strata and such usable quality water strata are exposed to the wellbore when production or intermediate casing is pulled from the well or as a result of such casing not being run, a cement plug shall be a minimum of 100 feet in length and shall extend at least 50 feet above and 50 feet below the base of the deepest usable quality water stratum. This plug shall be evidenced by tagging with tubing or drill pipe. The plug shall be respotted if it has not been properly placed. In addition, a cement plug shall be set across the shoe of the surface casing. This plug shall be a minimum of 100 feet in length and shall extend at least 50 feet above and below the shoe.

(2) When sufficient surface casing has been set to protect all usable quality water strata, a cement plug shall be placed across the shoe of the surface casing. This plug shall be a minimum of 100 feet in length and shall extend at least 50 feet above the shoe and at least 50 feet below the shoe.

(3) If surface casing has been set deeper than 200 feet below the base of the deepest usable quality water stratum, an additional cement plug shall be placed inside the surface casing across the base of the deepest usable quality water stratum. This plug shall be a minimum of 100 feet in length and shall extend at least 50 feet below and 50 feet above the base of the deepest usable quality water stratum.

(4) Plugs shall be set as necessary to separate multiple usable quality water strata by placing the required plug at each depth as determined by the Texas Commission on Environmental Quality or its successor agencies.

(f) Plugging requirements for wells with intermediate casing.

(1) For wells in which the intermediate casing has been cemented through all usable quality water strata and all productive horizons, a cement plug meeting the requirements of subsection (d)(11) of this section shall be placed inside the casing and centered opposite the base of the deepest usable quality water stratum, but extend no less than 50 feet above and below the base of the deepest usable quality water stratum.

(2) For wells in which intermediate casing is not cemented through all usable quality water strata and all productive horizons, and if the casing will not be pulled, the intermediate casing shall be perforated at the required depths to place cement outside of the casing by squeeze cementing through casing perforations.

(3) Additionally, plugs shall be set as necessary to separate multiple usable quality water strata by placing the required plug at each depth as determined by the Texas Commission on Environmental Quality or its successor agencies.

(g) Plugging requirements for wells with production casing.

(1) For wells in which the production casing has been cemented through all usable quality water strata and all productive horizons, a cement plug meeting the requirements of subsection (d)(11) of this section shall be placed inside the casing and centered opposite the base of the deepest usable quality water stratum and across any multi-stage cementing tool. This plug shall be a minimum of 100 feet in length and shall extend at least 50 feet below and 50 feet above the base of the deepest usable quality water stratum.

(2) For wells in which the production casing has not been cemented through all usable quality water strata and all productive horizons and if the casing will not be pulled, the production casing shall be perforated at the required depths to place cement outside of the casing by squeeze cementing through casing perforations.

(3) The district director or the director's delegate may approve a cast iron bridge plug to be placed immediately above each perforated interval, provided at least 20 feet of cement is placed on top of each bridge plug. A bridge plug shall not be set in any well at a depth where the pressure or temperature exceeds the ratings recommended by the bridge plug manufacturer.

(4) Additionally, plugs shall be set as necessary to separate multiple usable quality water strata by placing the required plug at each depth as determined by the Texas Commission on Environmental Quality or its successor agencies.

(h) Plugging requirements for well with screen or liner.

(1) If practical, the screen or liner shall be removed from the well.

(2) If the screen or liner is not removed, a cement plug in accordance with subsection (d)(11) of this section shall be placed at the top of the screen or liner.

(i) Plugging requirements for wells without production casing and open-hole completions.

(1) Any productive horizon or any formation in which a pressure or formation water problem is known to exist shall be isolated by cement plugs centered at the top and bottom of the formation. Each cement plug shall have sufficient slurry volume to fill a calculated height as specified in subsection (d)(11) of this section.

(2) If the gross thickness of any such formation is less than 100 feet, the tubing or drill pipe shall be suspended 50 feet below the base of the formation. Sufficient slurry volume shall be pumped to fill the calculated height from the bottom of the tubing or drill pipe up to a point at least 50 feet above the top of the formation, plus 10% for each 1,000 feet of depth from the ground surface to the bottom of the plug.

(j) The district director or the director's delegate shall review and approve the notification of intention to plug in a manner so as to accomplish the purposes of this section. The district director or the director's delegate may approve, modify, or reject the operator's notification of intention to plug. If the proposal is modified or rejected, the operator may request a review by the director or the director's delegate. If the proposal is not administratively approved, the operator may request a hearing on the matter. After hearing, the examiner shall recommend final action by the Commission.

(k) Plugging horizontal drainhole wells. All plugs in horizontal drainhole wells shall be set in accordance with subsection (d)(11) of this section. The productive horizon isolation plug shall be set from a depth 50 feet below the top of the productive horizon to a depth either 50 feet above the top of the productive horizon, or 50 feet above the production casing shoe if the production casing is set above the top of the productive horizon. If the production casing shoe is set below the top of the productive horizon, then the productive horizon isolation plug shall be set from a depth 50 feet below the production casing shoe to a depth that is 50 feet above the top of the productive horizon. In accordance with subsection (d)(7) of this section, the Commission or its delegate may require additional plugs.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304133

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 14, 2003

For further information, please call: (512) 475-1295


Chapter 8. PIPELINE SAFETY REGULATIONS

The Railroad Commission of Texas adopts new §8.235, relating to Natural Gas Pipelines Public Education and Liaison, and §8.310, relating to Hazardous Liquids and Carbon Dioxide Pipelines Public Education and Liaison, with changes to the versions published in the March 14, 2003, issue of the Texas Register (28 TexReg 2170).

The Commission adopts §8.235 and §8.310 to implement Texas Utilities Code, §121.2015, and Texas Natural Resources Code, §117.011, respectively, which were enacted by Senate Bill (SB) 310, 77th Legislature (2001). House Bill (HB) 1931, 78th Legislature, Regular Session (2003) amended Texas Natural Resources Code, §117.011, effective June 20, 2003. As adopted, the rules implement the requirements of SB 310 and HB 1931 and support the Commission's current enforcement provisions for emergency response liaison found in 49 CFR Parts 192 and 195.

New §8.235 and §8.310 are similar in requiring pipeline operators to conduct liaison activities in person except as otherwise provided by each section. Subsection (a) of each rule requires each operator of a pipeline or the operator's designated representative to communicate and conduct liaison activities with fire, police, and other appropriate emergency response officials. The liaison activities are those required by 49 CFR Part 192.615(c)(1)-(4), for natural gas pipelines, and 49 CFR Part 195.402(c)(12), for hazardous liquids pipelines. The Commission has added clarifying language to subsection (a) of both rules that specifies annual liaison meetings.

Subsection (b) of each new rule sets out the methods by which pipeline operators are required to arrange meetings in person with emergency response officials. Operators subject to §8.235 are required to attempt to schedule a meeting in person by mail, fax, telephone, or e-mail; the Commission has changed the "and" to "or" in subsection (b)(2) to make it clear that these are alternatives. In a change from proposed new §8.310, hazardous liquid and carbon dioxide pipeline operators may also use any one of the methods, instead of being required to exhaust, in sequence, all of them. If a scheduled meeting does not take place, both rules require the operator or operator's representative to make one more effort to re-schedule the meeting in person using one of the listed methods before proceeding to arrange a conference call.

Subsection (c) of both new rules permits pipeline operators to conduct community liaison activities by means of a telephone conference call if the meeting cannot be conducted in person. Pursuant to new §8.235, the natural gas pipeline operator or the operator's representative must make an effort to conduct a community liaison meeting by telephone conference call with the officials by one of the listed methods. The Commission has changed the "and" to "or" in subsection (c)(2) to make it clear that these are alternatives. Again, in an adopted change from the proposal, but consistent with the amendments made to Texas Natural Resources Code, §117.012 by HB 1931, in new §8.310(c)(2), the hazardous liquid or carbon dioxide pipeline operator or the operator's representative may use any one of the methods, instead of being required to exhaust, in sequence, all of the listed methods. If a scheduled conference call does not take place, both rules require the operator or operator's representative to make one more effort to re-schedule the community liaison telephone conference call with the officials using one of the listed methods before proceeding to proceeding to mail the liaison information pursuant to subsection (d) of both rules.

Subsection (d) of both new rules permits the community liaison information to be delivered by mailing the information by certified mail, return receipt requested, if the operator or the operator's representative has made the efforts required by subsections (b) and (c) but has not successfully arranged and held either a meeting in person or a telephone conference.

Under new §8.235(e), an owner or operator of a natural gas pipeline or natural gas pipeline facility any part of which is located within 1,000 feet of a public school building or recreational area must notify the Commission and provide the specified information. While Texas Natural Resources Code, §117.012, as amended by HB 1931, includes specific provisions for the safety education of school districts with school buildings located within 1,000 feet of a hazardous liquid or carbon dioxide pipeline, there are no similar provisions for natural gas pipelines in Texas Utilities Code, §121.2015. However, Texas Utilities Code, §121.201, authorizes the Commission by rule to "adopt safety standards for the transportation of gas and for gas pipeline facilities." The extension of the requirement to provide the Commission with information about school districts with natural gas pipelines within 1,000 feet of a school building or recreational area falls within the broad authority granted to the Commission to enhance public safety.

Another change adopted in §8.310 is the deletion of proposed subsections (e) and (f). The Commission is removing these provisions from this rule and proposing concurrently with this adoption a separate new rule that incorporates the requirements of Texas Natural Resources Code, §117.012, as amended by HB 1931, 78th Legislature, Regular Session, (2003). Because proposed new §8.310(e) and (f) are significantly different from the requirements of Texas Natural Resources Code, §117.012, as amended, the Commission has determined that publication of those provisions and solicitation of comment on them is necessary.

New §8.235(f) and proposed §8.310(g), now redesignated as subsection (e), prescribe record-keeping requirements. Operators must maintain records documenting compliance with the liaison activities required by the revised proposed new rules. Records of attendance and acknowledgment of receipt by the emergency response officials must be retained for five years from the date of the event that is commemorated by the record. Records of certified mail and/or telephone transmissions undertaken in compliance with subsections (b) and (c) of these sections satisfy the record-keeping requirement.

The Commission received two comments on the proposed new rules, neither from a group or an association. One comment expressed support for the new rules conditioned on the stipulation that only transmission pipelines operating at 20% SMYS or greater are included. Another comment expressed a similar concern with respect to the scope of the rules, but provided a more extensive explanation and suggestion for changing the language. This comment urged the Commission to include in §8.235(a) the following statement: "The term 'natural gas pipeline' or 'natural gas pipeline facilities' means those facilities defined as Gathering Lines or Transmission Lines by 49 CFR Part 192" as a way of clarifying that the rule does not apply to distribution facilities.

The Commission disagrees with both comments that would add language to limit the applicability of these rules. The scope of the requirement to conduct community liaison activities is clearly set forth in 49 CFR Part 192.615(c)(1)-(4) and 49 CFR Part 195.402(c)(12), as cited in the rules.

Another comment with respect to §8.235(a) and §8.310(a) concerned the lack of a statement of frequency of the required community liaison activities, and suggested that the rule specify that the meetings be conducted on an annual basis, which is consistent with most operators' current practices.

The Commission agrees that this change is helpful, and has made this change in both rules.

Another comment questioned the basis and the need for §8.235(e) in its entirety. This subsection requires owners or operators of natural gas pipelines of natural gas pipeline facilities, any part of which is located within 1,000 feet of a public school building or recreational area, to notify the Commission by filing with the Gas Services Division, Pipeline Safety Section, the name of the school; the street address of the school; and the identification (system name) of the pipeline. The comment agreed with the inclusion in §8.310(e) which provides specific requirements with respect to hazardous liquids or carbon dioxide pipelines or pipeline facilities located within 1,000 feet of a school, but opined that no public safety benefit is gained through the collection, documentation, and submission of data regarding locations of public schools and recreational areas as they relate to natural gas pipelines. The comment observed that by its very nature, natural gas does not pose the same safety and environmental concerns as hazardous liquids because natural gas is lighter than air and naturally dissipates upward, in contrast to hazardous liquids, which tend to pool on the ground. The comment goes on to state that the safety considerations in comparing the two scenario types are significantly different and should be treated as such within the proposed rules. The comment concludes that the "mere collection of locational information and the transmittal of that information to the Commission serves as nothing more than a record keeping function with no clear benefits to the public safety" and urged the Commission to delete subsection (e) from new §8.235.

The Commission disagrees with this comment. As proposed, the rules clearly provide for significantly different procedures for natural gas pipelines compared with hazardous liquids and carbon dioxide pipelines. Under the proposal, owners or operators of hazardous liquids and carbon dioxide pipelines would be required to consult with the fire department in whose jurisdiction the school is located or another appropriate local emergency response entity regarding the emergency response plan prepared as required by 49 CFR Part 195, and present the plan at the first annual budget meeting of the board of trustees of the school district in which the school is located after the plan is developed and at subsequent annual budget meetings of the board of trustees of the school district on the request of the board. In addition, the components of the presentation were specified in the proposed rule. Operators of hazardous liquids or carbon dioxide pipelines may use proposed API Recommended Practice 1162, entitled Public Awareness Programs for Pipeline Operators, as guidance in preparing and presenting the public education program for school districts. The presentation was to contain a description of the pipeline and pipeline facilities within 1,000 feet of a school building or recreational area; a list of the products carried by the pipelines and material safety data sheets for the products; general facility maps; names and phone numbers of pipeline emergency response personnel to contact in the event of an emergency; provisions for an emergency preparedness drill; and information regarding the prevention of third party damage to the pipeline. No provisions even remotely similar to these were proposed for natural gas pipelines.

This comment offers an alternative argument, in the event that the Commission chooses to retain the provisions of §8.235(e), for removing the requirement to identify recreational areas within 1,000 feet of a natural gas pipeline or pipeline facilities, pointing to Texas Natural Resources Code, §117.012(k), as authority for limiting the reported information to just public schools. The comment asserts that because nowhere in legislation has the Commission been directed to collect information on recreation areas in the vicinity of pipelines and concludes that although the Commission has "some broad authority" under the statutes related to pipeline safety regulation, the Commission has failed to demonstrate any need for expanding the record keeping requirements, has not asserted any specific safety benefit to be realized by having pipeline operators identify recreational areas and report them to the Commission, and has not demonstrated any specific instances in which the availability of such information would have eliminated a pipeline incident. The comment concludes that the requirement to report the location of recreational areas within 1,000 feet of natural gas pipelines or pipeline facilities provides no public safety benefit and should be eliminated from the adopted rule.

The Commission disagrees that it must be specifically directed in statute to collect information about the distance of pipeline facilities from public schools. Further, the Commission disagrees that it must wait for a specific pipeline incident involving a school to justify collection of such information. The Commission also disagrees that collecting information about schools and recreational areas within 1,000 feet of a natural gas pipeline or pipeline facility provides "no public safety benefit." The comment described the characteristics of natural gas that is not under pressure; natural gas under pressure in a pipeline is very different. It is common knowledge that natural gas pipelines can and do explode, with significant safety and environmental consequences. Such an event near a school could involve catastrophic consequences, including loss of life and the potential for extensive property damage or loss.

This comment further objects to use of the broad term "recreational areas" because it could encompass a great variety of facilities and uses of property. The comment complained that it is not clear whether "recreational areas" is limited to those areas and facilities owned and/or operated by public schools, or encompasses the entire spectrum of such areas. Further, the comment pointed out that it would be extremely difficult to develop and communicate emergency response plans for these facilities. The comment again concludes that reports relating to "recreational areas" under §8.235(e) should be deleted from the subsection.

The Commission agrees that the term "recreational area" could be extremely broad, and agrees that it would indeed be difficult to develop and communicate emergency response plans for every possible type of recreational area, but points out that §8.235(e) does not require that. All this subsection requires is the identification and reporting to the Commission of public school buildings and recreational areas that are within 1,000 feet of a natural gas pipeline or pipeline facility. To address the concern that it is not clear whether the term "recreational area" was limited to those owned or operated by a public school, the Commission has added language clarifying that "recreational area" is indeed limited to such areas owned or operated by and typically associated with public schools, such as playgrounds and outdoor areas for football, baseball, basketball, track, tennis, golf, and buildings, such as gymnasia or field houses that may be used for such sports and activities.

Finally, a comment regarding the record keeping requirements in §8.235(f) pointed out that operators of natural gas pipelines and pipeline facilities are not required to conduct community liaison activities with school boards or school principals, and this requirement should be deleted from subsection (f). The Commission agrees and has removed this language.

Subchapter C. REQUIREMENTS FOR NATURAL GAS PIPELINES ONLY

16 TAC §8.235

The Commission adopts new §8.235 pursuant to Texas Utilities Code, §121.2015, which requires the Commission to adopt rules regarding public education and awareness relating to gas pipeline facilities and community liaison for responding to an emergency relating to a gas pipeline facility and mandates that the Commission require operators or their designated representatives to communicate and conduct liaison activities with fire, police, and other appropriate public emergency response officials by meetings in person except as provided by §121.2015; and Texas Utilities Code, §121.201, which authorizes the Commission by rule to adopt safety standards for the transportation of gas and for gas pipeline facilities and to take any other requisite action in accordance with 49 U.S.C. §60101, et seq., or a succeeding law. The requirement that operators of natural gas pipelines or pipeline facilities provide information to the Commission about school districts with natural gas pipelines or pipeline facilities within 1000 feet of a school building or recreational area falls within the broad authority granted to the Commission to enhance public safety.

Statutory authority: Texas Utilities Code, §121.201 and §121.2015.

Cross-reference to statute: Texas Utilities Code, §121.201 and §121.2015.

Issued in Austin, Texas, on July 8, 2003.

§8.235.Natural Gas Pipelines Public Education and Liaison.

(a) Liaison activities required. Each operator of a natural gas pipeline or natural gas pipeline facilities or the operator's designated representative shall communicate and conduct liaison activities on an annual basis with fire, police, and other appropriate public emergency response officials. The liaison activities are those required by 49 CFR Part 192.615(c)(1)-(4). These liaison activities shall be conducted in person, except as provided by this section.

(b) Meetings in person. The operator or the operator's representative may conduct the required community liaison activities as provided by subsection (c) of this section only if the operator or the operator's representative has made an effort to conduct a community liaison meeting in person with the officials by one of the following methods:

(1) mailing a written request for a meeting in person to the appropriate officials by certified mail, return receipt requested;

(2) sending a request for a meeting in person to the appropriate officials by facsimile transmission; or

(3) making one or more telephone calls or e-mail message transmissions to the appropriate officials to request a meeting in person.

(4) If a scheduled meeting does not take place, the operator or operator's representative shall make an effort to re-schedule the community liaison meeting in person with the officials using one of the methods in paragraphs (1)-(3) of this subsection before proceeding to arrange a conference call pursuant to subsection (c) of this section.

(c) Conference call. If the operator or operator's representative cannot arrange a meeting in person after complying with subsection (b) of this section, the operator or the operator's representative shall make an effort to conduct community liaison activities by means of a telephone conference call with the officials by one of the following methods:

(1) mailing a written request for a telephone conference to the appropriate officials by certified mail, return receipt requested;

(2) sending a request for a telephone conference to the appropriate officials by facsimile transmission; or

(3) making one or more telephone calls or e-mail message transmissions to the appropriate officials to request a telephone conference.

