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Decision No. 1/4 of the Board of the Public Utilities Commission

Adopted 16 February 2017

Regulations Regarding Certification of a Combined Natural Gas Transmission and Storage System Operator and Natural Gas Transmission System Operator

Issued pursuant to
Section 114, Paragraph four of the Energy Law and Section 25,
Paragraph one of the law On Regulators of Public Utilities

I. General Provision

1. This Regulation prescribes:

1.1. what documents and information shall be submitted by a natural gas transmission and storage system operator and natural gas transmission system operator (hereinafter - the system operator) to the Public Utilities Commission (hereinafter - the Regulator) in order to demonstrate the compliance of the system operator with the certification requirements laid down in Section 114, Paragraphs two and three of the Energy Law;

1.2. the procedures by which the system operator shall submit information to the Regulator regarding the circumstances which could affect the compliance of the system operator with the certification requirements;

1.3. the procedures by which the Regulator shall evaluate the circumstances and impact of the planned transactions of the system operator on the compliance of the system operator with the certification requirements and shall provide the opinion thereon.

II. Certification and Evaluation of Independence of the System Operator

2. To demonstrate the compliance of the system operator with the requirements specified in Section 114, Paragraph two, Clause 1 of the Energy Law, the system operator shall submit the following documents and information:

2.1. an attestation that the shareholder (stockholder) of the system operator, including the actual beneficiary, is not a direct or indirect shareholder (stockholder) or the actual beneficiary of an energy supply merchant which is engaged in production or trade of the natural gas or electricity. The attestation shall be appended by the register of the shareholders (stockholders) of the system operator, information regarding those merchants in which the shareholder (stockholder) of the system operator is a direct or indirect shareholder (stockholder), and other documents which provide true and clear view regarding the owners of the system operator, actual beneficiaries and the structure of market participants;

2.2. an attestation that the person who appoints council or board members of the system operator, or members of institutions which have the right to represent the system operator, natural gas transmission system or Inčukalns underground gas storage facility may not directly or indirectly appoint council or board members of energy supply merchant which is engaged in production or trade of the natural gas or electricity, or members of institutions which have the right to represent such merchant. The attestation shall be appended by the documents that determine the rights and obligations of the person who appoints council or board members of the system operator, or members of institutions which have the right to represent the system operator, natural gas transmission system or Inčukalns underground gas storage facility, and also the documents confirming that the abovementioned persons are not entitled to appoint members of administrative bodies in the energy supply merchant which is engaged in production or trade of the natural gas or electricity;

2.3. articles of association of the system operator and employment contracts of council and board members or other civil agreements on the basis of which council and board members are employed in the system operator and which attest that the same person cannot simultaneously occupy a position of a council or board member of the system operator in the energy supply merchant which is engaged in production or trade of the natural gas or electricity;

2.4. an attestation that the same person or persons who directly or indirectly control the system operator, natural gas transmission system or Inčukalns underground gas storage facility do not directly or indirectly control the energy supply merchant which is engaged in production or trade of the natural gas or electricity, and do not use any rights in such a merchant. This attestation shall be appended by the documents (for example, contracts) which substantiate that the same person or persons who directly or indirectly control the system operator, natural gas transmission system or Inčukalns underground gas storage facility do not have the rights to use the assets or part thereof of the energy supply merchant which is engaged in production or trade of the natural gas or electricity, and also the documents that substantiate that such a person or persons do not have a decisive influence in relation to the composition of the administrative body of the energy supply merchant which is engaged in production or trade of the natural gas or electricity, voting or decisions that, either separately or in combination and having regard to the considerations of fact or law involved, confer the possibility of exercising decisive influence on such energy supply merchant;

2.5. an attestation that the system operator, natural gas transmission system or Inčukalns underground gas storage facility is not controlled by the State administration authority that controls the energy supply merchant which is engaged in production or trade of the natural gas or electricity if the person referred to in Paragraph 2.1, 2.2, 2.3, or 2.4 of this Regulation is the Republic of Latvia;

2.6. information regarding the personnel (the number of employees and their qualification) and technical resources at the disposal of the system operator in order to perform each relevant duty of the system operator specified in the Energy Law. If the system operator uses outsourcing to perform any duty of the system operator specified in the Energy Law, the system operator shall attach a list of outsourced services to the information specified in this Paragraph indicating the service provider and substantiating the selection of the service provider;

2.7. the documents attesting that the system operator owns the assets necessary for performing the transmission, including the transmission system, and that the combined natural gas transmission and storage system operator owns Inčukalns underground gas storage facility or part thereof, or it has been transferred to it for use during the term of the relevant licence;

2.8. an attestation that in accordance with Section 15, Paragraph four of the Energy Law the system operator ensures the confidentiality of such commercial information which it has received from the system participants and market participants while carrying out its duties. The attestation shall be appended by a description of activities performed by the system operator to ensure the confidentiality of commercial information, and also a document (for example, instruction) describing the rights and duties of the employees responsible for handling commercial information. If the system operator uses information technologies (also purchases the information technologies services), the system operator shall append to the application for certification of the system operator an opinion of an independent certified auditor of information technologies (systems) that the information technologies ensure confidentiality of the commercial information which the system operator has acquired while performing its duties. By submitting a report on the compliance of the system operator with the certification requirements in the previous calendar year, an opinion of an independent certified auditor of information technologies (systems) must be appended if a relevant request of the Regulator has been received three months before the term laid down in Paragraph 6 of this Regulation;

