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Ohio Laws and Rules
(A) Notice of intent
(1) Consistent with the requirements of paragraph (A) of chapter I of appendix A to rule 4901-7-01 of the Administrative Code, the applicant shall notify the public utilities commission in writing of its intent to file an application at least thirty calendar days prior to the expected date of filing. In addition to notifying the public utilities commission and the mayor and legislative authority of each municipality included in such application(if applicable), the applicant shall also notify, in writing, the office of the consumers' counsel, each party to the applicant's last general rate case, exemption case and/or alternative rate case, and any party not otherwise represented who requests from the applicant to be notified.
(2) Natural gas companies filing an alternative rate case are required to file PFN exhibit 1 and PFN exhibit 2 (if applicable) as detailed in appendix A to rule 4901-7-01 of the Administrative Code, the proposed rates, a brief summary of the applicant's proposed alternative rate plan, a typical bill comparison, and any waiver requests. If the proposed rates cannot be specified, the notice shall provide an explanation of the methodology proposed for changing rates during the term of the plan and an illustration of the effect on rates given various levels of any indices proposed to be used to set rates. Applicants filing a natural gas alternative rate case will not be required to file PFN exhibit 3 detailed in appendix A to rule 4901-7-01 of the Administrative Code.
(B) Form of an application
(1) An application shall be made in a form substantially similar to the form contained in the appendix of this rule.
(2) An applicant shall file with the commission the original and ten copies of its application.
(3) An applicant shall provide one copy of its plan to the office of the consumers' counsel and mail a copy to each party of record in its previous alternative rate plan and/or exemption case and/or rate case proceeding as applicable. An applicant shall have available one copy of its plan in each principal business office for public inspection.
(4) An application shall be designated by the commission's docketing division using the acronym ALT.
(C) Exhibits to an alternative rate plan application
(1) Pursuant to section 4929.05 of the Revised Code, to determine just and reasonable rates under section 4909.15 of the Revised Code applicants shall submit the exhibits described in divisions (A) to (E) of section 4909.18 of the Revised Code, and standard filing requirements pursuant to rule 4901-7-01 of the Administrative Code,(SFRs), when filing an alternative rate case unless otherwise waived by rule 4901:1-19-03 of the Administrative Code.
The applicant may use up to nine months of forecasted data for its unadjusted test year operating income statement. However, the forecasted data shall use the corporate budget which has been approved by the highest level of officers of the applicant and is utilized to manage and operate the applicant on a day-to-day basis. Adjustments the applicant believes are necessary to make the corporate budget more appropriate for ratemaking purposes are to be presented on schedule C-3 of its filing requirements. Failure to use the corporate budget as the basis of the forecasted portion of the test year may result in the commission finding that the application is deficient. The applicant may request to file a two month update to provide actual financial data and significant changes in budgeted data (to be fully documented). Such a request shall be filed no later than the filing of the application.
(2) In addition to the requirements of appendix A to rule 4901-7-01 of the Administrative Code, the applicant shall provide the following information. This additional information shall be considered to be part of the standard filing requirements for a natural gas company filing an alternative rate plan. The applicant shall have the burden of proof to document, justify, and support its plan.
(a) The applicant shall provide a detailed alternative rate plan, which states the facts and grounds upon which the application is based, and which sets forth the plan's elements, transition plans, and other matters as required by these rules. This exhibit shall also state and support the rationale for the initial proposed tariff changes for all impacted natural gas services.
(b) The applicant shall fully justify any proposal to deviate from traditional rate of return regulation. Such justification shall include the applicant's rationale for its proposed alternative rate plan, including how it better matches actual experience or performance of the company in terms of costs and quality of service to its regulated customers.
(c) If the alternative rate plan proposes a severing of costs and rates, the applicant shall compare how its proposed alternative rate plan would have impacted actual performance measures (operating and financial) during the most recent five calendar years. Include comparisons of the results during the previous five years if the alternative rate plan had been in effect with the rate or provision that otherwise was in effect.