(4) If a scheduled telephone conference call does not take place, the operator or operator's representative shall make an effort to re-schedule the community liaison telephone conference call with the officials using one of the methods in paragraphs (1)-(3) of this subsection before proceeding to mail the liaison information pursuant to subsection (d) of this section.

(d) Mailing liaison information. If the operator or the operator's representative has made the efforts required by subsections (b) and (c) but has not successfully arranged and held either a meeting in person or a telephone conference, the community liaison information required to be conveyed may be delivered by mailing the information by certified mail, return receipt requested.

(e) Proximity to public school. Each owner or operator of a natural gas pipeline or natural gas pipeline facility any part of which is located within 1,000 feet of a public school building or public school recreational area shall notify the Commission by filing with the Gas Services Division, Pipeline Safety Section, the following information:

(1) the name of the school;

(2) the street address of the school; and

(3) the identification (system name) of the pipeline.

(f) Records. The operator shall maintain records documenting compliance with the liaison activities required by this section. Records of attendance and acknowledgment of receipt by the emergency response officials shall be retained for five years from the date of the event that is commemorated by the record. Records of certified mail and/or telephone transmissions undertaken in compliance with subsections (b) and (c) of this section satisfy the record-keeping requirements of this subsection.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304134

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 14, 2003

For further information, please call: (512) 475-1295


Subchapter D. REQUIREMENTS FOR HAZARDOUS LIQUIDS PIPELINES ONLY

16 TAC §8.310

The Commission adopts new §8.310 pursuant to Texas Natural Resources Code, §117.011, which gives the Commission jurisdiction over all pipeline transportation of hazardous liquids or carbon dioxide and over all hazardous liquid or carbon dioxide pipeline facilities as provided by 49 U.S.C. §60101, et seq., and §117.012, as amended by HB 1931 (78th Legislature, Regular Session, 2003), which directs the Commission to adopt rules regarding public education and awareness concerning hazardous liquid or carbon dioxide pipeline facilities and community liaison for the purpose of responding to an emergency concerning a hazardous liquid or carbon dioxide pipeline facility and mandates that the Commission require operators of hazardous liquids or carbon dioxide pipelines or pipeline facilities to conduct liaison activities with fire, police, and other appropriate public emergency response officials by meetings in person except as otherwise provided by §117.012.

Statutory authority: Texas Natural Resources Code, §117.011 and §117.012.

Cross-reference to statute: Texas Natural Resources Code, §117.011 and §117.012.

Issued in Austin, Texas on July 8, 2003.

§8.310.Hazardous Liquids and Carbon Dioxide Pipelines Public Education and Liaison.

(a) Liaison activities required. Each operator of a hazardous liquid or carbon dioxide pipeline or pipeline facilities or the operator's designated representative shall communicate and conduct liaison activities on an annual basis with fire, police, and other appropriate public emergency response officials. The liaison activities are those required by 49 CFR Part 195.402(c)(12). These liaison activities shall be conducted in person, except as provided by this section.

(b) Meetings in person. The operator or the operator's representative may conduct required community liaison activities as provided by subsection (c) of this section only if the operator or the operator's representative has completed one of the following efforts to conduct a community liaison meeting in person with the officials:

(1) mailing a written request for a meeting in person to the appropriate officials by certified mail, return receipt requested;

(2) sending a request for a meeting in person to the appropriate officials by facsimile transmission; or

(3) making one or more telephone calls or e-mail message transmissions to the appropriate officials to request a meeting in person.

(4) At any time the operator or operator's representative makes contact with the appropriate officials and schedules a meeting in person, no further attempts to make contact under this section are necessary. However, if a scheduled meeting does not take place, the operator or operator's representative shall make an effort to re-schedule the community liaison meeting in person with the officials using one of the methods in paragraphs (1)-(3) of this subsection before proceeding to arrange a conference call pursuant to subsection (c) of this section.

(c) Conference call. If the operator or operator's representative cannot arrange a meeting in person after complying with subsection (b) of this section, the operator or the operator's representative shall make one of the following efforts to conduct community liaison activities by means of a telephone conference call with the officials:

(1) mailing a written request for a telephone conference to the appropriate officials by certified mail, return receipt requested;

(2) sending a request for a telephone conference to the appropriate officials by facsimile transmission; or

(3) making one or more telephone calls or e-mail message transmissions to the appropriate officials to request a telephone conference.

(4) At any time the operator makes contact with the appropriate officials and schedules a telephone conference call, no further attempts to make contact under this section are necessary. However, if a scheduled telephone conference call does not take place, the operator or operator's representative shall make an effort to re-schedule the telephone conference call with the officials using one of the methods in paragraphs (1)-(3) of this subsection before proceeding to mail the liaison information pursuant to subsection (d) of this section.

(d) Mailing liaison information. If the operator or the operator's representative has made all of the efforts required by subsections (b) and (c) but has not successfully arranged either a meeting in person or a telephone conference, the community liaison information required to be conveyed may be delivered by mailing the information by certified mail, return receipt requested.

(e) Records. The operator shall maintain records documenting compliance with the liaison activities required by this section. Records of attendance and acknowledgment of receipt by the emergency response officials shall be retained for five years from the date of the event that is commemorated by the record. Records of certified mail and/or telephone transmissions undertaken in compliance with subsections (b) and (c) of this section satisfy the record-keeping requirements of this subsection.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304138

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 14, 2003

For further information, please call: (512) 475-1295


Chapter 9. LP-GAS SAFETY RULES

Subchapter A. GENERAL REQUIREMENTS

16 TAC §9.1

The Railroad Commission of Texas adopts an amendment to §9.1, relating to Application of Rules, Severability, and Retroactivity, with one change to the version published in the March 28, 2003, issue of the Texas Register (28 TexReg 2682). Specifically, the Commission adopts new subsections (f) and (g) to exclude original equipment manufacturers (OEM) of vehicles and fuel supply containers from the requirements of 16 TAC Chapter 9, LP-Gas Safety Rules , except for §9.203, relating to School Bus, Public Transportation, Mass Transit, and Special Transit Vehicle Installations and Inspections, and §9.403, relating to Sections in NFPA 58 Not Adopted by Reference, and Adopted with Changes, Additional Requirements, or Corrections. The adopted change in subsection (g) corrects the reference to NFPA 58, §8.2.3.1(k), to reflect the new numbering scheme in the NFPA document.

Texas Natural Resources Code, §113.011, provides that the Commission shall administer and enforce the laws of Texas and the rules and standards of the Commission relating to liquefied petroleum gas (LP-gas). Texas Natural Resources Code, §113.051, provides that the Commission shall promulgate and adopt rules or standards or both relating to any and all aspects or phases of the liquefied petroleum gas industry that will protect or tend to protect the health, welfare, and safety of the general public.

Recently, it has become more difficult for original equipment manufacturers of vehicles and fuel supply containers that use LP-gas doing business in Texas to make, manufacture, and market vehicles and fuel supply containers nationally due to differences in state rules and regulations. Vehicles and fuel supply containers using LP-gas comprise a small percent of the market for vehicles and fuel supply containers. Differing state requirements increase costs associated with making, manufacturing, and marketing these vehicles and fuel supply containers across the country. Current national standards, which have been adopted by the Commission, impose safety standards and specifications on vehicles and fuel supply containers that insure a high degree of safety to the public health, safety, and welfare. Therefore, the Commission has determined that it is in the public interest to exclude original equipment manufacturers of vehicles and fuel supply containers from Commission safety rules that deviate from national safety standards and that do not marginally increase public safety in order to remove regulatory burdens that increase the cost of making, manufacturing, and marketing vehicles and fuel supply containers using LP-gas.

New subsection (f) excludes vehicles and fuel supply containers that meet certain requirements from the provisions of Chapter 9. Specifically, vehicles and fuel supply containers that have been manufactured or installed by an original equipment manufacturer, that comply with Title 49, Code of Federal Regulations, the Federal Motor Vehicle Safety Standards, and that comply with the National Fire Protection Association (NFPA) Code 58, Liquefied Petroleum Gas Code , are excluded from the requirements of Chapter 9, except as specified in new subsection (g). New subsection (g) mandates that vehicles and fuel supply containers excluded pursuant to §9.1(f) must still comply with the requirements of §9.203, relating to School Bus, Public Transportation, Mass Transit, and Special Transit Vehicle Installations and Inspections, and the Commission's exception to NFPA 58 §8.2.3.1(k) under §9.403, relating to Sections in NFPA 58 Not Adopted by Reference, and Adopted With Changes, Additional Requirements, or Corrections.

Under new subsection (g), even though a vehicle complies with NFPA 58 standards, the Commission will still require that vehicle to be equipped with a fixed liquid level gauge and the gauge must be used when filling the fuel supply container.

The Commission received one comment on the proposal from Ford Motor Company (Ford) concerning three subsections of the amended rule. Ford commented that subsection (f)(1) should contain the following additional language: "or the supplier contracted by OEMs to manufacturer or install such systems." Ford submitted the following rationale for this change: "All work done by suppliers directly contracted by OEMs to modify vehicles is specified to meet the same criteria as if completed by the OEM."

The Commission disagrees with Ford's comment that subsection (f)(1) should be amended to include additional language to exempt additional parties who may have a contractual agreement with an OEM to manufacture or install systems for OEMs. The purpose of the Commission's rule is to exempt OEM vehicles from certain Texas-specific requirements. Under the proposed rule, an OEM may use parts supplied from third party suppliers to manufacture LP-gas vehicles or fuel supply containers and still fall within the exemption. Likewise, an OEM may install in its vehicles LP-gas systems or fuel supply containers obtained from third party suppliers and still fall within the exemption provided by the amended rule. The proposed rule is not intended to limit the supply choices which an OEM may make with respect to the manufacture of the OEM's vehicles and fuel supply containers. The purpose and intent of the amendment is to exempt from certain LP-gas rule requirements OEM vehicles, without regard to whether an OEM uses third party suppliers.

Ford commented that subsection (f)(2) should contain the following additional language: "except as pre-empted by Title 49 CFR, FMVSS," and submitted the following rationale for this proposed change: "NHTSA has taken the following position in cases where State requirements cover the same topic as FMVSS with respect to Federal preemption of state laws, 49 U.S.C. 30103(b) provides in pertinent part that: '(b) PREEMPTION - (1) When a motor vehicle safety standard is in effect under this chapter, a State or political subdivision of a State may prescribe or continue in effect a standard applicable to the same aspect of performance of a motor vehicle or motor vehicle equipment only if the standard is identical to the standard prescribed under this chapter.'"

The Commission disagrees with Ford's comment that subsection (f)(2) should be amended to include additional language that states the Commission's rule is only effective if not pre-empted by federal law or regulation. This language is unnecessary and redundant because the Commission's rule is not currently pre-empted by federal law or regulation; further, if a federal statute or rule is enacted that does pre-empt the Commission's rule, federal pre-emption would apply regardless of whether the Commission's rule so stated.

Last, Ford commented that subsection (g) should contain the following additional language: "Alternatively, the fixed liquid level gauge and use of same is not required if the stop fill valve or a substitute device achieves the same purpose of the fixed liquid level gauge, i.e., to prevent potential release of LPG through the pressure relief valve if the internal tank stop fill valve allows tank overfill." Ford submitted the following rationale for this proposed change: "Rationale for change: OEMs need the design flexibility to consider other possibilities to be able to meet the EPA emission requirements for 2006 MY and protect against the potential for unwanted LPG release. If the rule is modified as recommended above, both the current need to have and use the fixed liquid level gauge and the need to discontinue its use by 2006 MY would be accommodated without further rule change. The unequivocal requirement to have and use the fixed liquid level gauge is unnecessarily design restrictive. Without the adoption of a rule change there will be no alternative except to discontinue offering LPG powered vehicles in the State of Texas as of the 2006 Model Year."

The Commission disagrees with the comment submitted by Ford that subsection (g) should be changed. The Commission recognizes the problem indicated by Ford in its comment regarding the use of fixed liquid level gauges. However, the Commission addresses alternatives to using fixed liquid level gauges in the Commission's proposed exception to NFPA 58, 2001 edition, §8.2.3(l). The exception to this NFPA §8.2.3.(l) reads as follows (the Commission's added language is italicized): "Where an overfilling prevention device is installed on an engine fuel container, venting of gas through a fixed maximum liquid level gauge shall not be required provided: 1. The OPD is verified by the owner of the vehicle to be working properly; 2. The verification of the valve is documented yearly and clearly marked on the container in a visible location; and 3. The OPD is replaced every two years, documentation is kept by the owner of the vehicle, and the container is marked in a visible location verifying its replacement." The language in §9.1(g) does not need to be changed.

The Commission adopts the amendments under Texas Natural Resources Code, §113.051, which authorizes the Commission to adopt rules relating to any and all aspects or phases of the LP-gas industry that will protect or tend to protect the health, welfare, and safety of the general public, and §113.052, which authorizes the Commission to adopt by reference, in whole or in part, the published codes of the National Fire Protection Association as standards to be met in the design, construction, fabrication, assembly, installation, use, and maintenance of containers, tanks, appliances, systems, and equipment for the transportation, storage, delivery, use, and consumption of LP-gas or any one or more of these purposes.

Statutory authority: Texas Natural Resources Code, §113.051 and §113.052.

Cross-reference to statute: Texas Natural Resources Code, Chapter 113.

Issued in Austin, Texas, on July 8, 2003.

§9.1.Application of Rules, Severability, and Retroactivity.

(a) The LP-Gas Safety Rules apply to the location and operation of liquefied petroleum gas systems, equipment, and appliances. These standards also apply to truck and railcar loading racks, but do not apply to marine terminals, natural gasoline plants, refineries, tank farms, gas manufacturing plants, plants engaged in processing liquefied petroleum gases, or to railcar loading racks used in connection with these excluded establishments.

(1) Subchapter A, General Requirements, applies to various types of LP-gas activities, including licensing, examination, and training requirements.

(2) Subchapter B, Stationary Installations and Container Requirements, applies to proposed and existing stationary LP-gas installations and containers, including cylinder exchange racks.

(3) Subchapter C, Vehicles and Vehicle Dispensers, applies to transports and bobtails that deliver LP-gas, and school buses and other vehicles that are powered by LP-gas.

(4) Subchapter D, Adoption by Reference of NFPA 54 ( National Fuel Gas Code ), applies to the adoption by reference of NFPA 54 and specifies additional or alternative requirements from those found in NFPA 54.

(5) Subchapter E, Adoption by Reference of NFPA 58 ( LP-Gas Code ), applies to the adoption by reference of NFPA 58 and specifies additional or alternative requirements from those found in NFPA 58.

(6) Subchapter F, Adoption by Reference of NFPA 51 ( Standard for the Design and Installation of Oxygen-Fuel Gas Systems for Welding, Cutting, and Allied Processes ), applies to the use of LP-gas as a welding fuel.

(b) If any term, clause, or provision of these rules is for any reason declared invalid, the remainder of the provisions shall remain in full force and effect, and shall in no way be affected, impaired, or invalidated.

(c) Nothing in these rules shall be construed as requiring, allowing, or approving the unlicensed practice of engineering or any other professional occupation requiring licensure.

(d) Unless otherwise stated, the LP-Gas Safety Rules are not retroactive.

(e) As stated in Texas Natural Resources Code, Chapter 113, any LP-gas container with a water capacity of one gallon or less, or any LP-gas piping system, or appliance attached or connected to such a container is exempt from the LP-Gas Safety Rules , including any adopted NFPA pamphlets. For the purpose of consistency, the figure of 4.20 lb is used to determine the weight of one gallon of LP-gas. The omission of a specific NFPA 58 pamphlet or any other NFPA rule containing any such applicable language from Table 1 of §9.403 of this title (relating to Sections in NFPA 58 Not Adopted by Reference, and Adopted With Changes, Additional Requirements, or Corrections) is inadvertent and shall not be read or understood as requiring or allowing any such size of LP-gas container to comply with the adopted LP-gas safety rule requirements.

(f) This chapter shall not apply to vehicles and fuel supply containers that:

(1) are manufactured or installed by original equipment manufacturers;

(2) comply with Title 49, Code of Federal Regulations, the Federal Motor Vehicle Safety Standards; and

(3) comply with the National Fire Protection Association (NFPA) Code 58, Liquefied Petroleum Gas Code .

(g) Vehicles and fuel supply containers excluded from the requirements of this chapter pursuant to subsection (f) of this section shall comply with the requirements of §9.203 of this title, relating to School Bus, Public Transportation, Mass Transit, and Special Transit Vehicle Installations and Inspections, and the Commission's exception to NFPA 58 §8.2.3.1(k) in Table 1 in §9.403(a), relating to Sections in NFPA 58 Not Adopted by Reference, and Adopted with Changes, Additional Requirements, or Corrections.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304140

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 28, 2003

For further information, please call: (512) 475-1295


Chapter 12. COAL MINING REGULATIONS

Subchapter G. SURFACE COAL MINING AND RECLAMATION OPERATIONS, PERMITS, AND COAL EXPLORATION PROCEDURES SYSTEMS

2. GENERAL REQUIREMENTS FOR PERMITS AND PERMIT APPLICATIONS

16 TAC §12.108

The Railroad Commission of Texas adopts an amendment to §12.108, relating to Permit Fees, without change from the version published in the April 11, 2003, issue of the Texas Register (28 TexReg 3028). This section addresses fees to be paid to the Commission for the processing of applications for new coal mining permits, permit revisions, and permit renewals, as well as annual fees paid for each acre of land mined.

The Commission amends subsection (b) to increase the annual per-acre fee to facilitate recovery of the Commission's costs of providing various services. Specifically, the adopted amendment increases the annual fee from $120 to $300 for each acre of land in the permit area on which the permittee actually conducted operations for the removal of coal and lignite during a calendar year. The fee currently in effect is set at the statutory minimum and has not been increased since the provision in the Texas Surface Coal Mining and Reclamation Act that authorizes the Commission to set the fee, Texas Natural Resources Code, §134.055, became effective September 1, 1985 (Acts 1985, 69th Leg., ch 239, §70); Vernon's Ann. Civ. Stat. art. 5920-11, §18(c).

As adopted, the new fee amount will go into effect on September 1, 2003. The per-acre fee for calendar year 2003 will be calculated as follows: for each acre of land on which a permittee actually conducted operations for the removal of coal and lignite during the period January 1, 2003, through August 31, 2003, each permittee will pay to the Commission an annual fee of $120 per acre. For each acre of land on which a permittee actually conducted operations for the removal of coal and lignite during the period September 1, 2003, through December 31, 2003, each permittee will pay to the Commission an annual fee of $300 per acre. Beginning January 1, 2004, the annual $300 per acre fee will apply for each acre of land within the permit area on which a permittee actually conducted operations for the removal of coal and lignite during the calendar year.

The Commission also amends the title of §12.108 to change the word "permits" to "permit."

The Commission received a total of three comments on the proposed amendments. One was from an association, the Texas Mining and Reclamation Association (TMRA), and generally opposed the rule as proposed. Two other entities, TXU Energy (TXU) and Alcoa, also filed comments.

