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Rule 4901:1-34-01 | Definitions.
As used in this chapter: (A) "Commission" means the public utilities commission of Ohio. (B) "Governmental aggregator" has the meaning set forth in division (K)(1) of section 4929.01 of the Revised Code. For purposes of this chapter, "governmental aggregator" specifically excludes a municipal corporation acting exclusively under Section 4 of Article XVIII, Ohio Constitution, as an aggregator for the provision of competitive retail natural gas service. (C) "Natural gas company" has the meaning set forth in division (G) of section 4929.01 of the Revised Code. (D) "Retail natural gas supplier" has the meaning set forth in division (N) of section 4929.01 of the Revised Code. (E) "Staff" means the staff of the public utilities commission of Ohio.
Last updated August 1, 2024 at 9:51 AM
Supplemental Information
Authorized By:
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Amplifies:
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Five Year Review Date:
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Rule 4901:1-34-02 | Purpose and scope.
Effective:
December 1, 2014
(A) The rules contained in this chapter prescribe procedures for the staff to administer and enforce the rules for the certification of retail natural gas service suppliers and governmental aggregators and the minimum requirements for competitive retail natural gas set forth in Chapters 4901:1-27 and 4901:1-29 of the Administrative Code, and commission orders issued thereunder. (B) This chapter also governs proceedings of the commission to: (1) Investigate and determine a natural gas company's, retail natural gas supplier's, or governmental aggregator's compliance with Chapters 4901:1-13, 4901:1-27, 4901:1-28, and 4901:1-29 of the Administrative Code, and commission orders issued thereunder. (2) Review settlement agreements and approve stipulations by the staff and the natural gas company, retail natural gas supplier, or governmental aggregator. (3) Issue and enforce compliance orders. (4) Assess forfeitures. (5) Direct the attorney general to seek enforcement of commission orders, including orders authorizing forfeitures, and appropriate remedies in court to protect the public safety, reliability, and customer service. (C) The commission may, upon an application or a motion filed by a party, waive any requirement of this chapter, other than a requirement mandated by statute, for good cause shown.
Last updated August 1, 2024 at 9:51 AM
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Rule 4901:1-34-03 | Staff notice of probable noncompliance, proposed corrective action, and proposed forfeiture.
Effective:
December 1, 2014
(A) After an inspection, investigation, or complaint, a staff notice of probable noncompliance may be issued. The staff notice of probable noncompliance may be issued with a proposed corrective action and/or a proposed forfeiture. (B) The staff may issue an amended notice of probable noncompliance, proposed corrective action, or proposed forfeiture at any time prior to the commencement of a compliance proceeding or other commission proceeding brought pursuant to rule 4901:1-34-06 of the Administrative Code, in order to modify or include additional probable noncompliances or violations, facts, proposed forfeitures, and proposed compliance orders. Once the commission initiates a compliance or other proceeding pursuant to rule 4901:1-34-06 of the Administrative Code, this rule does not prevent the staff during the course of such proceeding from seeking a finding of violations not listed in the staff notice or amended staff notice of probable noncompliance (or rescinding or refraining from seeking a finding of violations) or from seeking a corrective action or proposed forfeiture that varies from previous staff notices issued under this rule, provided that the staff's proposed findings and/or violations relate to the same incident, type of incident, investigation, or audit(s).
Last updated August 1, 2024 at 9:52 AM
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Rule 4901:1-34-04 | Service of staff notices of probable noncompliance, proposed corrective action, proposed forfeiture, and service of staff investigative reports.
(A) Staff notices of probable
noncompliance, proposed corrective actions, proposed forfeitures, and
amendments thereto under rule 4901:1-34-03 of the Administrative Code, and
investigative reports under rule 4901:1-34-06 of the Administrative Code, shall
be served on the natural gas company, retail natural gas supplier, or
governmental aggregator by certified United States mail, or hand delivery.
Certified mail service and service by hand delivery is effective upon receipt
by any employee, agent of, or person designated by the natural gas company,
retail natural gas supplier, or governmental aggregator. Unless otherwise
provided in this paragraph, service upon a natural gas company, retail natural
gas supplier, or governmental aggregator will be made at the address designated
as the service address in the company's most recent annual financial
report, in its certification application, or certification renewal
application. (B) Each natural gas company, retail
natural gas supplier, or governmental aggregator shall provide the commission
with the company's or provider's current service address. If the
service address has changed since the most recent annual report, certification
application or certification renewal application was submitted to the
commission, or the service address or business address has not been disclosed
to the commission, service will be made at any business address known to the
commission. (C) If the certified mail envelope is
returned with an endorsement showing failure of delivery, then service may be
made by ordinary United States mail and is effective on the date of
mailing.
Last updated July 15, 2024 at 9:28 AM
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Rule 4901:1-34-05 | Stipulations.