(d) If the applicant has been authorized to exempt any services, the applicant shall provide a listing of the services which have been exempted, the case number authorizing such exemption, a copy of the approved separation plan(s), and a copy of the approved code(s) of conduct.
(e) The applicant shall provide a complete matrix showing the following: each rate, service, or regulation that is included in the plan and an explanation of how it may be affected during the term of the plan.
(f) The applicant shall provide a detailed discussion of how potential issues concerning cross-subsidization of services have been addressed in the plan.
(g) The applicant shall provide a detailed discussion of how the applicant is in compliance with section 4905.35 of the Revised Code, and is in substantial compliance with the policies of the state of Ohio specified in section 4929.02 of the Revised Code. In addition, the applicant shall also provide a detailed discussion of how it expects to continue to be in substantial compliance with the policies of the state specified in section 4929.02 of the Revised Code, after implementation of the alternative rate plan.
(h) The applicant shall provide the projected financial data required in section F of chapter II of appendix A to rule 4901-7-01 of the Administrative Code, through the term of the proposed plan and which reflects the effects of the proposed plan including the effects of any and all assumptions regarding changes in proposed indices.
(i) The applicant shall also provide projected financial data through the term of the proposed plan under the assumption that the proposed plan is not adopted. This additional set of information shall be labeled as section G.
(j) The applicant shall submit a list of witnesses sponsoring each of the exhibits in its application.
(3) To the extent the applicant is seeking alternative forms of rate setting than that found in section 4909.15 of the Revised Code, the applicant should detail those commitments to customers it is willing to make to promote the policy of the state specified in section 4929.02 of the Revised Code. The extent of commitments specified should be dependent upon the degree of freedom from section 4909.15 of the Revised Code requested by the applicant.
Appendix
Before the Public Utilities Commission of Ohio
In the Matter of the Application of )____________________________(1) ) for Approval of an Alternative Form of ) Regulation and for a Change in its ) Rates and Charges. )
Case No. - GA-ALT
APPLICATION
____________________ (2), the applicant in this proceeding, is a natural gas company providing service to __________ (3) customers in the state of Ohio, of which approximately __________ (4) are expected to be affected by this application.
Applicant submits this application pursuant to section 4929.05 of the Revised Code, for approval of an alternative form of regulation. Exhibits __________ through __________ are attached to this application and are incorporated herein.
The applicant requests the commission to consider the facts and proposals set forth in this application, to approve the requested rate changes, and to approve the applicant's alternative rate plan.
Respectfully Submitted,
_________________________________(5)
President or Vice President
_________________________________
Secretary or Treasurer
Company Official to be Contacted ____________________ Regarding the Application
Mailing Address ____________________
____________________
Telephone Number (___)_______________
Attorney for Applicant ____________________
Approved Test Year ____________________
Approved Date Certain ____________________
VERIFICATION
STATE OF OHIO
COUNTY OF__________
I, _____________________________, President/Vice President and I, ___________________, Secretary/Treasurer of ____________________________ hereby verify that the information (Exact company name) contained in this application is true and correct to the best of our knowledge.
___________________________
President/Vice President
___________________________
Secretary/Treasurer
Sworn and subscribed before me this __________ day of________, _______.
___________________________
Notary Public
My term expires:
(SEAL)
INSTRUCTIONS
(1) Place the total number of customers served by the applicant within Ohio in blank three and the approximate number of customers proposed to be affected by this application in blank four.
(2) The president or vice president, and the secretary or treasurer of the applicant shall sign the application form at blank five and provide the name, address, and telephone number of the person to be contacted regarding questions concerning the application. The verification on page two of the appendix to this rule shall also be completed.
Effective: 11/10/2006
R.C.
119.032 review dates: 08/22/2006
and 09/30/2011
Promulgated Under:
111.15
Statutory
Authority:
4929.10
Rule
Amplifies:
4929.05
Prior
Effective Dates: 3/24/97