Both TXU and TMRA suggested the Commission focus on internal cost efficiencies to avoid or minimize the fee increase. The Commission agrees that efficiency in using public resources is always warranted, and notes that the agency is undergoing an internal agency-wide efficiency review. TMRA suggested the Commission postpone any fee increase until after an efficiency review has been completed and changes proposed during such review have been undertaken. The Commission disagrees with this comment because the Commission has been directed by the Legislature to increase and assess surface mining fees to cover the Commission's cost of permitting and inspecting coal mining facilities (Article VI-Natural Resources, Pages VI-43- 44, Rider 9, Conference Comm. Report on H.B. 1, General Appropriations Act, 2004-2005 Biennium, 78th Legislature, Regular Session (2003). The fee increase is necessary to cover the Commission's cost of permitting and inspecting coal mining facilities. Alcoa submitted a comment after the close of the comment period stating that it "does not oppose the proposed fee increase for the purpose of maintaining state delegation of this federal program."

The Commission adopts the amendments under Texas Natural Resources Code, §134.013, which authorizes the Commission to promulgate rules pertaining to surface coal mining operations; §134.055, which authorizes the Commission to obtain annual fees; and Texas Government Code, §2001.006, which authorizes the Commission to promulgate rules to implement legislation that has become law but has not become effective.

Statutory authority: Texas Natural Resources Code, §134.013 and §134.055; Texas Government Code, §2001.006.

Cross-reference to statute: Texas Natural Resources Code, §134.013 and §134.055.

Issued in Austin, Texas, on July 8, 2003.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304144

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: April 11, 2003

For further information, please call: (512) 475-1295


Chapter 13. REGULATIONS FOR COMPRESSED NATURAL GAS (CNG) AND LIQUEFIED NATURAL GAS (LNG)

Subchapter A. SCOPE AND DEFINITIONS

16 TAC §13.1

The Railroad Commission of Texas adopts an amendment to §13.1, relating to Scope, without changes to the version published in the March 28, 2003, issue of the Texas Register (28 TexReg 2685). Specifically, the Commission adopts new subsections (c) and (d) to exclude original equipment manufacturers (OEM) of compressed natural gas (CNG) vehicles and fuel supply containers from the requirements of 16 TAC Chapter 13, Subchapters A, B, C, D, E, and F, except for §13.24, relating to Filings Required for School Bus, Mass Transit, and Special Transit Installations. The Commission also amends subsection (b) to reflect a change in statutory language under Texas Natural Resources Code, §116.002.

Texas Natural Resources Code, §116.011, provides that the Commission shall administer and enforce the rules and standards under Chapter 116 of the Natural Resources Code relating to compressed natural gas and liquefied natural gas. Texas Natural Resources Code, §116.012, provides that to protect the health, safety, and welfare of the general public, the Commission shall adopt necessary rules and standards relating to the work of compression and liquefaction, storage, sale or dispensing, transfer and transportation, use or consumption, and disposal of compressed natural gas or liquefied natural gas. Texas Natural Resources Code, §116.013, provides that the Commission may adopt by reference all or part of the published codes of nationally recognized societies as standards to be met in the design, construction, fabrication, assembly, installation, use, and maintenance of CNG or LNG components and equipment.

Recently, it has become more difficult for original equipment manufacturers of vehicles and fuel supply containers that use CNG doing business in Texas to make, manufacture, and market vehicles and fuel supply containers nationally due to differences in state rules and regulations. Vehicles and fuel supply containers using compressed natural gas comprise a small percent of the market for vehicles and fuel supply containers. Differing state requirements increase costs associated with making, manufacturing, and marketing these vehicles and fuel supply containers across the country. Current national standards, which have been adopted by the Commission, impose standards and specifications on vehicles and fuel supply containers that insure a high degree of safety to the public health, safety, and welfare. Therefore, the Commission has determined that it is in the public interest to exclude original equipment manufacturers of vehicles and fuel supply containers from Commission safety rules that deviate from national safety standards and that do not marginally increase public safety in order to remove regulatory burdens that increase the cost of making, manufacturing, and marketing vehicles and fuel supply containers using compressed natural gas.

New §13.1(c) excludes CNG vehicles and fuel supply containers that meet certain requirements from the provisions of Chapter 13, Subchapters A, B, C, D, E, and F. Specifically, CNG vehicles and fuel supply containers that have been manufactured or installed by an original equipment manufacturer, that comply with Title 49, Code of Federal Regulations, the Federal Motor Vehicle Safety Standards, and that comply with the National Fire Protection Association (NFPA) Code 52, Compressed Natural Gas (CNG) Vehicular Systems Code , are excluded from the requirements of Chapter 13, except as specified in proposed new subsection (d). New subsection (d) mandates that CNG vehicles and fuel supply containers excluded pursuant to §13.1(c) must still comply with the requirements of §13.24, relating to Filings Required for School Bus, Mass Transit, and Special Transit Installations.

The Commission received one comment on the proposal from Ford Motor Company (Ford) concerning two subsections of the amended rule. Ford commented that subsection (c)(1) should contain the following additional language: "or the supplier contracted by OEMs to manufacturer or install such systems." Ford submitted the following rationale for this change: "All work done by suppliers directly contracted by OEMs to modify vehicles is specified to meet the same criteria as if completed by the OEM."

The Commission disagrees with Ford's comment that subsection (c)(1) should be amended to include additional language to exempt additional parties who may have a contractual agreement with an OEM to manufacture or install systems for OEMs. The purpose of the Commission's rule is to exempt OEM vehicles from certain Texas-specific requirements. Under the proposed rule, an OEM may use parts supplied from third party suppliers to manufacture CNG vehicles or fuel supply containers and maintain the exemption. Likewise, an OEM may install in its vehicles CNG systems or fuel supply containers obtained from third party suppliers and still fall within the exemption provided by the amended rule. The proposed rule is not intended to limit the supply choices which an OEM may make with respect to the manufacture of the OEM's vehicles and fuel supply containers. The purpose and intent of the amendment is to exempt from certain CNG rule requirements OEM vehicles, without regard to whether an OEM uses third party suppliers.

Ford commented that subsection (c)(2) should contain the following additional language: "except as pre-empted by Title 49 CFR, FMVSS." Ford submitted the following rationale for this proposed change: "NHTSA has taken the following position in cases where State requirements cover the same topic as FMVSS with respect to Federal preemption of state laws, 49 U.S.C. 30103(b) provides in pertinent part that '(b) PREEMPTION - (1) When a motor vehicle safety standard is in effect under this chapter, a State or political subdivision of a State may prescribe or continue in effect a standard applicable to the same aspect of performance of a motor vehicle or motor vehicle equipment only if the standard is identical to the standard prescribed under this chapter.'"

The Commission disagrees with Ford's comment that subsection (c)(2) should be amended to include additional language that states the Commission's rule is only effective if not pre-empted by federal law or regulation. This language is unnecessary and redundant because the Commission's rule is not currently pre-empted by federal law or regulation; further, if a federal statute or rule is enacted that does pre-empt the Commission's rule, federal pre-emption would apply regardless of whether the Commission's rule so stated.

Last, Ford submitted the following comment regarding subsection (c)(3) of the proposed amendment: "MEMO: Exceptions to NFPA 52 are embedded within NFPA 52 for manufacturers that self-certify to FMVSS."

The Commission neither disagrees nor agrees with Ford's comment regarding subsection (c)(3) as the comment appears neither to support nor oppose the Commission's proposed amendment.

The Commission adopts the amendments under Texas Natural Resources Code, §116.012, which authorizes the Commission to adopt rules and standards relating to the work of compression and liquefaction, storage, sale or dispensing, transfer or transportation, use or consumption, and disposal of compressed natural gas or liquefied natural gas, and §116.013, which authorizes the Commission to adopt by reference, in whole or in part the published codes of nationally recognized societies as standards to be met in the design, construction, fabrication, assembly, installation, use, and maintenance of CNG or LNG components and equipment.

Statutory authority: Texas Natural Resources Code, §116.012 and §116.013.

Cross-reference to statute: Texas Natural Resources Code, Chapter 116.

Issued in Austin, Texas, on July 8, 2003.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304141

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 28, 2003

For further information, please call: (512) 475-1295


Subchapter G. GENERAL APPLICABILITY AND REQUIREMENTS

16 TAC §13.2004

The Railroad Commission of Texas adopts the repeal of §13.2004, relating to Applicability, Severability, and Retroactivity, without change from the version published in March 28, 2003, issue of the Texas Register (28 TexReg 2688). The repeal is in conjunction with a separate but concurrent adoption of a new §14.2004, with the same title, to be in new 16 TAC Chapter 14 entitled Regulations for Liquefied Natural Gas. This repeal is for the purpose of renumbering this rule to move it to Chapter 14 and to add some new language to exclude original equipment manufacturers (OEM) of liquefied natural gas (LNG) vehicles and fuel supply containers from the requirements of 16 TAC Chapter 14, to be entitled Regulations for Liquefied Natural Gas (LNG), except for §14.2004, relating to Filing Required for School Bus, Mass Transit and Special Transit Vehicles. In the separate rulemaking, new §14.2004 is adopted in place of §13.2004 as part of the move of the LNG rules out of Chapter 13 and into Chapter 14.

The Commission received no comments regarding the proposed repeal of §13.2004 and the renumbering of the rule to new §14.2004.

The repeal is adopted under the Texas Natural Resources Code, §116.012, which authorizes the Commission to adopt rules and standards relating to the work of compression and liquefaction, storage, sale or dispensing, transfer or transportation, use or consumption, and disposal of compressed natural gas or liquefied natural gas, and §116.013, which authorizes the Commission to adopt by reference, in whole or in part the published codes of nationally recognized societies as standards to be met in the design, construction, fabrication, assembly, installation, use, and maintenance of CNG or LNG components and equipment.

Statutory authority: Texas Natural Resources Code, §116.012 and §116.013.

Cross-reference to statute: Texas Natural Resources Code, Chapter 116.

Issued in Austin, Texas, on July 8, 2003.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304142

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 28, 2003

For further information, please call: (512) 475-1295


Chapter 14. REGULATIONS FOR LIQUEFIED NATURAL GAS (LNG)

Subchapter A. GENERAL APPLICABILITY AND REQUIREMENTS

16 TAC §14.2004

The Railroad Commission of Texas adopts new §14.2004, relating to Applicability, Severability, and Retroactivity, without changes from the version published in the March 28, 2003, issue of the Texas Register (28 TexReg 2689). Specifically, the Commission adopts new wording in subsections (e) and (f) to exclude original equipment manufacturers (OEM) of liquefied natural gas (LNG) vehicles and fuel supply containers from the requirements of 16 TAC Chapter 14, to be entitled Regulations for Liquefied Natural Gas, except for §14.2046, relating to Filing Required for School Bus, Mass Transit and Special Transit Vehicles. In a separate rulemaking, the repeal of existing §13.2004 is adopted with new §14.2004 adopted in its place as part of the move of the LNG rules out of Chapter 13 and into Chapter 14.

Texas Natural Resources Code, §116.011, provides that the Commission shall administer and enforce the rules and standards under Chapter 116 of the Natural Resources Code relating to compressed natural gas and liquefied natural gas. Texas Natural Resources Code, §116.012, provides that to protect the health, safety, and welfare of the general public, the Commission shall adopt necessary rules and standards relating to the work of compression and liquefaction, storage, sale or dispensing, transfer and transportation, use or consumption, and disposal of compressed natural gas or liquefied natural gas. Texas Natural Resources Code, §116.013, provides that the Commission may adopt by reference all or part of the published codes of nationally recognized societies as standards to be met in the design, construction, fabrication, assembly, installation, use, and maintenance of CNG or LNG components and equipment.

Recently, it has become more difficult for original equipment manufacturers of vehicles and fuel supply containers that use LNG gas doing business in Texas to make, manufacture, and market vehicles and fuel supply containers nationally due to differences in state rules and regulations. Vehicles and fuel supply containers using liquefied natural gas comprise a small percent of the market for vehicles and fuel supply containers. Differing state requirements increase costs associated with making, manufacturing, and marketing these vehicles and fuel supply containers across the country. Current national standards, which have been adopted by the Commission, impose standards and specifications on vehicles and fuel supply containers that insure a high degree of safety to the public health, safety, and welfare. Therefore, the Commission has determined that it is in the public interest to exclude original equipment manufacturers of vehicles and fuel supply containers from Commission safety rules that deviate from national safety standards and that do not marginally increase public safety in order to remove regulatory burdens that increase the cost of making, manufacturing, and marketing vehicles and fuel supply containers using liquified natural gas.

New §14.2004(e) excludes LNG vehicles and fuel supply containers that meet certain requirements from the provisions of Chapter 14. Specifically, LNG vehicles and fuel supply containers that have been manufactured or installed by an original equipment manufacturer, that comply with Title 49, Code of Federal Regulations, the Federal Motor Vehicle Safety Standards, and that comply with the National Fire Protection Association (NFPA) Code 57, Liquefied Natural Gas (LNG) Fuel Systems Code , are excluded from the requirements of Chapter 14, except as specified in new subsection (f). New subsection (f) mandates that vehicles and fuel supply containers excluded pursuant to §14.2004(e) must still comply with the requirements of §14.2046, relating to Filings Required for School Bus, Mass Transit, and Special Transit Vehicles.

The Commission received no comments on the proposal.

The Commission adopts the new section under Texas Natural Resources Code, §116.012, which authorizes the Commission to adopt rules and standards relating to the work of compression and liquefaction, storage, sale or dispensing, transfer or transportation, use or consumption, and disposal of compressed natural gas or liquefied natural gas, and §116.013, which authorizes the Commission to adopt by reference, in whole or in part the published codes of nationally recognized societies as standards to be met in the design, construction, fabrication, assembly, installation, use, and maintenance of CNG or LNG components and equipment.

Statutory authority: Texas Natural Resources Code, §116.012 and §116.013.

Cross-reference to statute: Texas Natural Resources Code, Chapter 116.

Issued in Austin, Texas, on July 8, 2003.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 8, 2003.

TRD-200304143

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Effective date: July 28, 2003

Proposal publication date: March 28, 2003

For further information, please call: (512) 475-1295


Part 2. PUBLIC UTILITY COMMISSION OF TEXAS

Chapter 25. SUBSTANTIVE RULES APPLICABLE TO ELECTRIC SERVICE PROVIDERS

Subchapter O. UNBUNDLING AND MARKET POWER

3. CAPACITY AUCTION

16 TAC §25.381

The Public Utility Commission of Texas (commission) adopts an amendment to §25.381, relating to Capacity Auctions, with changes to the proposed text as published in the June 6, 2003 issue of the Texas Register (28 TexReg 4389). Pursuant to §25.381(h)(3)(B)(vi), the commission was required to make an evaluation in June of 2003 as to whether to require affiliated power generation companies (PGCs) to continue to sell two-year strips of capacity (the 24 months of 2004 through 2005), in addition to the other capacity entitlements that are auctioned. Furthermore, under the same provision, if the commission were to deem that another term of two-year strips is not necessary, then subsequent auctions are to auction 50% of entitlements over one-year strips and 50% of the entitlements as discrete months. In its June 6, 2003 proposal, the commission proposed to require that two-year strips be sold in 2003. Because of timing concerns about the effective date of the proposed rule, the commission also proposed delaying the September 2003 auction until October 2003. This amendment is adopted under Project Number 27826.

Based upon comments received in response to the June 6, 2003 proposal, the commission has determined that another set of two-year strips is not necessary. Therefore, the commission is amending §25.381 to require that in September, 2003, one-year strips be auctioned for the 12 months of 2004. Furthermore, the commission will not be changing the auction date as originally proposed on June 6, 2003. Instead, affiliated PGC's will be required to provide the 60-day notice as required in §25.381(h)(2)(B)(i) and include a reference to Project Number 27826 and a statement that the products to be auctioned in the September 2003 auction will not be fully known until after the commission finalizes Project Number 27826. Within five days after this rule amendment becomes effective, affiliated PGC's will be required to revise their notice, with sufficient explanation, to accurately reflect the products to be auctioned. Other language has also been changed to make the rule consistent with the above mentioned changes. Specifically, pursuant to §25.381(h)(3)(B)(iii), the auction in September of a year will auction (1) approximately 50% of the entitlements as the one-year strips for the next year and (2) approximately 20% of the entitlements as discrete months for each of the 12 calendar months of the next year. (Under a provision of the rule that is not being changed, approximately 30% of the entitlements are being auctioned in discrete four-month blocks).

The commission received comments on the proposed amendment from AEP Texas Central Company and AEP Texas North Company (collectively, AEP PGCs), Reliant Resources, Inc. (RRI), Texas Genco, and TXU Generation Company LP (TXU). RRI and Texas Genco supported the two-year strip requirement, while the AEP PGCs and TXU favored one-year strips for reasons that will be summarized in detail below.

§25.381(h)(1)(A)(i) - Auction dates.

The AEP PGCs commented that they supported the postponement of the auction, and stated that if the auction were to be held on September 10, 2003, then the 60th day prior to that date is July 11, 2003. As the commission is scheduled to consider this amendment at the July 10, 2003 Open Meeting, this would not allow enough time to react to the commission's decision, regardless of the substantive outcome, and meet the 60-day notice requirement of the rule.

Texas Genco commented that it would prefer to not delay the starting date of the September 2003 auction. Texas Genco stated that it believes that a better solution is to shorten the notice requirements for the September 2003 auction. Texas Genco stated that the Electric Reliability Council of Texas (ERCOT) market participants have been involved in six previous commission capacity auctions and are familiar with the procedures. Texas Genco commented that the uncertainty concerning the September 2003 auction is very minor and that the proposed delay is undesirable because it delays the ability of market participants to lock in their supplies (or revenue streams). Texas Genco proposed that the September 10, 2003 auction date remain intact and that the notice required under §25.381(h)(2)(B)(i) be filed on July 28, 2003, which is 44 days before the auction and 18 days after the July 10, 2003 Open Meeting. As an alternative, Texas Genco suggested that the currently-required 60-day notice could be filed on July 11, 2003, with language included to identify Project Number 27826 and a statement that a revised notice will be filed after the commission acts on this proposal.

RRI commented that there is no reason to delay the September 10, 2003 auction until October. RRI stated that the delay only serves to compress the timelines on which retail entities must act to secure future supply. RRI suggested that §25.381(h)(2)(B)(i) be modified to allow a 40-day notice to be applicable to the September auction, instead of the currently required 60- day notice.

Commission response

The commission agrees with Texas Genco and RRI that delaying the September 10, 2003 capacity auction until October is not necessary. This is an issue of timing. The current rule requires 60-day notice before the auction. As illustrated by the AEP PGCs, Texas Genco, and RRI, a 60-day notice requirement is not practical given the September 10, 2003 auction date. There are two ways to resolve this timing problem: (1) delay the auction, or (2) alter the notice requirement.

The commission agrees with Texas Genco's alternative proposal. The appropriate method of resolving the timing problem is to: (1) hold the auction on September 10, 2003 as originally scheduled; (2) require the affiliated PGC's to provide the 60-day notice as required in §25.381(h)(2)(B)(i) to include a reference to Project Number 27826 and a statement that the products to be auctioned in the September 2003 auction will not be fully known until after the commission finalizes Project Number 27826; and, (3) within five days after the rule amendment has become effective, the affiliated PGC's will be required to revise their notice, with sufficient explanation, to accurately reflect the products to be auctioned.