(A) If staff and the natural gas company,
retail natural gas supplier, or governmental aggregator reach agreement
regarding any of the following, the agreement must be reduced to writing: the
violation of a rule within this chapter, and/or Chapter 4901:1-13, 4901:1-27,
4901:1-28, or 4901:1-29 of the Administrative Code; the violation of any
provision of Chapter 4929. of the Revised Code, the violation of a commission
order; a proposed corrective action or remedy; or the amount of a forfeiture or
other payment. Such stipulation shall be signed by an officer of the company or
its attorney and the assistant attorney general who serves as legal counsel for
the staff. Except as otherwise provided in paragraph (B) of this rule, the
stipulation will not be effective until the stipulation is filed with, found to
be reasonable by, approved by, and made the order of the
commission. (B) If the stipulation provides for the
payment of a forfeiture or other payment by a natural gas company or retail
natural gas supplier of one thousand dollars or less, the stipulation shall be
accepted by the commission and fully enforceable upon the natural gas company
or retail natural gas supplier upon its execution. (C) Unless contained in or otherwise
provided in a stipulation, no statement or conduct during settlement
negotiations is admissible in any commission proceeding regarding the
noncompliance. (D) Where a natural gas company or retail
natural gas supplier has demonstrated to the staff's satisfaction, as
confirmed in writing from the commission's director of the service
monitoring and enforcement department or the director of utilities department
or his/her designee, that the violation(s) listed in the staff notice (or
amended staff notice) of probable noncompliance or investigative report has
been corrected, the violation(s) listed in such staff notice of probable
noncompliance or investigative report shall be considered by the commission as
part of the company's or supplier's history of violations only for
purposes of determining the appropriate forfeiture or corrective action for any
future violation.
Last updated July 15, 2024 at 9:28 AM
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Rule 4901:1-34-06 | Commission proceedings.
Effective:
December 1, 2014
(A) The commission may initiate a compliance or other proceeding upon its own initiative, after an incident has occurred, after a complaint is filed pursuant to section 4905.26 of the Revised Code, or after a staff notice of probable noncompliance is served. (B) Unless otherwise ordered by the commission or an attorney examiner, the staff shall file with the commission and serve upon the natural gas company, retail natural gas supplier, or governmental aggregator a written report of investigation (investigative report) in each proceeding within forty-five days after the commission issues an entry initiating a compliance proceeding. The investigative report shall present: (1) The findings on any alleged noncompliance specified in any staff notice or amended staff notice, which also may include: (a) Noncompliances not included in any staff notice or amended staff notice, provided that such additional noncompliances relate to the same incident, investigation, or safety audit(s) referenced in the initial or amended staff notice. (b) Staff's findings on the natural gas company's, retail natural gas supplier's, or governmental aggregator's practices and policies. (2) Staff's recommendations for commission action. (C) The commission will provide reasonable notice and an opportunity for hearing on all proceedings initiated under this rule. The hearing may include evidence on the issues of proposed corrective action, compliance orders issued by the commission, forfeitures, enforcement of a commission order, and other remedies. (D) If the commission finds a natural gas company, retail natural gas supplier, or governmental aggregator has violated or is violating Chapter 4929. of the Revised Code, or the rules and standards in Chapter 4901:1-13, 4901:1-27, 4901:1-28, 4901:1-29, or 4901:1-34 of the Administrative Code, and/or this chapter, or any order of the commission, the commission may, after an opportunity for hearing, impose the necessary remedies as set forth in rule 4901:1-34-08 of the Administrative Code.
Last updated August 1, 2024 at 9:52 AM
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Rule 4901:1-34-07 | Payment of forfeitures and other payments.
Effective:
December 1, 2014
(A) All forfeitures and other payments shall be paid by certified check or money order made payable to "Treasurer, State of Ohio," and shall be mailed or delivered to: "Public Utilities Commission of Ohio Fiscal Division, 180 East Broad Street, Columbus, Ohio 43215-3793". (B) All instruments of payment shall contain the identifying number of the violation/staff notice (e.g. docket number) for which payment is tendered. (C) No natural gas company or retail natural gas supplier may recover any forfeiture, or other payment in any pending or subsequent proceeding before the commission.
Last updated August 1, 2024 at 9:52 AM
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Rule 4901:1-34-08 | Noncompliance.
Effective:
December 1, 2014
A natural gas company, retail natural gas supplier, or governmental aggregator that fails to comply with the requirements of Chapter 4929. of the Revised Code, the rules and standards in Chapter 4901:1-13, 4901:1-27, 4901:1-28, 4901:1-29, or 4901:1-34 of the Administrative Code, and/or any commission order may, after opportunity for hearing, be subject to any and all of the following available under the law: (A) A natural gas company or retail natural gas supplier may be subject to a forfeiture to the state in an amount provided for in Chapter 4905. of the Revised Code. (B) A natural gas company, retail natural gas supplier, or governmental aggregator may be subject to rescission of a customer contract. (C) A natural gas company, retail natural gas supplier, or governmental aggregator may be required to provide restitution to a customer. (D) A retail natural gas supplier or governmental aggregator may have its certificate suspended, rescinded, or conditionally rescinded. (E) A natural gas company, retail natural gas supplier, or governmental aggregator may be subject to any other corrective action necessary to protect the public safety, reliability, and customer service.
Last updated August 1, 2024 at 9:52 AM
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