Ohio Administrative Code
Title 4901:1 - Utilities
Chapter 4901:1-37 - Electric Utility and Affiliates
Section 4901:1-37-05 - Application
Universal Citation: OH Admin Code 4901:1-37-05
Current through all regulations passed and filed through September 16, 2024
(A) Any application for approval of a proposed corporate separation plan, filed with the commission pursuant to section 4928.17 of the Revised Code,should include a narrative describing how the plan ensures competitive equality, prevents unfair competitive advantage, prohibits the abuse of market power, and effectuates the policy of the state of Ohio embodied in section 4928.02 of the Revised Code.
(B) The proposed corporate separation plan will be treated as a stand alone document that, at a minimum, includes the following:
(1) Provisions that maintain structural
safeguards.
(2) Provisions that
maintain separate accounting.
(3) A
list of all current affiliates identifying each affiliate's product(s) and/or
service(s) that it provides.
(4) A
list identifying and describing the financial arrangements between the electric
utility and all affiliates.
(5) A
code of conduct policy that complies with this chapter and that
applies to all employees of the electric utility
and affiliates .
(6) A description of any joint advertising
and/or joint marketing activities between the electric utility and an affiliate
that the electric utility intends to utilize, including when and where the name
and logo of the electric utility will be utilized, and explain how such
activities will comply with this chapter.
(7) Provisions related to maintaining a cost
allocation manual (CAM).
(8) A
description and timeline of all planned education and training, throughout the
holding company structure, to ensure that electric utility and affiliate
employees know and can implement the policies and procedures of this rule. The
information will be maintained on the electric utilities'
public web site.
(9) A copy of a
policy statement to be signed by electric utility and affiliate employees who
have access to any nonpublic electric utility information, which indicates that
they are aware of, have read, and will follow all policies and procedures
regarding limitation on the use of nonpublic electric utility information. The
statement will include a provision stating that failure to observe these
limitations will result in appropriate disciplinary action.
(10) A description of the internal compliance
monitoring procedures and the methods for corrective action for compliance with
this chapter.
(11) A designation of
the electric utility's compliance officer who will be the contact for the
commission and staff on corporate separation matters. The compliance officer
shall certify that the approved corporation separation plan is up to date and
in compliance with the commission's rules and orders. The electric utility
shall notify the commission and the director of the rates and analysis
department (or their designee) of changes in the compliance officer.
(12) A detailed description outlining how the
electric utility and its affiliates will comply with this chapter. The format
will
identify the provision and then provide the description.
(13) A detailed listing of the electric
utility's electric services and the electric utility's transmission and
distribution affiliates' electric services.
(14) A complaint procedure to address issues
concerning compliance with this chapter, which, at a minimum, shall include the
following:
(a) All complaints, whether written
or verbal, are be referred to the compliance officer designated
by the electric utility to handle corporate separation matters or the
compliance officer's designee.
(b)
The complaint is acknowledged within five working days of its
receipt.
(c) A written statement of
the complaint is prepared and includes
the name of the complainant, a detailed factual report of the complaint, all
relevant dates, the entities involved, the employees involved, and the specific
claim.
(d) The results of the
preliminary investigation are provided to the complainant in writing within
thirty days after the complaint was received, including a description of any
course of action that was taken.
(e) The written statements of the complaints
and resulting investigations required by paragraphs (B)(14)(c) and (B)(14)(d)
of this rule shall be kept in the CAM, in accordance with rule
4901:1-37-08 of the
Administrative Code for a period of not less than three years.
(f) This complaint procedure
does not
in any way limit the rights of any person to file a formal complaint with the
commission.
(C) Each electric utility shall file its approved corporate separation plan in its tariff docket.
Disclaimer: These regulations may not be the most recent version. Ohio may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