The commission rejects the proposal set forth by Texas Genco and RRI of simply shortening the 60-day notice requirement. As a rule amendment does not become effective until 20-days after it is received by the Secretary of State, the affiliated PGC's would not be in compliance with the rule that is currently in effect and would, instead, be publishing notice based on a rule amendment which has not yet become effective. Requiring that the affiliated PGC's provide a revised notice after the rule amendment has become effective to accurately reflect the products to be auctioned will address the timing concerns of the AEP PGCs, as well as alleviate the issues expressed by Texas Genco and RRI concerning the need of buyers to secure their future power supplies in a timely fashion. The proposed rule language in §25.381(h)(1)(A)(i) and §25.381(h)(2)(B)(i) has been modified to reflect this decision.

§25.381(h)(3) - Term of auctioned capacity.

RRI and Texas Genco stated that they supported the two-year strip requirement of the proposed rule. In addition, RRI commented that it felt that auctioning capacity for a two-year period would give more supply options to retailers as a means to manage their supply needs.

The AEP PGCs commented that they do not support the addition of a two-year strip to the auction. The AEP PGCs stated that the power market is in a time of rapid change. They noted that one of the key changes is in the creditworthiness of buyers and sellers. The AEP PGCs stated that they believe that two-year products have a high-level of risk, and that there could potentially be few, if any, buyers in the market for a two-year strip. The AEP PGCs further noted that the demand for long-term products could be limited due to the abundance of capacity in the ERCOT market and the fact that the ERCOT Congestion Zones may change over the two-year term. This uncertainty would be taken into account when valuing the two-year products and buyers may either discount their bids for the two-year strips, or purchase shorter-term power.

The comments of TXU largely expressed the same views as the AEP PGCs. TXU added that tying up two years of capacity with sales to the current ERCOT participants would actually reduce liquidity in the wholesale market by reducing the generation available for parties that enter the market between the 2003 and 2004 Capacity Auction. TXU commented that because of the severe credit issues facing the power industry, many parties will be reluctant to take on long- term obligations, such as a two-year strip of capacity. This would result in fewer bidders for the two-year strips and clearing prices that are well below the competitive prices received from the sale of shorter-term products. TXU stated that this would artificially distort the ERCOT wholesale market.

Commission response

While the commission agrees with RRI that a two-year product would give more supply options to retailers to manage their supply needs, the commission finds the arguments of TXU and the AEP PGCs persuasive in that credit issues are now a key concern in the power market and, thus, potential buyers may be hesitant to take on a long-term obligation, such as a two-year strip of capacity. The commission agrees that the price of a two-year strip could potentially be below a true "market" price and could, therefore, artificially distort the ERCOT wholesale market. The commission finds that, at this time, one-year strips are preferable to two-year strips in the September 2003 capacity auction, and has modified the language in the proposed §25.381(h)(3)(B)(iii) accordingly.

This amendment is adopted under the Public Utility Regulatory Act, Texas Utilities Code Annotated §14.002 (Vernon 1998, Supplement 2003) (PURA) which provides the commission with the authority to make and enforce rules reasonably required in the exercise of its powers and jurisdiction. The commission also proposes this amendment pursuant to PURA §39.153, which grants the commission authority to establish rules that define the scope of the capacity entitlements to be auctioned, and the procedures for the auctions.

Cross Reference to Statutes: Public Utility Regulatory Act §§14.002, 31.002, and 39.153, 39.201, and 39.262.

§25.381.Capacity Auctions.

(a) Applicability. This section applies to all affiliated power generation companies (PGCs) as defined in this section in Texas. This section does not apply to electric utilities subject to the Public Utility Regulatory Act (PURA) §39.102(c) until the end of the utility's rate freeze. It is recognized that certain commission orders issued during 2001 have effectively delayed competition in the service territories of Southwestern Electric Power Company (SWEPCO) and Entergy Gulf States, Inc. (EGSI). This section shall apply to auctions conducted after 2001 by SWEPCO and/or EGSI only when competition is implemented in their respective service territories.

(b) Purpose. The purpose of this section is to promote competitiveness in the wholesale market through increased availability of generation and increased liquidity by requiring electric utilities and their affiliated PGCs to sell at auction entitlements to at least 15% of the affiliated PGC's Texas jurisdictional installed generation capacity, describing the form of products required to be auctioned, prescribing the auction process, and prescribing a true- up procedure, in accordance with PURA §39.262(d)(2).

(c) Definitions. The following words and terms, when used in this section, shall have the following meanings, unless the context indicates otherwise:

(1) Affiliated power generation company (PGC)--Any affiliated power generation company that is unbundled from the electric utility in accordance with PURA §39.051.

(2) Assigned units--The PGC-specific generating units that form the block of capacity from which an entitlement is sold.

(3) Auction start date--The date on which an auction begins.

(4) Business day--Any day on which the affiliated PGC's corporate offices are open for business and that is not a banking holiday.

(5) Capacity auction product--One of the following: "baseload", "gas-intermediate", "gas-cyclic", or "gas-peaking". Each capacity auction product is further described in subsections (f) and (g) of this section.

(6) Close of business--5:00 p.m., central prevailing time.

(7) Congestion zone--An area of the transmission network that is bounded by commercially significant transmission constraints or otherwise identified as a zone that is subject to transmission constraints, as defined by an independent organization.

(8) Credit rating--A credit rating on an entity's senior unsecured debt, the entity's corporate credit rating, or the entity's issuer rating.

(9) Daily gas price--The index posting for the date of flow in the Financial Times energy publication "Gas Daily" under the heading "Daily Price Survey" for East-Houston- Katy, Houston Ship Channel. For EGSI gas entitlements in the eastern congestion zone, the daily gas price will utilize the "Gas Daily" index posting for Henry Hub. For EGSI gas entitlements in the western congestion zone, the daily gas price will be an average of the "Gas Daily" index posting for East-Houston-Katy, Houston Ship Channel.

(10) Day-ahead--The day preceding the operating day.

(11) Entitlement or capacity entitlement--The right to purchase and receive, under the applicable capacity auction master agreement, a block of 25 megawatts (MW) of electrical capacity and energy from the assigned units for a specific capacity auction product for one calendar month.

(12) Forced outage--An unplanned component failure or other condition that requires the unit be removed from service before the end of the next weekend.

(13) Holder--A person or entity that has acquired ownership of an entitlement under the terms of the applicable capacity auction Master Agreement.

(14) Installed generation capacity--All potentially marketable electric generation capacity owned by an affiliated PGC, including the capacity of:

(A) Generating facilities that are connected with a transmission or distribution system;

(B) Generating facilities used to generate electricity for consumption by the person owning or controlling the facility; and

(C) Generating facilities that will be connected with a transmission or distribution system and operating within 12 months.

(15) Master Agreement or Agreement--The applicable Capacity Auction EEI/NEMA Master Power Purchase & Sale Agreement.

(16) Starts--Direction by the holder of an entitlement to dispatch a previously idle entitlement.

(17) Texas jurisdictional installed generation capacity--The amount of an affiliated PGC's installed generation capacity properly allocable to the Texas jurisdiction. Such allocation shall be calculated pursuant to an existing commission-approved allocation study, or other such commission-approved methodology, and may be adjusted as approved by the commission to reflect the effects of divestiture or the installation of new generation facilities.

(d) General requirements. Subject to the qualifications for auction entitlements and the auction process described in subsections (e) and (h) of this section, each affiliated PGC subject to this section shall sell at auction capacity entitlements equal to at least 15% of the affiliated PGC's Texas jurisdictional installed generation capacity. Divestiture of a portion of an affiliated PGC's Texas jurisdictional installed generation capacity will be counted toward satisfaction of the affiliated PGC's capacity auction requirement only if the divestiture is made pursuant to a commission order in a business combination proceeding pursuant to PURA §14.101, and after the transfer of the assets and operations to a third party.

(e) Product types and characteristics.

(1) Available entitlements and amounts. The following products, defined separately in subsection (f) of this section for Electric Reliability Council of Texas, Inc. (ERCOT) and in subsection (g) of this section for non-ERCOT areas, shall be auctioned as capacity entitlements under subsection (d) of this section. Upon showing of good cause by the affiliated PGC and approval by the commission, an affiliated PGC may propose to auction entitlements different from those described in this section, including unit-specific capacity. Each affiliated PGC shall auction an amount of each applicable product in proportion to the amount of Texas jurisdictional installed generating capacity on the affiliated PGC's system that are the respective type of generating units. An affiliated PGC that owns generation in multiple congestion zones shall auction entitlements for delivery in each congestion zone. The amount of each product auctioned in each zone shall be in proportion to the amount of the respective type of generating units located in that zone, but the total shall not be less than 15% of the affiliated PGC's Texas jurisdictional installed generation capacity. The available entitlements for the months of March, April, May, October, and November of each year may be reduced in proportion to the average annual planned outage rate for the group of generating units associated with each type of entitlement. Entitlements shall be for system capacity.

(2) Forced outages. For any given congestion zone:

(A) For all entitlements except those described in subparagraph (B) of this paragraph, if all units providing capacity to an entitlement product experience a forced outage or an emergency condition prevents or restricts the ability of an affiliated PGC to dispatch a particular entitlement product, the entitlements of that product may be reduced in proportion to the percentage reduction in capacity of the units assigned to that entitlement; provided that such reductions in availability of any single entitlement do not exceed 2.0% of the total monthly energy available from the entitlement.

(B) For entitlements that are supported by two or fewer generating units, if one or more of the units providing capacity to an entitlement product experiences a forced outage or an emergency condition that prevents or restricts the ability of an affiliated PGC to dispatch a particular entitlement product, the entitlements of that product may be reduced in proportion to the percentage reduction in capacity of the units assigned to that entitlement; provided that such reductions in availability of any single entitlement do not exceed the most recent three-year rolling average of the forced outage rate for the unit(s) supporting the entitlement. The three-year rolling average of the forced outage rate applicable to entitlements under this subparagraph shall be included in the notice of capacity available for auction, under subsection (h)(2)(B)(ii)(II) of this section.

(C) Notification of any such reductions will take place as soon as possible, but in any event, at least one hour prior to the hour-ahead scheduling period applicable to when the reduction is to take place.

(3) Planned outage. The total MW reduction for planned outages is determined by calculating the average MW of monthly planned outage for the generating plants associated with a product over the previous three calendar years, multiplied by 12. The resulting planned outage hours are then rounded down to the nearest whole entitlement (25 MW block). These "outage entitlements" can then be removed from any of the five specified outage months (March, April, May, October, and November) in any combination.

(4) Generation units offered. If an affiliated PGC changes the assignment of a power generation unit to one of the four available product entitlements (baseload, gas- intermediate, gas-cyclic, or gas-peaking), then the affiliated PGC shall file with the commission the proposed changes in its assignment of each of its power generation units to one of the four available product entitlements and the resulting amount of each type of entitlement to be auctioned. As part of this filing, the affiliated PGC shall provide planned outage histories for the years 1998, 1999, and 2000 for each generating unit to be used to calculate the average annual planned outage rate for each group of generating units. Interested parties shall have 30 days in which to provide comments on the affiliated PGC's proposed changed assignments. If no comments are received, the affiliated PGC's proposed assignment shall be deemed appropriate. If any party objects to the affiliated PGC's proposed assignments, then the commission shall determine the appropriate assignment considering the manner in which the affiliated PGC expects to use such generation units.

(5) Obligations of affiliated PGC. The affiliated PGC shall dispatch entitlements only as directed by the holder of the entitlement in accordance with the applicable product description. The affiliated PGC may not refuse to dispatch the entitlement and may not curtail the dispatch of an entitlement unless expressly authorized by this section or by the applicable Master Agreement, or unless directed to do so by the independent organization in order to alleviate a system emergency. The affiliated PGC shall specify in its notice provided pursuant to subsection (h)(2)(B) of this section the point on the transmission system where energy from each entitlement is delivered to the entitlement holder.

(6) Entitlement holder receives no possessory interest or obligations.

(A) No possessory interest. The entitlements sold at auction shall include no possessory interest in the unit or units from which the power is produced.

(B) No possessory obligations. The entitlements sold at auction shall include no obligation of a possessory owner of an interest in the unit or units from which the power is produced.

(C) Scheduling. The entitlement holder shall have the right to designate the dispatch of the entitlement, subject to other provisions of this subsection and the scheduling limitations provided for in the applicable Agreement.

(7) Credit requirements.

(A) Standards. Entities submitting bids and all entitlement holders shall satisfy one of the following credit standards:

(i) The entity holds an investment grade credit rating (BBB- or Baa3 from Standard and Poor's or Moody's respectively or an equivalent);

(ii) The entity provides an escrowed deposit equal to the capacity price for the shorter of the duration of the entitlement or three months plus the amount that would be paid to exercise the entitlement for the shorter of the duration of the entitlement or three months at the assumed dispatch provided in either subsection (h)(6)(A)(iii) or subsection (h)(6)(C)(vi) of this section;

(iii) The entity provides a letter of credit or surety bond equal to the capacity price for the shorter of the duration of the entitlement or three months plus the amount that would be paid to exercise the entitlement for the shorter of the duration of the entitlement or three-months at the assumed dispatch provided in either subsection (h)(6)(A)(iii) or subsection (h)(6)(C)(vi) of this section, irrevocable for the duration of the entitlement;

(iv) The entity provides a guaranty from another entity with an investment grade credit rating; or

(v) The entity makes other suitable arrangements with the affiliated PGC, provided that the affiliated PGC makes such arrangements available on a non-discriminatory basis.

(B) Unsecured credit. To be eligible for unsecured credit, entities submitting bids shall satisfy the criteria in either clause (i), (ii), or (iii) of this subparagraph, with the amount of unsecured credit to be provided to such entities to be determined as follows:

(i) For bidders with an investment grade credit rating. The amount of credit available to a bidder relying on an investment grade credit rating of itself or its guarantor will be determined according to procedures set out below. If the bidding entity or its guarantor has an investment grade credit rating and minimum equity of $100 million, the amount of credit available will be determined using the lesser of $125 million, or the applicable percentage of the bidder's stockholder equity set out in the following table, except that the amount of credit will be reduced to the extent appropriate to take into account any outstanding commitments that a bidder has for existing capacity auction entitlements.

Figure: 16 TAC §25.381(e)(7)(B)(i) (No change.)

(ii) If the bidder is a municipality or cooperative not publicly rated. If the bidder is a municipality or electric cooperative that is not publicly rated but has a minimum equity (patronage capital) of $25 million, a minimum times-interest-earned ratio (TIER) of 1.05, a minimum debt service coverage (DSC) ratio of 1.00, and a minimum equity- to-assets ratio of 0.15, then the amount of credit will be the lesser of $125 million or 5.0% of the bidder's unencumbered assets, except that the amount of credit will be reduced to the extent appropriate to take into account any outstanding commitments that a bidder has for existing capacity auction entitlements.

(iii) If the bidder is a privately-held entity not publicly rated. If the bidder is a privately-held entity that is not publicly rated, but has a minimum equity of $100 million, a minimum tangible net worth of $100 million, a minimum current ratio of 1.0, a maximum debt-to- capital ratio of 0.60, and a minimum ratio of earnings before interest, taxes, depreciation, and amortization (EBITDA) to interest and current maturities of long term debt (CMLTD) of 2.0, then the amount of credit will be the lesser of $125 million or 1.80% of the bidder's stockholder equity, except that the amount of credit will be reduced to the extent appropriate to take into account any outstanding commitments that a bidder has for existing capacity auction entitlements.

(C) All cash and other instruments used as credit security shall be unencumbered by pledges for collateral.

(D) If a bidder or entitlement holder chooses to use a surety bond to satisfy its credit requirements, then the form of such surety bond will be negotiated in good faith between the bidder or entitlement holder and the affiliated PGC and reasonably acceptable by an issuer of surety bonds.

(E) In the event the holder of the entitlement initially relied on its investment grade credit rating but subsequently loses it during the entitlement period, the holder of the entitlement shall provide alternative financial evidence within three business days.

(F) The holder of the entitlement shall notify the affiliated PGC of any material changes that impact its compliance with the financial requirements it relied on in meeting the credit standards in this section.

(G) In the event the holder or seller of the entitlement fails to meet or continue to meet its security requirement, or an Event of Default results in the termination of the Agreement, the entitlement shall revert to the affiliated PGC and shall be auctioned in the next auction for which notice can be provided of the sale of the entitlement pursuant to subsection (h)(2)(B) of this section.

(H) If an entitlement holder's creditworthiness or financial security materially and adversely changes after the auction is completed, as a result of an event specified in the Agreement, the affiliated PGC shall provide the entitlement holder with written notice requesting additional credit support or performance assurance in a commercially reasonable manner, as set forth in the Agreement. The seller's credit requirements shall clearly identify objective criteria that would trigger a request for additional security and the methods and time frame in which an entitlement holder must satisfy such a request. The affiliated PGC may suspend delivery of any capacity or energy for which the affiliated PGC has not already received payment until the performance assurance is received, in accordance with the Agreement.

(I) If at any time after the auction is completed, there shall occur a downgrade event with respect to the credit standing of the seller, then the entitlement holder may require the seller to provide a credit assurance in an amount determined by the entitlement holder in a commercially reasonable manner. In the event the seller fails to provide a commercially reasonable performance assurance or guarantee within three business days of the receipt of notice, then an event of default shall be deemed to have occurred, and the entitlement holder will be entitled to suspend performance under the Agreement and withhold payments for energy not yet delivered, and may ultimately terminate the Agreement after the suspension period as prescribed in the Agreement.

(f) Product descriptions for capacity auctions in ERCOT. The provisions in this subsection apply to capacity auctions in ERCOT. Subsection (g) of this section contains provisions applicable to capacity auctions in non-ERCOT areas.

(1) Definitions.

(A) The following words and terms, when used in this subsection shall have the following meanings, unless the context indicates otherwise.

(i) Balancing energy service down deployed--The number of megawatt- hours (MWh) of balancing energy service down deployed by ERCOT from an entitlement.

(ii) Balancing energy service up deployed--The number of MWh of balancing energy service up deployed by ERCOT from an entitlement.

(iii) Daily capacity commitment--The amount of capacity scheduled by an entitlement holder that an affiliated PGC must make available from an entitlement for the provision of energy or permitted ancillary services for an operating day from an entitlement.

(iv) Day-ahead schedule--A schedule submitted by an entitlement holder to an affiliated PGC of the entitlement holder's scheduled usage of the entitlement for the following operating day.

(v) Default qualifying scheduling entity (QSE)--The QSE that is designated by the entitlement holder to ERCOT as its default QSE.

(vi) Energy scheduled--The final schedule for energy, for each settlement interval, that an entitlement holder submits to an affiliated PGC, subject to the limits on timing and amounts of schedules contained in the capacity auction product descriptions.

(vii) Energy deployed down--The sum of regulation energy down energy deployed and balancing energy service down energy deployed.

(viii) Energy deployed up--The sum of regulation energy up energy deployed, responsive energy deployed, non-spinning energy deployed, and balancing energy service up energy deployed.

(ix) Grouped entitlements--All of the entitlements from an affiliated PGC that an entitlement holder holds for a particular entitlement month.

