STANDARDS OF CONDUCT

 

These standards of conduct apply to Southwest Power Pool (SPP) employees. The use of the term "third party" here means any entity other than SPP and any representative, agent, or employee of that third party that is or may be a transmission customer under the tariff for the SPP region ("SPP Transmission Tariff" or "Tariff") or that is involved in wholesale and retail sales. "SPP employees" as used here means current employees of SPP.

 

I. No Involvement in Marketing

 

1.1 No SPP employee shall have any involvement in the sale of electric energy at wholesale or retail except for any sales of ancillary services relating to transmission service provided under any SPP Transmission Tariff.

 
  1. Confidentiality of Eligible Customer Information

    2.  

    1. SPP employees shall treat all information supplied by an entity seeking transmission service under the Tariff or supplied in connection with SPP coordination center operations as confidential unless the information is required to be put on the SPP OASIS. In that case the only form of disclosure by the SPP shall be through the SPP OASIS.

      2.  

    2. No SPP employee shall disclose to any third party information received from another party under the Tariff unless that information is required to be put on the SPP OASIS. In that case, the only form of disclosure by SPP shall be through the SPP OASIS.

      3.  

    3. Not withstanding the restrictions in Sections 2.1 and 2.2, SPP employees may share Eligible Customer Information with third parties where required to satisfy NERC Operating Standards and Policies. A confidentiality statement must be executed by the Third Party before any such information is disclosed.

     

  2. Disclosure of Transmission System Information

    3.  

    1. SPP employees shall not give preferential access to transmission system information or any other information to any third party.

      2.  

      STANDARDS OF CONDUCT (CONT.)

       

    2. SPP employess shall be prohibited from providing information to any entity engaged in wholesale or retail sales of electric energy or employee, representative or agent of any such entity regarding the transmission systems covered by the SPP transmission tariff unless that information is (i) posted on the OASIS, (ii) otherwise available to the general public without restriction, or (iii) is the type of information disclosed to any third party on a non-preferential basis.

      3.  

    3. Any disclosures of transmission system information not in compliance with Sections 3.1 and 3.2 shall be posted immediately on the SPP OASIS.

     

    3.4 If disclosure of transmission system information to third parties is required by NERC Operating Standards and Policies, SPP employees may disclose that information. However, SPP employees must post that information immediately on the SPP OASIS.

     

  3. Access to Facilities

    4.  

    1. No employee, agent, or contractor of any entity engaged in wholesale or retail sales of electric energy shall have access to the SPP coordination center except for educational tours approved by the SPP President where notification of such tours was posted on the OASIS and employees of other entities are given the right to participate in the tour.

     

  4. Implementation of the SPP Transmission Tariff

    5.  

    1. SPP employees shall strictly enforce all provisions in the SPP Transmission Tariff when the provisions do not provide for the use of discretion.

      2.  

    2. Where a SPP Transmission Tariff provision allows for the exercise of discretion, SPP employees shall exercise that discretion in a fair and impartial manner that treats all customers in a nondiscriminatory manner.

     

  5. Recordkeeping

    6.  

    1. SPP shall maintain records showing the transactions under the SPP Transmission Tariff for a period of three years. Those records will be available for Commission inspection.

      2.  

      STANDARDS OF CONDUCT (CONT.)

       

    2. When SPP exercises discretion in implementing the SPP Transmission Tariff, SPP shall maintain a log, subject to Commission audit, detailing the circumstances and manner in which this discretion was exercised. The information contained in this log is to be posted on the SPP OASIS.

     

  6. General Rules Governing SPP Employees

    7.  

    1. No SPP employee may be an employee, director, consultant or contractor to any transmission customer or transmission provider under the SPP Transmission Tariff. SPP employees providing services to an entity for which they are not paid except for a reimbursement of out-of-pocket expenses shall not be considered as a consultant or contractor of that entity.

      2.  

       

    2. No SPP employee may own securities issued by any transmission

customer or transmission provider under the SPP Transmission Tariff

except under the following circumstances:

 
      1. The SPP employee shall dispose of those securities within four months of the time the SPP employee is hired;

        2.  

      2. The SPP employee shall dispose of those securities within four months of the time a new transmission owner is added or a new customer begins taking service under the SPP Transmission Tariff, where the SPP employee owns securities of either the customer or the transmission provider;

        3.  

      3. If an SPP employee receives a gift or inheritance of those securities, he or she must dispose of such securities within four months of the date he or she receives the gift;

 

 

iv. If the securities are a part of a qualified plan, they shall be disposed of at the next distribution opportunity of that qualified plan.

 
    1. SPP shall not put themselves in a position in which their personal interest might conflict with SPP's ability to administer the SPP Transmission Tariff or to perform its other obligations on a fair and impartial basis.

      2. STANDARDS OF CONDUCT (CONT.)

       

      VII Implementation

       

    2. SPP employees shall not accept any form of gratuity involving cash.

      3.  

    3. SPP will inform and train SPP employees with regard to these standards of conduct.

      4.  

    4. SPP will distribute copies of these standards of conduct to each SPP employee and require that each employee execute the attached compliance statement.

      5.  

    5. SPP will monitor compliance with these standards of conduct. Any employee failing to comply with these standards may be subject to disciplinary action. Discipline may take the form of reprimand, suspension without pay, limitation in the scope of responsibilities, monetary fines, or termination.

 

 

Compliance Statement

 

 

I, ______________________________, have read SPP's Standards of Conduct and agree to comply with these standards.

 

 

 

_______________________________________

(Signature) (Date)

 

 

 

________________________________________

(Title)