4901:1-27-04 Application process.

(A) An application for certification or certification renewal shall be made on forms authorized by the commission. The application forms shall provide for sufficient information to enable the commission to assess an applicant's managerial, financial, and technical capability to provide the service it intends to offer, its ability to provide reasonable financial assurances sufficient to protect regulated sales service customers and natural gas companies from default, and its ability to comply with commission rules or orders.

(B) The applicant shall complete the appropriate application form (e.g., retail natural gas marketer, retail gas aggregator/broker, or governmental aggregator) in its entirety and supply all required attachments, affidavits, and evidence of capability specified by the form at the time an application is filed.

(1) Retail natural gas marketers shall file general, technical, managerial, and financial information as set forth in the application. This information includes, but is not limited to:

(a) Ownership and organizational descriptions.

(b) Managerial experience and capabilities and prior regulatory or judicial actions.

(c) Balance sheets, credit ratings, and other relevant financial information.

(d) Technical ability and experience in nominating, scheduling, and providing natural gas to retail customers.

(e) Proof of an Ohio office and an employee in this state in accordance with division (G) of section 4929.22 of the Revised Code.

(f) Statements as to whether the applicant has ever been terminated from any choice program; if applicant's certification has ever been revoked or suspended; or if applicant has ever been in default for failure to deliver.

(2) Retail natural gas aggregators/retail natural gas brokers shall file general, technical, managerial, and financial information as set forth in the application. This information includes, but is not limited to:

(a) Ownership and organizational descriptions.

(b) Balance sheets, credit ratings, and other relevant financial information.

(c) Managerial, technical ability, and experience in providing aggregation services, financial capability as depicted on publicly available information, and applicable credit ratings.

(d) Proof of an Ohio office and an employee in this state in accordance with division (G) of section 4929.22 of the Revised Code.

(3) Governmental aggregators shall file general information as set forth in the application. This information includes, but is not limited to:

(a) Copies of its operational plans.

(b) Descriptions of experience.

(C) An applicant for certification or certification renewal shall file a completed and notarized original application signed by a principal officer of the applicant and ten conformed copies, including all supporting attachments and affidavits, with the commission's docketing division.

(1) The date that the commission's docketing division stamps an application received shall serve as the official filing date with the commission.

(2) In accordance with rule 4901:1-27-06 of the Administrative Code, the commission may deny without prejudice any application that is not complete or does not include the attachments, documentation, and affidavits required by the application form.

(3) In accordance with this chapter, in instances where information and/or documentation required by these rules is not available at the time of filing an application, an applicant may substitute a notarized affidavit by an officer of the applicant stating that the applicant will file such information and/or documentation with the commission at least ten business days prior to offering or providing competitive retail natural gas service to a customer in this state. The affidavit shall be accompanied by an explanation as to why such information is not available for inclusion with the application.

Effective: 04/13/2007
R.C. 119.032 review dates: 01/24/2007 and 11/30/2011
Promulgated Under: 111.15
Statutory Authority: 4929.20
Rule Amplifies: 4929.20 , 4929.22
Prior Effective Dates: 7/4/02