(x) Grouped ancillary services--The amount of each type of ancillary service available from each entitlement grouped by:

(I) Type of ancillary service;

(II) Type of capacity auction product; and

(III) Congestion zone for those ancillary services that are, or may be, dispatched by congestion zone.

(xi) Hour-ahead schedule--A schedule other than a day-ahead schedule submitted by an entitlement holder to an affiliated PGC no later than one hour before the end of an adjustment period of the entitlement holder's scheduled use of the entitlement for the operating hour corresponding to that adjustment period.

(xii) Non-spinning energy deployed--Energy deployed by ERCOT from the non-spinning reserve service as determined under the procedures in paragraph (2)(B) of this subsection.

(xiii) Product--Electric capacity, energy, capacity auction products or other product(s) related thereto as specified in a transaction by reference to a product listed in the Agreement or as otherwise specified by the parties in a transaction.

(xiv) Regulation energy down deployed--Energy deployed down by ERCOT from the regulation energy service as determined under the procedures of paragraph (2)(B) of this subsection.

(xv) Regulation energy up deployed--Energy deployed up by ERCOT from the regulation service as determined under the procedures of paragraph (2)(B) of this subsection.

(xvi) Responsive energy deployed--Energy deployed by ERCOT from the responsive reserve service as determined under the procedures of paragraph (2)(B) of this subsection.

(xvii) Two-day-ahead schedule--A schedule submitted by the entitlement holder to the affiliated PGC of the entitlement holder's scheduled usage of the entitlement for the operating day two days in the future.

(B) The following terms have the respective meanings given to them in the ERCOT protocols as amended from time to time:

(i) Ancillary services;

(ii) Balancing energy service;

(iii) Congestion zone;

(iv) Non-spinning reserve service;

(v) Operating day;

(vi) Operating hour;

(vii) Regulation service;

(viii) Responsive reserve service;

(ix) Settlement interval; and

(x) Zonal market clearing price.

(2) General provisions.

(A) Responsibility transfers.

(i) The entitlement holder may not use an entitlement for the provision of balancing energy service until a responsibility transfer (RT) between the entitlement holder's QSE and the affiliated PGC's QSE is established and operated in accordance with the ERCOT protocols for the deployment of balancing energy service. The entitlement holder shall establish a separate RT with the affiliated PGC for each congestion zone from which the entitlement holder desires to provide balancing energy service.

(ii) When ERCOT has developed the details and specifications of RTs between QSEs, including without limitation, mechanics, settlement, and communication, then, at the request of the entitlement holder, the parties shall negotiate in good faith to transfer responsibility between their respective QSEs to:

(I) Allow the entitlement holder to provide balancing energy service from the entitlement; and

(II) Allocate the cost of establishing that capability.

(iii) The entitlement holder's QSE shall act as the controller of RTs used for balancing energy service from an entitlement. The entitlement holder's QSE shall use RTs to provide instructions regarding balancing energy service to the affiliated PGC's QSE. These instructions shall comply with all the limitations in the applicable capacity auction product description.

(iv) Both the entitlement holder's QSE and the affiliated PGC's QSE shall enter an inter-QSE trade in accordance with the ERCOT protocols to represent an RT before any operating hour in which the entitlement holder deploys balancing energy service from an entitlement.

(v) The affiliated PGC's QSE is only responsible for complying with RTs sent by the entitlement holder's QSE and is not responsible for ERCOT instructions sent to the entitlement holder.

(vi) The affiliated PGC and the entitlement holder shall rely upon any integration of the RT over each settlement interval performed by ERCOT. If ERCOT does not perform that integration, then the integration shall be performed in a manner mutually agreed to by both parties.

(vii) The entitlement holder is deemed not to have provided any balancing energy service from an entitlement if the affiliated PGC loses or does not receive the balancing energy service signal from ERCOT. The affiliated PGC will promptly notify the entitlement holder if it does not receive or loses the balancing energy service signal from ERCOT.

(B) Deployment of energy from ancillary services. Subject to the limitations and conditions set out in this subsection, and except when the affiliated PGC is excused from hierarchical dispatch by ERCOT of ancillary services under clause (i) or (v) of this subparagraph, ERCOT shall be deemed to have dispatched ancillary services from the entitlements in the entitlement group in a hierarchical order according to the requirements of this subsection. Otherwise, ancillary services shall be dispatched for each entitlement in an entitlement group independently.

(i) Notice of grouped entitlements. Not later than five days before the beginning of an entitlement month, the entitlement holder shall notify the affiliated PGC of all entitlements from the affiliated PGC that are held by the entitlement holder for that entitlement month. The list shall contain sufficient detail for the affiliated PGC to identify the entitlements held by the entitlement holder for that month, including without limitation any unique entitlement number assigned by the affiliated PGC to the entitlement and listed on the letter confirmation for the entitlement. If the affiliated PGC does not timely receive this notice, then the affiliated PGC is excused from its obligation to dispatch ancillary services on a hierarchical basis under this section.

(ii) Amount of ancillary services scheduled from entitlements.

(I) The affiliated PGC shall track the amount of each ancillary service for each operating hour and the amount of each ancillary service scheduled by the entitlement holder for each operating hour, both for individual entitlements and for each grouped entitlement.

(II) For ancillary services other than the balancing energy service, which is determined by an RT, the amount of ancillary service scheduled from each entitlement and for each grouped entitlement for an operating hour is the amount stated in the final timely schedule submitted by the entitlement holder to the affiliated PGC for that operating hour for each entitlement or the entitlement group.

(iii) Deployed ancillary services.

(I) For balancing energy service, the amount of energy that ERCOT is deemed to have deployed is determined by the integration described in subparagraph (A) of this paragraph.

(II) For all ancillary services other than balancing energy service, the affiliated PGC shall track the deployment of ancillary services from the entitlement group by each grouped ancillary service for each hour in the entitlement month, except for hours in which the affiliated PGC is excused from dispatching ancillary services on a hierarchical basis under clause (i) or (v) of this subparagraph. The total amount of each grouped ancillary service deployed in an hour shall be calculated by the product of:

(-a-) The ratio of the amount of the grouped ancillary service scheduled by the entitlement holder from its grouped entitlements to the total amount of that specific ancillary service scheduled from resources in the affiliated PGC's QSE;

(-b-) The amount of energy deployed out of that grouped ancillary service in a particular congestion zone or in ERCOT as a whole, whichever is applicable.

(III) For all ancillary services other than balancing energy service, the amount of each ancillary service that ERCOT is deemed to have deployed from each entitlement, for hours in which the affiliated PGC is excused from dispatching ancillary services on a hierarchical basis under clause (i) or (v) of this subparagraph, shall be calculated by the product of:

(-a-) The ratio of the amount of that ancillary service scheduled by the entitlement holder from the entitlement to the total amount of that specific ancillary service scheduled from resources in the affiliated PGC's QSE;

(-b-) The amount of energy deployed by ERCOT out of that ancillary service in a particular congestion zone or in ERCOT as a whole, whichever is applicable.

(iv) Hierarchical deployment of grouped ancillary services.

(I) For determination of the contract price for each entitlement in a grouped entitlement, ERCOT is deemed to have first deployed grouped ancillary services that are deployed by congestion zone pursuant to subclause (III) of this clause with the amount for each entitlement spread proportionally among the entitlement holder's entitlements of that type in that congestion zone.

(II) After deploying grouped ancillary services by congestion zone pursuant to subclause (I) of this clause, ERCOT is deemed to have deployed the remainder of each grouped ancillary service pursuant to subclause (III) of this clause, with the amount for each type of entitlement spread proportionally among the entitlement holder's entitlements of that type in ERCOT.

(III) Deployed energy shall be assigned to the entitlement holder's entitlements that scheduled those ancillary services on a hierarchical basis as follows:

(-a-) For incremental deployments:

(-1-) First: Baseload entitlements, with the highest priority given to the Baseload entitlements with the lowest energy price;

(-2-) Second: Gas-intermediate entitlements;

(-3-) Third: Gas-cyclic entitlements; and

(-4-) Fourth: Gas-peaking entitlements.

(-b-) For decremental deployments:

(-1-) First: Gas-peaking entitlements;

(-2-) Second: Gas-cyclic entitlements;

(-3-) Third: Gas-intermediate entitlements; and

(-4-) Fourth: Baseload entitlements, with the highest priority given to the Baseload entitlements with the highest energy price.

(v) Exception to dispatching on hierarchical basis. The affiliated PGC is not required to dispatch ancillary services from the entitlement group on a hierarchical basis if the affiliated PGC does not have the information necessary to dispatch ancillary services from the entitlement group in a hierarchical fashion. Necessary information includes, but is not limited to, the signal from ERCOT deploying balancing energy service or the signal from ERCOT deploying other ancillary services.

(3) Baseload product.

(A) Baseload scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement. The entitlement holder shall submit a two-day-ahead schedule for the entitlement if notified to do so by ERCOT.

(ii) Timing of scheduling. All of the times for scheduling referred to in this subparagraph are based on the times in the ERCOT protocols. If the times in the ERCOT protocols are changed, then the times in this subparagraph will be considered to have changed to equitably accommodate the changes in the ERCOT protocols.

(I) The entitlement holder shall submit day-ahead or two-day-ahead schedules for the entitlement to the affiliated PGC no later than 8:00 a.m. The entitlement holder shall submit hour- ahead schedules for ancillary services from the entitlement to the affiliated PGC no later than one hour before the deadline for the affiliated PGC's QSE to submit hour-ahead schedules to ERCOT.

(II) On days that ERCOT allows QSEs to change their day-ahead or two-day-ahead schedules to ERCOT by 1:00 p.m. for congestion or capacity insufficiency, the entitlement holder may submit a revised day-ahead or two-day-ahead schedule for energy from the entitlement to the affiliated PGC no later than noon.

(III) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for the non- spinning reserve ancillary services from the entitlement no later than 1:45 p.m. The entitlement holder cannot change the amount of energy scheduled in a revised schedule for the non-spinning reserve ancillary services.

(IV) No hour-ahead schedules are permitted for energy from baseload entitlements. Hour-ahead schedules are permitted for ancillary services from baseload entitlements.

(iii) Schedule content. Each schedule shall specify, for each settlement interval, the MW of energy scheduled to be delivered to the entitlement holder from the entitlement and the MW of each permitted ancillary service to be scheduled from the entitlement, subject to the scheduling limits in clause (iv) of this subparagraph.

(iv) Scheduling limits.

(I) Minimum energy. The entitlement holder may not schedule energy at less than 20 MW from the entitlement at any time during the month.

(II) Ancillary services. The entitlement holder may use a baseload entitlement to provide responsive reserve service at a level of one MW, and non-spinning reserve service, up to a combined total of three MW. The baseload entitlement may not be used for any other ancillary service. Non- spinning reserve service may be provided from the entitlement in 30 minutes, and responsive reserve service may be provided from the entitlement in ten minutes.

(III) Maximum changes. Subject to the minimum energy rate specified in subclause (I) of this clause, the rate at which the entitlement holder schedules energy in each hour generally cannot change more than plus or minus two MW. The following additional restrictions apply.

(-a-) If the entitlement holder schedules or reserves any ancillary services in an hour, then the level of energy scheduled shall be the same in each settlement interval of the hour.

(-b-) The maximum change in ancillary services scheduled from the first settlement interval in one hour to the first settlement interval of the next hour is plus or minus three MW.

(-c-) The maximum change in energy scheduled from the first settlement interval in one hour to the first settlement interval in the next hour is plus or minus two MW.

(-d-) The maximum change in energy scheduled from one settlement interval to the next is plus or minus one MW.

(IV) Starts. The entitlement holder shall schedule energy from a baseload entitlement for every settlement interval and may not direct any starts of the entitlement.

(V) Default schedule. If the entitlement holder does not submit a timely day-ahead or two-day ahead schedule, as applicable, then the schedule for the applicable operating day is deemed to be 20 MW of energy and zero MW of ancillary services to be delivered to the entitlement holder's designated default QSE in every settlement interval of the applicable operating day.

(B) Contract price for baseload. The items included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment. The fuel cost owed to the affiliated PGC by the entitlement holder for the dispatched baseload power will be the average cost of coal, lignite, and nuclear fuel (in dollars per MWh), as applicable to the appropriate congestion zone in which the underlying generation units are located, based on the affiliated PGC's final excess cost over market (ECOM) model as determined pursuant to PURA §39.201. Affiliated PGCs of the electric utilities without an ECOM determination in their proceeding conducted pursuant to PURA §39.201 shall propose, for commission review, an average cost of fuel in a similar manner. The energy payment from the entitlement holder to the affiliated PGC is the fuel cost in dollars per MWh for the entitlement times the greater of:

(I) The sum of the total energy scheduled from the entitlement during the entitlement month plus energy deployed up from the entitlement during the entitlement month; or

(II) An amount of MWh equal to 20 MW times the number of hours in the entitlement month.

(iii) Ancillary services payment. For baseload entitlements, the ancillary services payment to be paid by the entitlement holder to the affiliated PGC is zero.

(iv) Energy deployed up reimbursement payment. For energy deployed up, for all settlement intervals in the entitlement month, the affiliated PGC shall pay the entitlement holder the sum of the zonal market clearing price of energy (MCPE) in dollars per MWh paid by ERCOT for that settlement interval times the energy deployed up in that settlement interval.

(v) Energy deployed down reimbursement payment. For energy deployed down for all settlement intervals in the entitlement month, the entitlement holder shall pay the affiliated PGC the sum of the MCPE in dollars per MWh paid to ERCOT for that settlement interval times the energy deployed down in that settlement interval.

(C) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price to the affiliated PGC after receiving an invoice for that amount in accordance with the other terms of the applicable Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the other terms of the Agreement.

(4) Gas-intermediate product.

(A) Gas-intermediate scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement and may submit hour-ahead schedules. The entitlement holder shall submit a two-day-ahead schedule for the entitlement if notified to do so by ERCOT.

(ii) Timing of scheduling. All of the times for scheduling referred to in this subparagraph are based on the times in the ERCOT protocols. If the times in the ERCOT protocols are changed, then the times in this subparagraph will be considered to have changed to equitably accommodate the changes in the ERCOT protocols.

(I) The entitlement holder shall submit day-ahead or two-day-ahead schedules for the entitlement to the affiliated PGC no later than 8:00 a.m. The daily capacity commitment is determined for a gas-intermediate entitlement by the 8:00 a.m. schedule. The entitlement holder shall submit hour- ahead schedules for ancillary services for the entitlement to the affiliated PGC no later than one hour before the deadline for the affiliated PGC's QSE to submit hour-ahead schedules to ERCOT.

(II) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for energy from the entitlement no later than 10:00 a.m., subject to the limit on maximum energy in clause (iv)(I)(-b-) of this subparagraph.

(III) On days that ERCOT allows QSEs to change their day-ahead or two-day-ahead schedules to ERCOT by 1:00 p.m. for congestion or capacity insufficiency, the entitlement holder may submit a revised day-ahead or two-day-ahead schedule for energy from the entitlement to the affiliated PGC no later than noon, subject to the limit on maximum energy in clause (iv)(I)(-b-) of this subparagraph.

(IV) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for ancillary services from the entitlement no later than 1:45 p.m. The entitlement holder cannot change the amount of energy scheduled in a revised schedule for ancillary services.

(V) No hour-ahead schedules are permitted for energy from gas- intermediate entitlements. Hour-ahead schedules are permitted for ancillary services from gas-intermediate entitlements.

(iii) Schedule content. Each schedule shall specify:

(I) For each settlement interval, the MW of energy scheduled to be delivered to the entitlement holder from the entitlement; and

(II) For each hour, the MW scheduled to be reserved for the entitlement holder's use of each ancillary service from the entitlement. The entitlement holder shall include any MW bid (but not pricing) for the balancing energy up and balancing energy down ancillary services on the schedule.

(iv) Scheduling limits.

(I) Total. Generally, the rate at which energy is scheduled cannot change more than plus or minus six MW and the rate at which ancillary services is reserved or scheduled by the entitlement holder in each hour cannot change more than plus or minus six MW. The restrictions in items (-a-) and (-b-) of this subclause apply.

(-a-) Minimum energy. The entitlement holder may not schedule energy at less than eight MW from the entitlement at any time during the month, unless the entitlement holder has elected the gas-intermediate Start Option, in which case the entitlement holder may reduce energy below eight MW as specified in subclause (IV)(-a-) of this clause.

(-b-) Maximum energy. The entitlement holder may not schedule energy at any level greater than the daily capacity commitment in any settlement interval.

(II) Maximum changes. Subject to the limitations specified in subclause (I) of this clause:

(-a-) Generally, the rate at which energy is scheduled by the entitlement holder in each hour cannot change more than plus or minus six MW and the rate at which ancillary services are scheduled or reserved by the entitlement holder in each hour cannot change more than plus or minus six MW. The restrictions in items (-b-) and (-c-) apply.

(-b-) Energy. Subject to the maximum change specified in item (-a-) of this subclause:

(-1-) The maximum change in energy scheduled from the first settlement interval in one hour to the first settlement interval of the next hour is plus or minus six MW.

(-2-) Subject to the limitation in subitem (-1-) of this item, the maximum change in energy scheduled from one settlement interval to the next is plus or minus two MW.

(-c-) Ancillary services. Subject to the maximum change specified in item (-a-) of this subclause, the maximum change in ancillary services scheduled from the first settlement interval in one hour to the first settlement interval of the next hour is plus or minus six MW.

(III) Ancillary services. Subject to the limitations in subclauses (I) and (II) of this clause:

(-a-) The total MW of non-spinning reserve service, regulation service up, regulation service down, responsive reserve service, and balancing energy service up and balancing energy service down from the entitlement in one hour shall not exceed ten MW;

(-b-) Subject to the limitations in item (-a-) of this subclause, the total MW of regulation service up, regulation service down, responsive reserve service, and bids for balancing energy service up and balancing energy service down from the entitlement in one hour shall not exceed:

(-1-) Four MW if the entitlement holder schedules any two-MW changes in the levels of energy within the hour;

(-2-) Five MW if the entitlement holder schedules any one-MW, but not two-MW changes in the levels of energy within the hour; or

(-3-) Six MW if the entitlement holder does not schedule any changes in the levels of energy within the hour.

(-c-) In addition to the limitations in items (-a-) and (-b-) of this subclause, the total MW of non-spinning reserve service, regulation service up, responsive reserve service, and balancing energy service up from the entitlement in a settlement interval shall not exceed an amount of MW equal to the daily capacity commitment for the settlement interval minus the energy scheduled for that settlement interval.

(-d-) In addition to the limitations in items (-a-), (-b-), and (-c-) of this subclause, the total MW of regulation service down and balancing energy service down from the entitlement in a settlement interval shall not exceed an amount of MW equal to the energy scheduled for that settlement interval minus eight MW.

(-e-) In addition to the limitations in items (-a-), (-b-), and (-c-) of this subclause, if the energy schedule is at zero as permitted under subclause (IV)(-a-) of this clause, then the entitlement holder may not schedule any ancillary services from the gas-intermediate entitlement.

(-f-) Non-spinning reserve service may be provided from the entitlement in 30 minutes, and other permitted ancillary services may be provided from the entitlement in ten minutes.

(IV) Starts, minimum off time, and minimum run time.