2.9. an attestation that the system operator ensures fair and equal treatment towards the system users and market participants under equivalent actual and legal conditions. The attestation shall be appended by the description of activities performed by the system operator to ensure equal treatment towards the system participants and market participants, and also such sample contracts which are concluded with the system participants and market participants, if such sample contracts are not included in the laws and regulations;

2.10. an attestation that the energy supply merchant which is engaged in production or trade of the natural gas or electricity has no possibilities to influence the operation of the system operator, if the system operator uses services (for example, premises etc.) jointly with such a merchant. The attestation shall be appended by a description where the measures taken in order to prevent influence of the energy supply merchant which is engaged in production or trade of the natural gas or electricity on the independence of the system operator are included, and the documents confirming non-existence of any conflicts of interests (for example, the documents which confirm that services are received from the energy supply merchant on the basis of market conditions).

3. For the system operator to conform to the requirement to ensure the confidentiality of such commercial information specified in Section 15, Paragraph four of the Energy Law which it has received while carrying out its duties, the system operator shall independently provide at least the following services or ensure that at least the following services are not purchased from the merchants performing activities of production or trade of the natural gas or electricity and the related merchants thereof:

3.1. business planning and analysis service;

3.2. risk management and insurance service;

3.3. legal support service;

3.4. service of regulatory issues co-ordination;

3.5. service of provision and management of financial resources.

4. To demonstrate the compliance of the system operator with the requirements specified in Section 114, Paragraph two, Clause 2 of the Energy Law, the system operator shall submit the information:

4.1. regarding the fulfilment of duties specified in Article 4, Article 12(1) and (2), Article 14, Article 15(1), (2) and (3), Articles 16, 17, 18, 19, 20, Article 21(1), (2) and (3), and Article 22 of Regulation (EC) No 715/2009 of the European Parliament and of the Council on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005, and also Annex 1 to Regulation;

4.2. regarding the fulfilment of duties specified in Articles 3, 4, 8, Article 9(1), Article 15 of Regulation (EC) No 1227/2011 of the European Parliament and of the Council on wholesale energy market integrity and transparency;

4.3. regarding the compliance with the provisions of safeguarding the security of gas supply specified in Regulation (EC) No 994/2010 of the European Parliament and of the Council concerning measures to safeguard security of gas supply and repealing Council Directive 2004/67/EC.

5. If the application for certification is submitted by the system operator controlled by a person or persons from the third country or the third countries, then in addition to the provisions of Paragraphs 2, 3, and 4 of this Regulation the system operator shall attest that the certification of the relevant system operator shall not endanger the security of energy supply of European Union Member States. The abovementioned attestation shall be appended by the employment contracts, job descriptions and other documents of the person or persons from the third country or third countries on the basis of which the abovementioned persons are operating in the system operator, and also justified and detailed explanation on the circumstances on account of which the rights and duties of the abovementioned persons or persons in the system operator may not influence the security of energy supply of European Union Member States.

III. Reports of the System Operator

6. The system operator shall, each year by April 1, submit a written report to the Regulator on the compliance of the system operator with the certification requirements in the previous calendar year. The report shall be appended by such documents and information referred to in Paragraphs 2, 3, 4, and 5 of this Regulation which have changed from the moment of submitting of the last report and which are not at the disposal of the Regulator. The system operator shall indicate in the report which information and documents are not appended and when they have been submitted to the Regulator.

7. Within 5 days from submitting the report laid down in Paragraph 6 of this Regulation to the Regulator, the system operator shall publish it on the website thereof.

8. The system operator shall, immediately but not later than within 10 days from the day the system operator has become aware of that, inform the Regulator:

8.1. regarding any circumstances on account of which a person or persons from the third country or third countries may acquire control over the natural gas transmission system or the system operator;

8.2. regarding any planned transactions which may require a reassessment of compliance of the system operator with the certification requirements.

9. If the documents and information submitted by the system operator are insufficient or inaccurate, the Regulator may request additional information.

10. Upon receiving the information specified in Paragraph 6 or 8 of this Regulation, the Regulator shall evaluate it within a time period and in accordance with the procedures specified in the Administrative Procedure Law and shall provide an opinion on the impact of circumstances and planned transactions on the compliance of the system operator with the certification and independence requirements.

IV. Closing Provisions

11. When submitting the first application for certification of the system operator, the combined natural gas transmission and storage system operator shall submit a description regarding the process of unbundling of the natural gas transmission and storage system operator from the vertically integrated energy supply merchant in addition to the information specified in Sub-paragraph 2.8 of this Regulation. The description shall be appended by the information on how, in conformity with Section 111, Paragraph three, Clause 6 of the Energy Law, it was ensured that the commercial information which the natural gas transmission and storage system operator has obtained while operating as a part of a vertically integrated natural gas merchant had not been transferred in the result of separation to such natural gas supply merchant which is engaged in production or trade of natural gas.

12. This Regulation shall come into force on 1 January 2018.

Informative Reference to the European Union Directives

This Regulation contains legal norms arising from Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in electricity and repealing Directive 2003/55/EC.

Chairperson of the Board of the Public Utilities Commission R. Irklis

 


Translation © 2017 Valsts valodas centrs (State Language Centre)

 
Document information
Status:
In force
in force
Issuer: Public Utilities Commission Type: decision Document number: 1/4Adoption: 16.02.2017.Entry into force: 01.01.2018.Publication: Latvijas Vēstnesis, 39, 21.02.2017. OP number: 2017/39.4
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