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This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and universities.

Chapter 4901:1-26 | Dispute Resolution

 
 
 
Rule
Rule 4901:1-26-01 | Purpose and scope.
 

The alternative dispute resolution procedures in this chapter are available for pending formal complaints between nonmercantile, nonresidential customers, on the one hand, and electric utilities, electric service companies, electric cooperatives, or governmental aggregators, on the other hand. The purpose of this chapter is to facilitate efficient resolution of pending formal complaints between nonmercantile, nonresidential customers, on the one hand, and electric utilities, electric service companies, electric cooperatives, or governmental aggregators, on the other hand. This chapter is not intended to alter or diminish the commission's (or its staff's) authority to conduct investigations and to take remedial action when deemed necessary. This chapter is not intended to alter or diminish the commission's (or its staff's) dispute resolution procedures for informal disputes.

Supplemental Information

Authorized By:
Amplifies:
Five Year Review Date:
Rule 4901:1-26-02 | Definitions.
 

(A) "Mediation" is a voluntary, alternative dispute resolution process available to resolve formal complaints pending at the commission that are between nonmercantile, nonresidential customers, on the one hand, and electric utilities, electric service companies, electric cooperatives, or governmental aggregators, on the other hand. Under this mediation process, a neutral third party, who is independent of the parties, assists the parties in reaching their own settlement. The mediator does not have the power to impose a resolution. The role of the mediator and the goal of the process are to help the parties achieve their own resolution.

(B) "Arbitration" is a voluntary, alternative dispute resolution process available to resolve formal complaints pending at the commission that are between nonmercantile, nonresidential customers, on the one hand, and electric utilities, electric service companies, electric cooperatives, or governmental aggregators, on the other hand. Under this arbitration process, the parties present evidence and legal arguments to a neutral third party, called an arbitrator or an arbitration panel, who renders a decision.

(C) "Commission" means the public utilities commission of Ohio.

(D) "Certified arbitration process" means a commercial arbitration process, the use of which has been approved by the commission pursuant to paragraphs (B) and (J) of rule 4901:1-26-04 of the Administrative Code for resolving disputes arising under formal complaints filed with the commission.

Last updated June 12, 2023 at 11:59 AM

Supplemental Information

Authorized By: R.C. 4928.06
Amplifies: R.C. 4928.16
Five Year Review Date: 7/10/2024
Rule 4901:1-26-03 | Mediation.
 

(A) Any party to a pending formal complaint may ask the commission to mediate that matter by notifying the chief of the electric section of the commissions legal department in writing and serving a copy of the mediation request on the other party in the case.

(B) The other party to the pending formal complaint may provide a response within seven business days of service of the request for mediation. Any such response should also be served simultaneously upon the party requesting the mediation.

(C) The commission will appoint a mediator, who is independent of the parties, to conduct the mediation. The mediator may be commission personnel. The mediator will promptly contact the parties in the case and establish a time to commence mediation. The mediator will work with the parties to establish an appropriate schedule and procedure for the mediation. The mediator may receive technical assistance from commission staff.

(D) The mediator's function is to impartially encourage voluntary settlement by the parties. The mediator may schedule meetings of the parties, direct the parties to prepare for those meetings, hold private caucuses with each party, request that the parties share information, attempt to achieve a mediated resolution, and, if successful, assist the parties in preparing a written agreement.

(E) Parties submitting to mediation under this rule agree to participate, in good faith, in the mediation process for a minimum of thirty calendar days after initiation of the mediation process by the mediator and for a maximum of forty-five calendar days, unless the mediator extends that time frame.

(F) Mediations conducted under this rule are subject to Ohio confidentiality statutes (e.g., Chapter 2710. of the Revised Code).

(G) A member of the commission or a commission employee who serves as mediator, by virtue of having served in such capacity, cannot serve in a decision-making role or as a witness on matters subject to mediation in a formal commission case involving the same parties and the same issues.

Last updated June 12, 2023 at 11:59 AM

Supplemental Information

Authorized By: R.C. 4928.06
Amplifies: R.C. 4928.16
Five Year Review Date: 7/10/2024
Prior Effective Dates: 9/18/2000
Rule 4901:1-26-04 | Arbitration.
 

(A) If all parties to the pending formal complaint agree that the dispute (or a portion thereof) should be resolved through arbitration, the parties may jointly file a request with the commission to stay the proceeding pending the arbitration, outlining with sufficient specificity the issues for which arbitration is being sought. In the joint request, the parties may seek to have the commission assign its personnel to be the arbitrator or the parties may request that the issues to be arbitrated be assigned to a commission-approved, certified arbitration process approved pursuant to paragraph (G) of this rule.

(B) If commission personnel is not the arbitrator, the parties will notify the commission once they have engaged the arbitrator.

(C) Any arbitration award will be made in writing and served upon the parties by the arbitrator.

(D) Arbitrations conducted under this rule are subject to Ohio confidentiality statutes (e.g., Chapter 2710. of the Revised Code). By electing arbitration under this rule, no appeals of any intermediary rulings made by the arbitrator are permitted.

(E) If the parties accept the arbitration award, a copy of the arbitration award need not be filed with the commission. The parties' joint motion to dismiss the complaint (or involved portion thereof) should be filed within thirty calendar days of the issuance of the arbitration award, in light of their acceptance of the award.

(F) When commission personnel acts as the arbitrator, the parties will be bound by the arbitration award, except as described in this provision. Within thirty calendar days of the issuance of an arbitration award, any party to the arbitration may seek commission review of the arbitration award, but such review will be limited to ascertaining the existence of any grounds identified in Chapter 2711. of the Revised Code, such as fraud, corruption, misconduct, impropriety, or mistake by the arbitrator. The commission may impose a briefing schedule or other procedure, where appropriate. Upon consideration of the review request, the commission may confirm, vacate, modify or enforce the arbitration award. If the commission vacates the arbitration award (in whole or in part), the commission will specify whether the matter should be remanded to the same arbitrator. Any commission decision to confirm, vacate, modify or enforce the arbitration award under this provision is subject to rehearing pursuant to section 4903.10 of the Revised Code, and any final commission decision is subject to appeal pursuant to section 4903.13 of the Revised Code.

(G) Electric utilities, electric service companies, electric cooperatives, and governmental aggregators may file an application with the commission seeking certification to use a proposed commercial arbitration process for any class of formal complaints or for all potential formal complaints. The commission staff will review such an application seeking certification to use a commercial arbitration process and recommend to the commission whether the application should be approved. The commission may approve such an application if the commission is satisfied that the commercial arbitration process is fair, cost-effective, and does not result in prejudice against any potential future parties. By approving an application pursuant to this provision, the commission retains the right to evaluate, in each individual formal complaint proceeding, whether to grant a request to stay the formal complaint proceeding pending arbitration.

Last updated June 12, 2023 at 11:59 AM

Supplemental Information

Authorized By: R.C. 4928.06
Amplifies: R.C. 4928.16
Five Year Review Date: 7/10/2024
Prior Effective Dates: 9/18/2000