(-a-) The entitlement holder may reduce the energy schedule from the gas-intermediate entitlement to zero MW two times during the entitlement month.

(-b-) Once the energy schedule is reduced to zero, it shall remain at zero for not less than 48 hours.

(-c-) If the entitlement holder increases the energy schedule from zero, then energy shall be scheduled at a minimum of eight MW, and the energy schedule may not be reduced to zero again for at least 72 hours after the energy schedule increased from zero.

(v) Default schedule. If the entitlement holder does not submit a timely day-ahead or two-day ahead schedule, as applicable, then the schedule, for the applicable operating day is deemed to be, in every settlement interval of the applicable operating day, eight MW for the daily capacity commitment, eight MW of energy to be delivered to the entitlement holder's designated default QSE, and zero MW of ancillary services, and that deemed schedule may not be changed in any hour-ahead schedule. However, if the entitlement holder has used up its allowable starts for the entitlement month, then the schedule for the applicable operating day is deemed to be, in every settlement interval of the applicable operating day, zero MW for the daily capacity commitment.

(B) Gas-intermediate ancillary services. Subject to the scheduling limits in subparagraph (A) of this paragraph, the entitlement holder may use the entitlement in any one hour for one or more of these ancillary services: regulation service up, regulation service down, responsive reserve service, non-spinning reserve service, balancing energy service up, and balancing energy service down. When ERCOT requires mandatory balancing energy down bids, then the affiliated PGC shall so notify the entitlement holder, and the entitlement holder shall then submit a balancing energy down bid to ERCOT in the same percentage that ERCOT requires of the affiliated PGC, subject to the MW limits for gas-intermediate in the applicable Schedule CA of the applicable Agreement.

(C) Contract price for gas-intermediate. The items included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment.

(I) The energy payment from the entitlement holder to the affiliated PGC for each settlement interval in the entitlement month, is the sum of the minimum energy payment and the excess energy payment.

(-a-) The minimum energy payment is the product of the number of hours in the entitlement month at which the energy level is not zero as permitted under subparagraph (A)(iv)(IV)(-a-) of this paragraph, times eight MWh, times the minimum fuel price.

(-b-) The excess energy payment for each settlement interval is the excess fuel price defined in subclause (II)(-b-) of this clause, times (energy scheduled minus two MWh plus energy deployed up minus energy deployed down).

(II) Fuel price.

(-a-) The minimum fuel price is a heat rate equal to 9.9 Million British Thermal Units (MMBtu) per MWh times the daily gas price.

(-b-) The excess fuel price is a heat rate equal to 9.9 MMBtu per MWh times the daily gas price.

(iii) Ancillary services payment.

(I) The ancillary services cost adjustment payment to be paid by the entitlement holder to the affiliated PGC is the ancillary services cost defined in subclause (II) of this clause times the difference, for each settlement interval of the entitlement, between the daily capacity commitment and energy scheduled.

(II) The ancillary services cost is a heat rate adjustment equal to 1.015 MMBtu per MW times the daily gas price.

(iv) Energy deployed up reimbursement payment. For energy deployed up for all settlement intervals in the entitlement month, the affiliated PGC shall pay the entitlement holder the MCPE in dollars per MWh paid by ERCOT for a settlement interval times the energy deployed up in a settlement interval.

(v) Energy deployed down reimbursement payment. For energy deployed down for all settlement intervals in the entitlement month, the entitlement holder shall pay the affiliated PGC the MCPE in dollars per MWh paid to ERCOT for a settlement interval times the energy deployed down in a settlement interval.

(D) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price after receiving an invoice for that amount in accordance with the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the Agreement.

(5) Gas-cyclic.

(A) Gas-cyclic scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement and may submit hour-ahead schedules for both energy and ancillary services. The entitlement holder shall submit a two-day-ahead schedule for the entitlement if notified to do so by ERCOT.

(ii) Timing of scheduling. All of the times for scheduling referred to in this subparagraph are based on the times in the ERCOT protocols. If the times in the ERCOT protocols are changed, then the times in this subparagraph will be considered to have changed to equitably accommodate the changes in the ERCOT protocols.

(I) The entitlement holder shall submit day-ahead or two-day-ahead schedules for the entitlement to the affiliated PGC no later than 8:00 a.m. The daily capacity commitment is determined for a gas-cyclic entitlement by the 8:00 a.m. schedule, unless the entitlement holder notifies the affiliated PGC, in the schedule, that it is exercising its option to set the daily capacity commitment in the last schedule submitted before the gas-cyclic start deadline defined in subclause (V) of this clause. The entitlement holder shall submit hour-ahead schedules for the entitlement to the affiliated PGC no later than one hour before the deadline for the affiliated PGC's QSE to submit hour-ahead schedules to ERCOT.

(II) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for energy from the entitlement no later than 10:00 a.m.

(III) On days that ERCOT allows QSEs to change their day-ahead or two-day ahead schedules to ERCOT by 1:00 p.m. for congestion or capacity insufficiency, the entitlement holder may submit a revised day-ahead or two-day-ahead schedule for energy from the entitlement to the affiliated PGC no later than noon.

(IV) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for ancillary services from the entitlement no later than 1:45 p.m.

(V) The gas-cyclic start deadline for declaring the daily capacity commitment for each settlement interval in an operating hour is 14 hours before the end of the adjustment period for that operating hour.

(iii) Schedule content. Each schedule shall specify:

(I) For each settlement interval, the MW of energy scheduled to be delivered to the entitlement holder from the entitlement; and

(II) For each hour, the MW scheduled to be reserved for the entitlement holder's use of each ancillary service from the entitlement. The entitlement holder shall include any MW bid (but not pricing) for the balancing energy up and balancing energy down ancillary services on the schedule.

(iv) Scheduling limits.

(I) Total. Generally, the rate at which energy is scheduled cannot change more than plus or minus six MW and the rate at which ancillary services is reserved or scheduled by the entitlement holder in each hour cannot change more than plus or minus six MW. The restrictions in items (-a-) and (-b-) of this subclause apply.

(-a-) Minimum energy. The entitlement holder may not schedule energy at any level between zero MW and five MW from the entitlement at any time during the month.

(-b-) Maximum energy. The entitlement holder may not schedule energy at any level greater than the daily capacity commitment in any settlement interval after the entitlement holder designates its daily capacity commitment.

(II) Maximum changes. Subject to the limits specified in subclause (I) of this clause:

(-a-) The maximum change in the rate at which energy is scheduled from the first settlement interval in one hour to the first settlement interval in the next hour is plus or minus six MW;

(-b-) Subject to the limitation in item (-a-) of this subclause, the maximum change in the rate at which energy is scheduled from one settlement interval to the next is plus or minus two MW; and

(-c-) Subject to the limitation specified in item (-a-) of this subclause, the maximum change in ancillary services scheduled from the first settlement interval in one hour to the first settlement interval of the next hour is plus or minus six MW.

(III) Ancillary services. Subject to the limitations in subclauses (I) and (II) of this clause:

(-a-) The total MW of non-spinning reserve service, regulation service up, regulation service down, responsive reserve service, and balancing energy service up and balancing energy service down from the entitlement in one hour shall not exceed ten MW;

(-b-) Subject to the limitations in item (-a-) of this subclause, the total MW of regulation service up, regulation service down, responsive reserve service, and bids for balancing energy service up and balancing energy service down from the entitlement in one hour shall not exceed:

(-1-) Four MW if the entitlement holder schedules any two-MW changes in the levels of energy within the hour;

(-2-) Five MW if the entitlement holder schedules any one-MW, but not two-MW changes in the levels of energy within the hour; or

(-3-) Six MW if the entitlement holder does not schedule any changes in the levels of energy within the hour.

(-c-) In addition to the limitations in items (-a-) and (-b-) of this subclause, the total MW of non-spinning reserve service, regulation service up, responsive reserve service, and balancing energy service up from the entitlement in a settlement interval shall not exceed an amount of MW equal to the daily capacity commitment for the settlement interval minus the energy scheduled for that settlement interval.

(-d-) In addition to the limitations in items (-a-), (-b-), and (-c-) of this subclause, the total MW of regulation service down and balancing energy service down from the entitlement in a settlement interval shall not exceed an amount of MW equal to the energy scheduled for that settlement interval minus five MW.

(-e-) Non-spinning reserve service may be provided from the entitlement in 30 minutes, and other permitted ancillary services may be provided from the entitlement in ten minutes.

(IV) Starts. Subject to the limits specified in subclause (I) - (III) of this clause, the entitlement holder may not direct more than 20 starts during the month of the entitlement, and the entitlement holder may not direct more than one start per day. A start occurs every time a schedule increases the MW of energy from zero MW. Once 20 starts have occurred during the entitlement, the energy scheduled by the entitlement holder may not be lower than a rate of five MW unless that level is lowered to zero MW, at which time the level may not be raised above zero MW for the remainder of the entitlement.

(v) Default schedule. If the entitlement holder does not submit a timely day-ahead or two-day ahead schedule, as applicable, then the schedule for the applicable operating day is deemed to be, in every settlement interval of the applicable operating day, zero MW for the daily capacity commitment, zero MW of energy, and zero MW of ancillary services. This deemed schedule may not be changed in any hour-ahead schedule.

(B) Gas-cyclic ancillary services. Subject to the scheduling limits in subparagraph (A) of this paragraph, the entitlement holder may use the entitlement in any one hour for one or more of these ancillary services: regulation service up, regulation service down, responsive reserve service, non-spinning reserve service, balancing energy service up, and balancing energy service down. When ERCOT requires mandatory balancing energy service down bids, then the affiliated PGC shall so notify the entitlement holder, and the entitlement holder shall then submit a balancing energy service down bid in the same percentage that ERCOT requires of the affiliated PGC, subject to the MW limits for gas-cyclic in this paragraph.

(C) Contract price for gas-cyclic. The items to be included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment.

(I) The energy payment for each settlement interval from the entitlement holder to the affiliated PGC is the fuel price defined in subclause (II) of this clause times (energy scheduled plus energy deployed up minus energy deployed down.)

(II) Fuel price.

(-a-) The fuel price, for the portion of the daily capacity commitment that is designated by the entitlement holder by 8:00 a.m. in the day-ahead or two-day- ahead schedule, is a heat rate equal to 12.100 MMBtu per MWh times the daily gas price.

(-b-) The fuel price, for the portion of the daily capacity commitment that is not released or committed at 8:00 a.m., but is committed before the gas-cyclic start deadline, is a heat rate equal to 12.100 MMBtu per MWh times (the sum of the daily gas price plus $ .25.)

(iii) Ancillary services payment.

(I) The ancillary services payment to be paid by the entitlement holder to the affiliated PGC is the product of the ancillary services cost defined in subclause (II) of this clause times the difference, for each settlement interval of the entitlement, between the daily capacity commitment and energy scheduled.

(II) The ancillary services cost is a heat rate adjustment equal to 1.622 MMBtu per MW times the daily gas price.

(iv) Energy deployed up reimbursement payment. For energy deployed up, for all settlement intervals in the entitlement month, the affiliated PGC shall pay the entitlement holder the MCPE in dollars per MWh paid by ERCOT for a settlement interval times the energy deployed up in a settlement interval.

(v) Energy deployed down reimbursement payment. For energy deployed down for all settlement intervals in the entitlement month, the entitlement holder shall pay the affiliated PGC the MCPE in dollars per MWh paid to ERCOT for a settlement interval times the energy deployed down in a settlement interval.

(D) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price after receiving an invoice for that amount in accordance with the other terms of the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the other terms of the Agreement.

(6) Gas-peaking.

(A) Gas-peaking scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement and may submit hour-ahead schedules. The entitlement holder shall submit a two-day-ahead schedule for the entitlement if notified to do so by ERCOT.

(ii) Timing of scheduling. All of the times for scheduling referred to in this subparagraph are based on the times in the ERCOT protocols. If the times in the ERCOT protocols are changed, then the times in this subparagraph will be considered to have changed to equitably accommodate the changes in the ERCOT protocols.

(I) The entitlement holder shall submit day-ahead or two-day-ahead schedules for the entitlement to the affiliated PGC no later than 8:00 a.m. The daily capacity commitment is determined for a gas-peaking entitlement by the 8:00 a.m. schedule, unless the entitlement holder notifies the affiliated PGC, in the schedule, that it is exercising its option to set the daily capacity commitment in the last schedule submitted before the gas-peaking start deadline defined in subclause (V) of this clause. The entitlement holder shall submit hour-ahead schedules for the entitlement to the affiliated PGC no later than one hour before the deadline for the affiliated PGC's QSE to submit hour-ahead schedules to ERCOT.

(II) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for energy from the entitlement no later than 10:00 a.m.

(III) On days that ERCOT allows QSEs to change their day-ahead or two-day ahead schedules to ERCOT by 1:00 p.m. for congestion or capacity insufficiency, the entitlement holder may submit a revised day-ahead or two-day-ahead schedule for energy from the entitlement to the affiliated PGC no later than noon.

(IV) The entitlement holder may submit to the affiliated PGC a revised day-ahead or two-day-ahead schedule for the non- spinning reserve service from the entitlement no later than 1:45 p.m.

(V) The gas-peaking start deadline for declaring the daily capacity commitment for each settlement interval in an operating hour is one hour before the end of the adjustment period for that operating hour.

(iii) Schedule content. Each schedule shall specify:

(I) For each settlement interval, the MW of energy scheduled to be delivered to the entitlement holder from the entitlement; and

(II) For each hour, the MW scheduled to be reserved for the entitlement holder's use of the non-spinning reserve service from the entitlement.

(iv) Scheduling limits.

(I) Total.

(-a-) The rate at which energy is scheduled or ancillary services reserved or scheduled by the entitlement holder in each settlement interval during an hour shall be either zero MW or 25 MW and cannot change during the hour.

(-b-) Subject to the requirement of item (-a-) of this subclause, if the entitlement holder schedules any energy from the entitlement in an hour, the rate at which energy is scheduled shall continue uninterrupted at a level of 25 MW for not less than four hours.

(-c-) Subject to the requirements of items (-a-) and (-b-) of this subclause, when the entitlement holder decreases a schedule for energy to zero MW from the entitlement in an hour, the rate at which energy is scheduled or at which ancillary services is scheduled or reserved shall continue uninterrupted at a level of zero MW for not less than two hours.

(II) Starts. The number of starts of the entitlement is not limited.

(v) Default schedule. If the entitlement holder does not submit a timely day-ahead or two-day ahead schedule, as applicable, then the schedule, for the applicable operating day is deemed to be, in every settlement interval of the applicable operating day, zero MW for the daily capacity commitment, zero MW of energy, and zero MW of the non-spinning reserve service. This deemed schedule may not be changed in any revised day-ahead or two-day ahead schedule, or in any hour-ahead schedule.

(B) Gas-peaking ancillary services. The entitlement holder may not use the entitlement for any ancillary service except the non-spinning reserve service.

(C) Contract price for gas-peaking. The items to be included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment.

(I) The energy payment for each settlement interval, from the entitlement holder to the affiliated PGC is the fuel price defined in subclause (II) of this clause times (energy scheduled plus non-spinning energy deployed plus non- spinning energy instructed deviation.)

(II) Fuel price.

(-a-) The fuel price, for operating days for which the entitlement holder designated its daily capacity commitment by 8:00 a.m. in the day-ahead or two- day ahead schedule, is a heat rate equal to 14.100 MMBtu per MWh times the daily gas price.

(-b-) The fuel price, for operating days for which the entitlement holder exercises its option to designate its daily capacity commitment after 8:00 a.m. and before the gas-peaking start deadline, is a heat rate equal to 14.100 MMBtu per MWh times the sum of the daily gas price plus $ .25.

(iii) Ancillary services payment. The ancillary services payment to be paid by the entitlement holder to the affiliated PGC is the product of $1.00 per MW times the total number of MW of non-spinning reserve service scheduled during each hour of the entitlement month.

(iv) Ancillary services reimbursement payment. The ancillary services reimbursement payment from the affiliated PGC to the entitlement holder is the sum of the MCPE for energy in dollars per MWh paid by ERCOT for each MWh of non-spinning energy deployed and the price that ERCOT pays for uninstructed deviations for each MWh of non-spinning energy uninstructed deviation.

(D) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price after receiving an invoice for that amount in accordance with the other terms of the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the other terms of the Agreement.

(g) Product descriptions for capacity in non-ERCOT areas. The provisions in this subsection apply to capacity auctions in non-ERCOT areas. Subsection (f) of this section contains provisions applicable to capacity auctions in ERCOT.

(1) Definitions. The following words and terms when used in this subsection shall have the following meanings unless the context indicates otherwise:

(A) Daily capacity commitment--The amount of capacity scheduled by the entitlement holder that a seller shall make available for the provision of energy from an entitlement.

(B) Day ahead schedule--A schedule submitted by the entitlement holder to a seller of the entitlement holder's scheduled usage of the entitlement for the following operating day.

(C) Energy scheduled--For each settlement interval, the final schedule for energy that the entitlement holder submits to a seller, subject to the limits on timing and amounts of schedules contained in this subsection.

(D) Grouped entitlements--All of the entitlements from a seller that the entitlement holder holds for a particular entitlement month.

(E) Hour-ahead schedule--A schedule other than a day-ahead schedule submitted by the entitlement holder to a seller of the entitlement holder's scheduled usage of the entitlement for the following operating hour.

(2) Baseload product.

(A) Description. For each baseload capacity entitlement, the scheduled power shall be provided to the entitlement holder during the month of the entitlement seven days per week and 24 hours per day, in accordance with the scheduling requirements and limitations provided in subparagraph (E) of this paragraph.

(B) Block size. Each baseload capacity entitlement shall be 25 MW in size.

(C) Fuel price. The fuel cost owed to the affiliated PGC by the entitlement holder for the dispatched baseload power will be the average cost of coal, lignite, and nuclear fuel, in dollars per MWh, based on the company's final ECOM model as determined in the proceeding pursuant to PURA §39.201 as projected for the relevant time period. Electric utilities without an ECOM determination in their proceeding conducted pursuant to PURA §39.201 shall propose for commission review an average cost of fuel in a similar manner.

(D) Starts per month. The entitlement holder of a baseload capacity entitlement shall take power from the entitlement seven days per week and 24 hours per day and is therefore not permitted to direct the affiliated PGC to make any starts of baseload capacity entitlements.

(E) Baseload scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement.

(ii) Timing of scheduling.

(I) The entitlement holder shall submit day-ahead schedules for the entitlement to the seller no later than 8:00 a.m. The daily capacity commitment is determined for a baseload entitlement by the 8:00 a.m. schedule.

(II) The entitlement holder may submit to the seller a revised day- ahead schedule for energy from the entitlement no later than noon, subject to the limit on maximum energy in clause (iv)(II) of this subparagraph.

(III) No hour-ahead schedules are permitted for energy from baseload entitlements.

(iii) Schedule content. Each schedule shall specify, for each scheduling interval, subject to the scheduling limits in clause (iv) of this subparagraph, the energy scheduled to be delivered to the entitlement holder from the entitlement.

(iv) Scheduling limits.

(I) Minimum energy. The entitlement holder may not schedule energy at less than 20 MW from the entitlement at any time during the month.

(II) Maximum energy. The entitlement holder may not schedule energy at any level greater than the daily capacity commitment in any scheduling interval.

(III) Maximum changes. Subject to the minimum energy rate specified in subclause (I) of this clause:

(-a-) Total. Generally, the rate at which energy is scheduled by the entitlement holder in each hour cannot change more than plus or minus two MW.

(-b-) Energy. Subject to the maximum change specified in item (-a-) of this subclause, the maximum change in energy scheduled from one scheduling interval to the next scheduling interval cannot exceed plus or minus two MW.

(v) Default schedule. If the entitlement holder does not submit a timely day-ahead schedule, as applicable, then the schedule for the applicable operating day shall be deemed to be, in every settlement interval of the applicable operating day, a total of 20 MW for the daily capacity commitment.

(F) Contract price for baseload. The items to be included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment. The fuel price is as specified on the letter confirmation for the entitlement. The energy payment from the entitlement holder to the affiliated PGC is the fuel price in dollars per MWh specified in the letter confirmation for the entitlement times the greater of:

(I) The total energy scheduled from the entitlement during the entitlement month; or

(II) An amount of MWh equal to 20 MW times the number of hours in the entitlement month.

(G) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price to the affiliated PGC after receiving an invoice for that amount in accordance with the other terms of the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the other terms of the Agreement.

(3) Gas-intermediate product.

(A) Description. For each gas-intermediate capacity entitlement, not less than 30% of the entitlement shall be provided to the entitlement holder at any time when any of the entitlement is being scheduled by the entitlement holder , with the remainder of the block scheduled as day-ahead shaped power in accordance with the scheduling requirements and limitations provided in subparagraph (E) of this paragraph.

(B) Block size. Each gas-intermediate capacity entitlement shall be 25 MW in size.

(C) Fuel price.

(i) Except as specified otherwise in clause (ii) of this subparagraph, the fuel cost owed to the affiliated PGC by the entitlement holder for the gas-intermediate capacity dispatched will be 10.850 MMBtu per MWh heat rate times the minimum MWh that shall be taken for gas-intermediate capacity as required in subparagraph (A) of this paragraph times the first-of-the-month index posted in the publication "Inside FERC" for the Houston Ship Channel for the month of the entitlement. For power dispatched above the minimum MWh required, the additional fuel price owed to the affiliated PGC will be 10.850 MMBtu per MWh times the MWh of gas-intermediate power dispatched pursuant to the entitlement above the minimum requirement times the daily gas price.

(ii) EGSI.

(I) For EGSI gas-intermediate capacity in the eastern congestion zone, the fuel cost owed to its affiliated PGC by the capacity entitlement holder for the gas-intermediate capacity dispatched will be 10.850 MMBtu per MWh heat rate times the minimum MWh that shall be taken for gas- intermediate capacity as required in subparagraph (A) of this paragraph times the first-of-the-month index posted in the publication "Inside FERC" for Henry Hub for the month of the entitlement. For power dispatched above the minimum MWh required, the additional fuel price owed to the affiliated PGC will be 10.850 MMBtu per MWh times the MWh of gas-intermediate power dispatched pursuant to the entitlement above the minimum requirement times the Henry Hub daily gas price.

(II) For EGSI gas-intermediate capacity in the western congestion zone, the fuel cost owed to its affiliated PGC by the capacity entitlement holder for the gas-intermediate capacity dispatched will be 10.850 MMBtu per MWh heat rate times the minimum MWh that shall be taken for gas- intermediate capacity as required in subparagraph (A) of this paragraph times the average of the first-of-the-month index posted in the publication "Inside FERC" for Henry Hub for the month of the entitlement and the first-of-the- month index posted in the publication "Inside FERC" for the Houston Ship Channel for the month of the entitlement. For power dispatched above the minimum MWh required, the additional fuel price owed to the affiliated PGC will be 10.850 MMBtu per MWh times the MWh of gas- intermediate power dispatched pursuant to the entitlement above the minimum requirement times the average of the Henry Hub daily gas price and the Houston Ship Channel daily gas price.

(D) Starts per month. The entitlement holder of gas-intermediate capacity shall take a minimum of 30% of the power from the entitlement in each interval and is therefore not permitted to direct the affiliated PGC to make any starts of gas intermediate capacity entitlements.

(E) Gas-intermediate scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement.

(ii) Timing of scheduling.

(I) The entitlement holder shall submit day-ahead schedules for the entitlement to the seller no later than 8:00 a.m. The daily capacity commitment is determined for a gas-intermediate entitlement by the 8:00 a.m. schedule.

(II) The entitlement holder may submit to seller a revised day- ahead schedule for energy from the entitlement no later than noon, subject to the limit on maximum energy in clause (iv)(II) of this subparagraph.

(III) No hour-ahead schedules are permitted for energy from gas- intermediate entitlements.

(iii) Schedule content. Each schedule shall specify, for each scheduling interval, the energy scheduled to be delivered to the entitlement holder from the entitlement.

(iv) Scheduling limits.

(I) Minimum energy. The entitlement holder may not schedule energy at less than eight MW from the entitlement at any time during the month.

(II) Maximum energy. The entitlement holder may not schedule energy at a level greater than the daily capacity commitment in any scheduling interval.

(III) Maximum changes. Subject to the minimum energy rate specified in subclause (I) of this clause and the maximum energy rate specified in subclause (II) of this clause, the energy scheduled by the entitlement holder in each hour cannot change more than plus or minus six MW.

(v) Default schedule. If the entitlement holder does not submit a timely day-ahead schedule, as applicable, then the schedule for the applicable operating day shall be deemed to be, in every settlement interval of the applicable operating day, a total of eight MW for the daily capacity commitment. This deemed schedule may not be changed in any hour-ahead schedule.

(F) Contract price for gas-intermediate. The items to be included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment.

(I) The energy payment from the entitlement holder to the affiliated PGC is the sum, for each settlement interval in the entitlement month, of the minimum energy payment and the excess energy payment.

(-a-) The minimum energy payment is the product of eight MWh times the minimum fuel price.

(-b-) The excess energy payment is the product, for each settlement interval, of the excess fuel price defined in subclause (II)(-b-) of this clause times energy scheduled.

(II) Fuel price.

(-a-) The minimum fuel price is the product of a heat rate equal to 10.850 MMBtu per MWh times the daily gas price.

(-b-) The excess fuel price is the product of a heat rate equal to 10.850 MMBtu per MWh times the daily gas price.

(G) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price after receiving an invoice for that amount in accordance with the terms of the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the terms of the Agreement.

(4) Gas-cyclic product.

(A) Description. The gas-cyclic entitlement shall be flexible day-ahead shaped power.

(B) Block size. Each gas-cyclic capacity entitlement shall be 25 MW in size.

(C) Fuel price.

(i) Except as specified otherwise in clause (ii) of this subparagraph, the fuel price owed to the affiliated PGC by the capacity entitlement holder for gas-cyclic capacity dispatched will be 12.100 MMBtu per MWh times the MWh of the gas-cyclic power dispatched under the entitlement times the daily gas price.

(ii) EGSI.

(I) For EGSI gas-cyclic capacity in the eastern congestion zone, the fuel cost owed to its affiliated PGC by the capacity entitlement holder for the gas-cyclic capacity dispatched will be 12.100 MMBtu per MWh times the MWh of gas- cyclic power dispatched under the entitlement times the Henry Hub daily gas price.

(II) For EGSI gas-cyclic capacity in the western congestion zone, the fuel cost owed to its affiliated PGC by the capacity entitlement holder for the gas-cyclic capacity dispatched will be 12.100 MMBtu per MWh times the MWh of gas- cyclic power dispatched under the entitlement times the average of the Henry Hub daily gas price and the Houston Ship Channel daily gas price.

(D) Starts per month and associated costs. The entitlement holder of gas-cyclic capacity shall be entitled to direct the selling affiliated PGC to make up to the amount of starts per month of each entitlement of gas-cyclic capacity allowed pursuant to subparagraph (E)(v) of this paragraph.

(E) Gas-cyclic scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement.

(ii) Timing of scheduling.

(I) The entitlement holder shall submit day-ahead schedules for the entitlement to seller no later than 8:00 a.m. The daily capacity commitment is determined for a gas-cyclic entitlement by the 8:00 a.m. schedule, unless the entitlement holder notifies seller, in the schedule, that it is exercising its option to set the daily capacity commitment in the last schedule submitted before the gas-cyclic start deadline pursuant to subclause (IV) of this clause.

(II) The entitlement holder may submit to seller a revised day- ahead schedule for energy from the entitlement no later than noon, subject to the limit on maximum energy in clause (iv)(II) of this subparagraph.

(III) No hour-ahead schedules are permitted for energy from gas- cyclic entitlements.

(IV) The gas-cyclic start deadline for declaring the daily capacity commitment for each settlement interval in an operating hour is 15 hours before the start of the operating hour.

(iii) Schedule content. Each schedule shall specify, for each scheduling interval, the energy scheduled to be delivered to the entitlement holder from the entitlement.

(iv) Scheduling limits.

(I) Minimum energy. The entitlement holder may not schedule energy at any level between zero MW and five MW from the entitlement at any time during the month.

(II) Maximum energy. The entitlement holder may not schedule energy at any level greater than the daily capacity commitment in any scheduling interval.

(III) Maximum changes. Subject to the minimum energy rate specified in subclause (I) of this clause and the maximum energy rate specified in subclause (II) of this clause, the energy scheduled by the entitlement holder in each hour cannot change more than plus or minus six MW.

(v) Starts. The entitlement holder shall not direct more than 20 starts during the month of the entitlement, and the entitlement holder shall not direct more than one start per day. A start occurs every time a schedule increases the MW of energy from zero MW. Once the maximum number of starts have occurred during the entitlement, the energy scheduled by the entitlement holder may not be lower than a rate of five MW unless that level is lowered to zero MW, at which time the level may not be raised above zero MW for the remainder of the month.

(vi) Default schedule. If the entitlement holder does not submit a timely day-ahead schedule as applicable, then the schedule for the applicable operating day is deemed to be, in every settlement interval of the applicable operating day, zero MW for the daily capacity commitment and zero MW of energy. This deemed schedule may not be changed.

(F) Contract price for gas-cyclic. The items to be included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment.

(I) The energy payment for each settlement interval from the entitlement holder to the affiliated PGC is the product, of the fuel price defined in subclause (II) of this clause times energy scheduled.

(II) Fuel price.

(-a-) The fuel price, for the portion of the daily capacity commitment that is designated by the entitlement holder by 8:00 a.m. in the day-ahead schedule, is the product of a heat rate equal to 12.100 MMBtu per MWh times the daily gas price.

(-b-) The fuel price for the portion of the daily capacity commitment that is not released or committed at 8:00 a.m., but committed before the gas-cyclic start deadline, is the product of a heat rate equal to 12.100 MMBtu per MWh times (the sum of the daily gas price plus $ 0.25.)

(G) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price after receiving an invoice for that amount in accordance with the terms of the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the terms of the Agreement.

(5) Gas-peaking product.

(A) Description. The gas-peaking entitlement shall be intra-day power.

(B) Block size. Each gas-peaking capacity entitlement shall be 25 MW in size.

(C) Fuel price.

(i) Except as specified in clause (ii) of this subparagraph, the fuel price owed to the affiliated PGC by the entitlement holder for gas- peaking capacity dispatched will be 14.100 MMBtu per MWh times the MWh of the gas-peaking power dispatched under the entitlement times the daily gas price.

(ii) EGSI.

(I) For EGSI gas-peaking capacity in the eastern congestion zone, the fuel cost owed to its affiliated PGC by the capacity entitlement holder for the gas-peaking capacity dispatched will be 14.100 MMBtu per MWh times the MWh of gas- peaking power dispatched under the entitlement times the Henry Hub daily gas price.

(II) For EGSI gas-peaking capacity in the western congestion zone, the fuel cost owed to its affiliated PGC by the capacity entitlement holder for the gas-peaking capacity dispatched will be 14.100 MMBtu per MWh times the MWh of gas- peaking power dispatched under the entitlement times the average of the Henry Hub daily gas price and the Houston Ship Channel daily gas price.

(D) Starts per month and associated costs. The entitlement holder of gas-peaking capacity shall be entitled to direct the selling affiliated PGC to make unlimited starts per month of each entitlement of gas-peaking capacity.

(E) Gas-peaking scheduling.

(i) Schedule types. The entitlement holder shall submit a day-ahead schedule for the entitlement and may submit hour-ahead schedules.

(ii) Timing of scheduling.

(I) The entitlement holder shall submit day-ahead schedules for the entitlement to the seller no later than 8:00 a.m. The daily capacity commitment is determined for a gas-peaking entitlement by the 8:00 a.m. schedule, unless the entitlement holder notifies the seller, in the schedule, that it is exercising its option to set the daily capacity commitment in the last schedule submitted before the gas-peaking start deadline defined in subclause (III) of this clause. The entitlement holder shall submit hour-ahead schedules for the entitlement to the seller no later than one hour before the start of the operating hour.

(II) The entitlement holder may submit to the seller a revised day- ahead schedule for energy from the entitlement no later than noon.

(III) The gas-peaking start deadline for declaring the daily capacity commitment for each operating hour is two hours before the beginning of the operating hour.

(iii) Schedule content. Each schedule shall specify, for each scheduling interval, the energy scheduled to be delivered to the entitlement holder from the entitlement.

(iv) Scheduling limits.

(I) The rate at which energy is scheduled by the entitlement holder in each scheduling interval during one hour shall be either zero MW or 25 MW and cannot change during the hour.

(II) Subject to the requirement of subclause (I) of this clause, if the entitlement holder schedules any energy from the entitlement in one hour, the rate at which energy is scheduled shall continue uninterrupted at a level of 25 MW for not less than four hours.

(III) Subject to the requirements of subclause (I) and (II) of this clause, when the entitlement holder decreases a schedule for energy to zero MW from the entitlement in one hour, the energy scheduled shall continue uninterrupted at a level of zero MW for not less than two hours.

(v) Default Schedule. If the entitlement holder does not submit a timely day-ahead schedule then the schedule for the applicable operating day shall be deemed to be, in every settlement interval of the applicable operating day, zero MW for the daily capacity commitment and zero MW of energy. This deemed schedule may not be changed in any revised day-ahead schedule, or in any hour- ahead schedule.

(F) Contract price for gas-peaking. The items to be included in the contract price between the entitlement holder and the affiliated PGC for the entitlement shall include:

(i) Capacity payment. The capacity payment from the entitlement holder to the affiliated PGC is the capacity price in dollars per MW specified in the letter confirmation for the entitlement times 25 MW.

(ii) Energy payment.

(I) The energy payment for each settlement interval from the entitlement holder to the affiliated PGC is the product of the fuel price defined in subclause (II) of this clause times energy scheduled.

(II) Fuel price.

(-a-) The fuel price, for operating days for which the entitlement holder designated its daily capacity commitment by 8:00 a.m. in the day-ahead schedule, is the product of a heat rate equal to 14.100 MMBtu per MWh times the daily gas price.

(-b-) The fuel price, for operating days for which the entitlement holder exercised its option to designate its daily capacity commitment after 8:00 a.m. and before the gas-peaking start deadline, is the product of a heat rate equal to 14.100 MMBtu per MWh times (the sum of the daily gas price plus $ .25).

(G) Timing of payment of contract price. The entitlement holder shall pay the affiliated PGC the capacity payment portion of the contract price not less than five days before the beginning of the entitlement month or 20 days after receiving an invoice for the capacity payment from the affiliated PGC, whichever is later. The entitlement holder shall pay the remainder of the contract price after receiving an invoice for that amount in accordance with the terms of the Agreement. If the affiliated PGC owes the entitlement holder any net amount under the contract price calculation, it will pay that amount to the entitlement holder in accordance with the terms of the Agreement.

(6) Scheduling discrepancies. If the entitlement holder submits a schedule to seller for an entitlement that violates any of the scheduling requirements for that capacity auction product type, the schedule shall be deemed a non-conforming schedule for a scheduled hour. The schedule for that non-conforming scheduled hour shall then be deemed to be the same as the schedule for the nearest preceding hour for which the schedule was not a non-conforming schedule. The seller shall promptly notify the entitlement holder of a non-conforming schedule.

(7) Ancillary services. Until such time that all ancillary services issues are addressed and resolved within the context of a Federal Energy Regulatory Commission (FERC) approved regional transmission organization, entitlements will include rights only to energy and capacity as described in this subsection and specifically exclude any ancillary services rights. Such exclusion is consistent with subsection (e)(1) of this section, which allows products other than those described in this subsection to be offered with good cause. In the interim, the affiliated PGC shall provide the required ancillary services to eligible customers at the current FERC- approved rates.

(h) Auction process.

(1) Timing issues.

(A) Frequency of auctions.

(i) Auction dates. Capacity auctions shall begin on March 10, July 10, September 10, and November 10 of each year. If the date for an auction start falls on a weekend or banking holiday, then that auction shall begin on the first business day after the weekend or banking holiday.

(ii) Simultaneous auctions. Auctions for a product will be held simultaneously by all affiliated PGCs of entitlements within the respective North American Electric Reliability Council (NERC) regions in Texas. For example, ERCOT and non-ERCOT auctions can be held at different times and dates.

(iii) Termination of the capacity auction process. The obligation of an affiliated PGC to auction entitlements shall continue until the earlier of 60 months after the date customer choice is introduced or the date the commission determines that 40% or more of the electric power consumed by residential and small commercial customers within the affiliated transmission and distribution utility's certificated service area before the onset of customer choice is provided by nonaffiliated retail electric providers. The determination of the 40% threshold shall be as prescribed by the commission's rule relating to the price to beat.

(B) Auction conclusion.

(i) Receipt of bids. In order for an affiliated PGC that is auctioning capacity to consider a bid, the bid must be received by that affiliated PGC by close of the round for which the bid is to be submitted.

(ii) Concluding each individual auction. The affiliated PGC shall provide notice of the winning bid(s) to auction participants and the commission by the close of business on the first day after the auction closes that is not a weekend or banking holiday.

(iii) Confidentiality and posting of bids. The affiliated PGC shall designate non-marketing personnel to evaluate the bids, and persons reviewing the bids shall not disclose the bids to any person engaged in marketing activities for the affiliated PGC or use any competitively sensitive information received in the bidding process. Upon announcement of the winning bids, the affiliated PGC shall provide the commission and all auction participants information on the quantity of each product requested by bidders during each round of an auction, but shall not divulge the identity of any particular bidders. Upon specific request by the commission, and under standard protective order procedures, the utility shall provide the identity of the bidders to the commission.

(iv) The affiliated PGC shall be deemed to have met the 15% requirement if it offered products in a product category (for example, gas- intermediate) and successfully sold, at least, all of the entitlements offered in one particular month, in that product category. If there is no month in which all of the products in a product category are sold, the affiliated PGC shall comply with the provisions of paragraph (7)(C) of this subsection.

(2) Auction administration.

(A) Each auction shall be administered by the affiliated PGC selling the entitlement. An affiliated PGC or group of affiliated PGCs may retain the services of a qualified third-party to perform the auction administration functions.

(B) Notice of capacity available for auction.

(i) Method of notice. At least 60 days before each auction start date, each affiliated PGC offering capacity entitlements at auction shall file with the commission notice of the pending auction. Within 20 days of the filing of the notice, interested parties may provide comments on the affiliated PGC's proposed notice. If no comments are received, the affiliated PGC's proposed notice shall be deemed appropriate. If any party objects to the affiliated PGC's proposed notice, then the commission shall administratively approve, reject, or approve the notice with modifications. With respect to the September 10, 2003 auction:

(I) Affiliated PGC's shall include a reference to Project Number 27826, Rulemaking Proceeding to Require Another Set of Two-Year Strips Under the Capacity Auction Rule, §25.381 , in their 60-day notice with a statement that the products to be auctioned in the September 2003 auction will not be fully known until after the commission finalizes Project Number 27826; and

(II) Within five days after the rule amendment in Project Number 27826 becomes effective, affiliated PGC's shall revise their notice, with sufficient explanation, to accurately reflect the products to be auctioned.

(ii) Contents of notice.

(I) The auction notice shall include the auction start date, the date and time by which bids must be received for the first round, and the types, quantity (number of blocks), congestion zone, and term of each entitlement available in that auction. The notice shall also include the following range of bid increments for each product type to be used to adjust the price of entitlements between rounds of the auction:

(-a-) Baseload - $ .05 to $ .75;

(-b-) Gas-intermediate - $ .02 to $ .30;

(-c-) Gas-cyclic - $ .02 to $ .30;

(-d-) Gas-peaking - $ .02 to $ .30.

(II) The affiliated PGC shall also specify which power generation units will be used to meet the entitlement for each type of entitlement to be auctioned. If baseload entitlements are being auctioned, the utility shall also specify the fuel cost prescribed in subsections (f)(3)(B)(ii) and (g)(2)(F)(ii) of this section at the time of the auction. If an entitlement to be auctioned is subject to the forced outage provision in subsection (e)(2)(B) of this section, then the notice must include the applicable three-year rolling average of the forced outage rate.

(iii) The affiliated PGCs shall publish their respective notices and application forms on their web sites no later than 45 calendar days before the start of each auction. Each entity that intends to bid in an affiliated PGC's auction shall complete the forms, which include the first page of the cover sheet to the Agreement, and submit them to the affiliated PGC at least 20 business days before the auction starts, to allow enough time for evaluation and approval of credit. Potential bidders may submit the required documents after that time, but at the risk of not having credit and document approval in time for them to participate in the auction.

(iv) Credit approval for entities bidding on capacity auction products in ERCOT or in non-ERCOT areas of Texas will be performed pursuant to subsection (e)(7) of this section.

(v) The affiliated PGC shall notify an approved bidder of its available credit and send the approved bidder a completed capacity auction- specific version of the applicable Agreement, executed by the affiliated PGC, within ten business days after the bidder has submitted the required information. The approved bidder should attempt to execute and return the executed Agreement to the affiliated PGC no later than five business days before the auction starts. The executed Agreement shall be received by the affiliated PGC no later than two business days before the auction starts. The affiliated PGC shall provide a password or passwords to the approved bidder to allow access to the auction web site and to allow it to bid no later than one business day before the auction starts. An approved bidder may not request or receive additional credit after the auction starts.

(vi) Specific information on how to place bids and navigate the auction sites will be provided by the affiliated PGCs to their qualified bidders prior to the beginning of the capacity auction.

(3) Term of auctioned capacity.

(A) Initial auction. For the initial auction in September 2001, each entitlement was one month in duration, with:

(i) Approximately 20% of the entitlements auctioned as two one-year strips with the strips auctioned jointly (the 12 months of 2002 and 2003),

(ii) Approximately 30% of the entitlements as one-year strips (the 12 months of 2002), and

(iii) Approximately 20% of the entitlements as discrete months for each of the 12 months of 2002 (January through December of 2002)

(iv) Approximately 30% of the entitlements as discrete months for the first four months of 2002 (January through April of 2002).

(v) Reductions in the amounts of entitlements available during the months of March, April, May, October, and November of each calendar year shall be accounted for in the entitlements offered as discrete months.

(B) Schedule of subsequent auctions.

(i) The auction in March of a year will auction approximately 30% of the entitlements as the discrete months of May through August of that year.

(ii) The auction in July of a year will auction approximately 30% of the entitlements as the discrete months of September through December of that year.

(iii) The auction in September of a year will auction:

(I) Approximately 50% of the entitlements as the one-year strips for the next year; and

(II) Approximately 20% of the entitlements as discrete months for each of the 12 calendar months of the next year.

(iv) The auction in November of a year will auction approximately 30% of the entitlements as the discrete months of January through April of the next year.

(v) Reductions in the amounts of entitlements available during the months of March, April, May, October, and November of each calendar year shall be accounted for in the entitlements offered as discrete months.

(vi) The commission will periodically evaluate the need to sell one-year and two-year strips and make appropriate adjustments to the terms of the auctions.

(C) Modification of term. If the auction is for a one-year or two-year strip term and the affiliated retail electric provider (REP) expects to reach the 40% load loss threshold in paragraph (1)(A)(iii) of this subsection, the affiliated PGC may request a shorter term strip by providing evidence of the loss of customer load. Similarly, prior to an auction for the next four available months, an affiliated PGC may request to not auction months in which it projects reaching the 40% threshold. Such filings shall be made 90 days before the auction start date. An affiliated PGC that will satisfy its auction requirements through divestiture, as described in subsection (d) of this section may petition the commission to set an appropriate term for entitlements. The affiliated PGC may not adjust the amount or length of an entitlement to be auctioned except as authorized by the commission.

(4) Quantity to be auctioned.

(A) Block size and number of blocks. The block size of the auctioned capacity entitlement is 25 MW. The affiliated PGC shall divide the amount determined for each product referenced in subsection (e)(1) of this section by 25 to determine the number of blocks of each type to be auctioned.

(B) Divisibility. If the amount to be auctioned for an affiliated PGC for a particular product is not evenly divisible by 25, any remainder shall be added to the product most highly valued in the immediately preceding auction for products of the same duration and shall increase by one the number of entitlements of that product.

(C) Total amount. The sum of the blocks of capacity auctioned shall total no less than 15% of the affiliated PGC's Texas jurisdictional installed generation capacity.

(5) Bidders. For each auction, potential bidders shall pre-qualify by demonstrating compliance with the credit requirements in subsection (e)(7) of this section in advance of submission of a bid.

(6) Bidding procedures. For purposes of this section, the term "set of entitlements" shall refer to all of a seller's products of the same type and period. For example, a quantity of baseload products sold as a one-year strip for 2002 would be a set of baseload-annual 2002 entitlements, while a quantity of baseload products sold as the discrete month of July 2002 would be a set of baseload-July 2002 entitlements.

(A) Method of auction for affiliated PGCs within ERCOT. Each auction shall be a simultaneous, multiple round, auction that includes procedures that allow switching by bidders between affiliated PGCs and product types.

(i) Auction duration. Once a product auction commences it will continue through each business day until that auction concludes.

(ii) Round duration. Each auction's first round will begin promptly at 8:00 a.m. and each round will last for 30 minutes with 30 minutes between rounds. For example, the first round of bidding will start at 8:00 a.m. and end at 8:30 a.m., the second round will start at 9:00 a.m. and end at 9:30 a.m., etc. No round may start later than 4:00 p.m. All times are in central prevailing time.

(iii) Credit calculation. An entitlement bidder's credit limit shall be adjusted during the auction based on the value of the entitlements bid upon, and will be determined by using an assumed fuel price stated by the entitlement seller, and the capacity price for the lesser of three months or the duration of the entitlement plus the amount that would be paid to exercise the entitlement for the lesser of three months or the duration of the entitlement at the assumed dispatch for each product as follows:

Figure: 16 TAC §25.381(h)(6)(A)(iii) (No change.)

(B) Mechanism for auction for affiliated PGCs within ERCOT. Each affiliated PGC shall conduct the auction over the Internet on a secure web page and shall assign a password and bidder's number to each entity that has satisfied the credit requirements in this section.

(C) Method of auction for affiliated PGCs in non-ERCOT areas. Each auction shall be a simultaneous, multiple round, open bid auction.

(i) First round. For the first round of the auction, the affiliated PGC will post the opening bid price determined in accordance with paragraph (7) of this subsection for each set of entitlements available for purchase at the auction. Each bidder will specify the number of entitlements it wishes to purchase of each set of entitlements at the opening bid price(s). If the total demand for a set of entitlements is less than the available quantity of the set of entitlements, the price for each of the entitlements in the set will be the opening bid price and each bidder in the round will receive all of the entitlements in the set they demanded. Any remaining entitlements of the set will be held for future auction as noticed by the affiliated PGC in accordance with its notice given pursuant to paragraph (7) of this subsection.

(ii) Subsequent rounds. If the total demand for a set of entitlements in any round is more than or equal to the available quantity, the affiliated PGC will adjust the price upward within the range for each specific product type as noticed according to paragraph (2)(B)(ii)(I) of this subsection. Bidders shall then submit bids for the quantities they wish to purchase of each set of entitlements at the new price. Subsequent rounds shall continue until demand is less than supply for each set of entitlements. The auction then closes and the market clearing price for each set of entitlements is set at the last price for which demand equaled or exceeded supply. Bidders shall then be awarded the entitlements they demanded in the final round, plus a pro-rata share of any entitlements they demanded in the next to last round as described in clause (iii) of this paragraph.

(iii) Pro-rata entitlement allocation. The pro-rata allocation of entitlements will be implemented by determining a bid differential between the next-to-last round bid and the number of awarded entitlements based on the last round and awarding the remaining entitlement to the bidder with the largest differential. The awarded entitlement will then be subtracted from that bidder's differential and the process will iterate until all entitlements have been awarded. In the event that the differential between two or more bidders is the same, the tie will be broken based on the timestamp of each bidder's last bid submitted in the next-to-last round. For example, 14 baseload one-year strip entitlements are available and bidders A, B, C, and D are bidding. In the last round, demand was only 11 entitlements and bidder D did not bid.

Figure 1: 16 TAC §25.381(h)(6)(C)(iii) (No change.)

Figure 2: 16 TAC §25.381(h)(6)(C)(iii) (No change.)

Figure 3: 16 TAC §25.381(h)(6)(C)(iii) (No change.)

Figure 4: 16 TAC §25.381(h)(6)(C)(iii) (No change.)

(iv) Auction duration. Once a product auction commences it will continue through each business day until that auction concludes.

(v) Round duration. Each auction's first round will begin promptly at 8:00 a.m. and each round will last for 30 minutes with 30 minutes between rounds. For example, the first round of bidding will start at 8:00 a.m. and end at 8:30 a.m., the second round will start at 9:00 a.m. and end at 9:30 a.m., etc. No round may start later than 4:00 p.m. All times are in central prevailing time.

(vi) Credit calculation. An entitlement holder's credit limit shall be adjusted during the auction based on the value of the entitlements awarded to the holder, which will be determined by using an assumed fuel price stated by the entitlement seller, and the capacity price for the lesser of three months or the duration of the entitlement plus the amount that would be paid to exercise the entitlement for the lesser of three months or the duration of the entitlement at the assumed dispatch for each product as follows:

Figure: 16 TAC §25.381(h)(6)(C)(vi) (No change.)

(D) Activity rules for affiliated PGCs in non-ERCOT areas.

(i) A bidder must bid in the first round for a particular entitlement to participate in subsequent rounds.

(ii) A bidder may not bid a greater quantity than it bid in a previous round for a particular entitlement.

(E) Mechanism for auction for affiliated PGCs in non-ERCOT areas. Each affiliated PGC shall conduct the auction over the Internet on a secure web page and shall assign a password and bidder's number to each entity that has satisfied the credit requirements in this section.

(7) Establishment of opening bid price.

(A) If an affiliated PGC intends to change the minimum opening bid prices that would otherwise be applicable under subparagraph (B) of this paragraph, it shall file with the commission, not less than 90 days before the auction start date on which the change is proposed to be applicable, a methodology for determining an opening bid price for each type of entitlement, if needed, based on the affiliated PGC's expected variable cost of operation, but excluding any return on equity. The opening price may not include any cost included in the fuel price to be paid by entitlement holders, nor any cost being recovered by its affiliated transmission and distribution utility through non-bypassable delivery charges, but may recover variable costs not included in the fuel prices, such as fuel service costs and start up fees. Parties shall have 30 days after filing to challenge the methodology. If no challenges are received, the affiliated PGC's proposed methodology shall be deemed appropriate. If any party objects to the affiliated PGC's proposed methodology, then the commission shall determine the appropriate methodology.

(B) Minimum opening bids for entitlements shall be the same as the minimum opening bids used in the most recent auction that included those entitlements, except that sellers with plants that have been affected by congestion zone changes since the most recent auction may use minimum opening bids that are different than the minimum opening bids in the most recent auction, provided that the seller maintains the same weighted- average, by MW, of the most recent auction's minimum bids, for all of its plants of the same product type in all congestion zones, to compute the new minimum opening bids for each product type. Nothing in this subparagraph shall prevent the commission from ordering a different methodology for a seller, if the seller proves that good cause exists for the change.

(C) In the notice provided pursuant to paragraph (2)(B)(i) of this subsection, the affiliated PGC may make available an opening bid price calculated pursuant to the commission-approved methodology for each type of entitlement to be offered for sale at auction. The affiliated PGC shall not be obligated to accept any bid for a product less than the opening bid price, but shall notify the commission that the opening bid price was not met. The affiliated PGC shall be deemed to have met the 15% requirement if it offered products in a product category (for example, gas-intermediate) and successfully sold, at least, all of the entitlements offered in one particular month, in that product category. If there is an auction where there is no month in which all of the entitlements of a particular product are sold, then the affiliated PGC shall, in its notice pursuant to paragraph (2)(B)(i) of this subsection, make a proposal to the commission in order to comply with the 15% requirement. The affiliated PGC's proposal may include revisions to the product category, product price, or offer alternative products for auction.

(8) Results of the auction. The results of the auction shall be simultaneously announced to all bidders by posting on the affiliated PGC's auction web site with posting of the market clearing price for each set of entitlements.

(i) Resale of entitlement.

(1) Compliance with provisions. An entitlement may be assigned, sold or transferred by the entitlement holder only by following the provisions of this section. Any purported assignment, sale, or transfer of an entitlement that does not follow the provisions of this section is void and ineffective against the affiliated PGC.

(2) Eligible entities. An entitlement holder may assign, sell, or transfer an entitlement to any person or entity other than an affiliated REP, but the entitlement holder may dispatch the output of the entitlement to an affiliated REP.

(3) Obligations. An entitlement that is assigned, sold, or transferred under this section remains subject to the provisions of the Agreement under which it originated, and the assignee of that entitlement succeeds to all of the rights and obligations of the assignor with respect to that entitlement.

(4) Liability. Neither the assignor nor any previous entitlement holder that has remained liable for payments due to the affiliated PGC in connection with the entitlement as a result of a previous assignment, sale, or transfer is released from liability to the affiliated PGC for payments due in connection with the entitlement unless:

(A) At least 14 days before the effective date of the assignment, sale, or transfer, assignee has provided security to the affiliated PGC that is equal to or greater than the security originally given to the affiliated PGC for the entitlement; and

(B) At least ten days before the effective date of the assignment, sale, or transfer, the affiliated PGC has notified both assignor and assignee in writing that the security has been approved and accepted by the affiliated PGC.

(5) Requests to approve security. The affiliated PGC shall respond to written requests to approve security to be offered by a prospective assignee within 14 days after receipt of that request. Approval shall not be unreasonably withheld.

(6) Effective date. No assignment, transfer, or sale of the entitlement by a party is binding on the non-assigning party until the non-assigning party receives written notice of the assignment, sale, or transfer and a copy of the executed assignment, sale, or transfer document, and the assignment, sale, or transfer is not effective unless such notice is received at least three days before the beginning of the entitlement month.

(j) True-up process.

(1) Process. For 2002 and 2003, the affiliated PGC shall reconcile, and either credit or bill to the transmission and distribution utility, any difference between the price of power obtained through the capacity auctions under this section and the power cost projections that were employed for the same time period in the ECOM model to estimate stranded costs for the affiliated PGC in the PURA §39.201 proceeding.

(2) PGCs without stranded costs. An affiliated PGC that does not have stranded costs described by PURA §39.254 is not required to comply with paragraph (1) of this subsection.

(3) Any order by the commission that finally resolves an affiliated PGC's stranded costs, prior to true-up, supersedes this subsection.

(k) True-up process for electric utilities with divestiture. If an affiliated PGC meets its capacity auction requirements through a divestiture as allowed by subsection (d) of this section, the proceeds of the divestiture shall be used for purposes of the true-up calculation.

(l) Modification of auction procedures or products. Upon a finding by the commission that the auction procedures or products require modification to better value the products or to better suit the needs of the competitive market, the commission may, by order, modify the procedures or products detailed in this section.

(m) Contract terms.

(1) Standard agreement. Parties shall utilize the Agreement in the form prepared by the Edison Electric Institute (Version 2.1). The Cover Sheet to the Agreement shall provide for credit terms that are based upon objective credit standards determined by the commission. There may be different versions of the Agreement applicable to sales of capacity auction products in different regions in Texas. For example, ERCOT and the non-ERCOT areas may have different versions of the Agreement.

(2) Applicability. The terms and conditions set forth in any Agreement apply only to the entitlements obtained in the capacity auctions under this section.

(3) Electronic scheduling. The Agreement shall require that, if the affiliated PGC provides an electronic scheduling interface for the dispatch of entitlements, then the entitlement holder shall schedule the dispatch of its entitlements using that electronic interface.

(4) Scheduling discrepancies. If an entitlement holder submits a non-conforming schedule to the affiliated PGC for an entitlement that violates any of the scheduling requirements for that capacity auction product type for a scheduled hour, then the schedule for that hour is deemed to be the same as the schedule for the hour most closely preceding that scheduled hour that was not a non- conforming schedule. The affiliated PGC shall promptly notify the entitlement holder of a non-conforming schedule. However, the requirements of this paragraph are subject to the default scheduling requirements for baseload and gas- intermediate products delineated in subsections (f)(3)(A)(iv)(V) and (f)(4)(A)(v) of this section for ERCOT areas, and subsections (g)(2)(E)(v) and (g)(3)(E)(v) of this section for non-ERCOT areas.

(5) Alternative dispute resolution. Alternative dispute resolution shall be a condition precedent to any right of any legal action regarding a dispute arising under, or in connection with, the standard agreement adopted by the commission. The parties may mutually agree to dispute resolution procedures. If the parties are unable to agree upon such procedures within five days after such dispute arises, the parties shall use the alternative dispute resolution procedures contained in the ERCOT protocols.

(6) Seller's failure to fulfill obligation. If an entitlement holder is assessed for imbalanced schedules, failure to procure ancillary services, or any other charges from ERCOT due to the failure of the affiliated PGC to fulfill the auctioned obligation, the affiliated PGC shall be responsible for these costs incurred by the entitlement holder.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on July 11, 2003.

TRD-200304182

Rhonda G. Dempsey

Rules Coordinator

Public Utility Commission of Texas

Effective date: July 31, 2003

Proposal publication date: June 6, 2003

For further information, please call: (512) 936-7308