Connecticut Administrative Code › Title 16 - Public Service Companies › 245 - Licensing Electric Suppliers › Section 16-245-2 - Scope of license. Application filing requirements. Periodic review

Current through July 10, 2024
(a) At the discretion of the department, the
			 scope of any license may be restricted to the provision of service to a
			 geographic area, the provision of service to a particular type of customer, a
			 method of operation (e.g., generator, broker, marketer), or the services it
			 offers (e.g., energy services, backup services). The scope of a license may be
			 restricted based on the department's assessment of the technical, managerial
			 and financial capability of the applicant and the scope of service plan
			 submitted by the applicant.
(b)
			 Except as provided in subsection (e) of this section, an application for a
			 license to become an electric supplier or participating municipal electric
			 utility shall include a completed form prescribed by the department and shall
			 include the following items:
(1) An
			 application fee in the amount of $ 1,000 made payable to the Treasurer of the
			 State of Connecticut;
(2) A scope
			 of service plan which sets forth a description of the geographic area the
			 applicant plans to serve, the type of customers to be served, a description of
			 the applicant's proposed operations (e.g., generator and supplier of electric
			 generation services; broker or marketer and supplier of electric generation
			 services; or aggregator and supplier of electric generation services), and the
			 services it plans to offer (e.g., energy services, backup services);
(3) Documentation demonstrating the
			 applicant's technical, managerial and financial capability to provide electric
			 generation services;
(4) The
			 applicant's legal name, a description of the applicant's form of ownership, and
			 the name of the state or jurisdiction where the applicant is organized or
			 formed;
(5) The applicant's
			 endorsed certificate of incorporation certified by the Connecticut Secretary of
			 the State, a copy of the applicant's certificate of existence, a copy of the
			 applicant's certificate of good standing, or other business registration on
			 file with the Connecticut Secretary of the State; unless the applicant is a
			 municipal electric utility, in which case the applicant shall include the
			 municipality's authorization to apply to become a participating municipal
			 electric utility, which may include, but shall not be limited to, a resolution
			 from its board of electrical commissioners, board of gas and electrical
			 commissioners or town council;
(6)
			 The address of the applicant's headquarters, the articles of incorporation
			 filed with the state or jurisdiction in which the applicant is incorporated,
			 and any bylaws and amendments thereto;
(7) The name, business address and title of
			 each officer and director, partner, or other similar officer, unless the
			 applicant is a municipal electric utility, in which case the applicant shall
			 include the name and business address of the manager, superintendent or other
			 designated person in charge of electric generation services, as defined in
			 section
			 16-1 of
			 the Connecticut General Statutes, and the name and business address of each
			 member of its board of electrical commissioners or board of gas and electrical
			 commissioners appointed pursuant to section
			 7-216 of
			 the Connecticut General Statutes;
(8) The address of the applicant's principal
			 office in this state, if any, or the address of the applicant's agent for
			 service in this state. The application shall also include the name, address,
			 telephone number, facsimile machine number and e-mail address of the
			 applicant's contact person for regulatory matters;
(9) Information about the applicant's
			 corporate structure, including names and financial statements, as appropriate,
			 concerning corporate affiliates. If the applicant is a holding company or the
			 subsidiary of a holding company, a graphical depiction of the organization
			 shall also be provided;
(10) A
			 summary of any history of bankruptcy, dissolution, merger or acquisition of the
			 applicant in the two calendar years immediately preceding the
			 application;
(11) An exhibit
			 indicating whether the applicant or any of the applicant's corporate affiliates
			 or officers have been or are currently under investigation, either in this
			 state or in another state or jurisdiction for violation of any consumer
			 protection law or regulation, and whether the applicant or any of the
			 applicant's corporate affiliates or officers have been fined, sanctioned or
			 otherwise penalized either in this state or in another state or jurisdiction
			 for violation of any consumer protection law or regulation;
(12) The applicant's toll-free telephone
			 number for customer service and address for customer complaints;
(13) A copy of the applicant's standard
			 service contract;
(14) Unless
			 addressed in the applicant's standard service contract, the applicant's
			 customer service plan, which shall consist of the applicant's customer security
			 deposit procedures and requirements, customer complaint handling and dispute
			 resolution procedures, customer termination procedures, customer rights and
			 responsibilities and customer information and disclosure procedures;
(15) The applicant's Federal Employer
			 Identification Number;
(16) A
			 declaration that the applicant agrees to cooperate with the department, the
			 ISO, the electric distribution companies and other electric suppliers in the
			 event of an emergency condition that may jeopardize the safety and reliability
			 of electric service in accordance with emergency plans and other procedures as
			 may be determined appropriate by the department;
(17) An attestation that the applicant will
			 not release customer information to any person, as that term is defined in
			 section
			 16-1 of
			 the Connecticut General Statutes, unless the customer signs a release, the form
			 for which shall be made available by the department. For purposes of this
			 subdivision, "customer information" means customer-specific information which
			 the electric supplier acquired or developed in the course of providing electric
			 generation services and includes, but is not limited to, information that
			 relates to the quantity, time of use, type and destination of electric service,
			 information contained in electric service bills and other data specific to an
			 electric supplier customer;
(18)
			 Documentation demonstrating that the applicant maintains security as required
			 pursuant to section
			 16-245-4 of
			 the Regulations of Connecticut State Agencies;
(19) If the applicant maintains security in
			 an amount less than $ 250,000 pursuant to section
			 16-245-4(a)
			 of the Regulations of Connecticut State Agencies, a twelve month estimate of
			 the applicant's gross receipts from the sale of electric generation services in
			 Connecticut;
(20) A twelve month
			 estimate of the expected total electric generation load to be served in
			 Connecticut by the applicant;
(21)
			 If the applicant is a publicly owned company, a copy of the applicant's two
			 most recent annual reports to stockholders, annual returns or summary financial
			 statements, including filings made with the securities and exchange commission
			 such as 10-K or 10-Q and 8-K filings and audited financial statements; if the
			 applicant is a privately owned company, a copy of the company's two most recent
			 federal income tax returns;
(22)
			 Information regarding the status of the applicant's operations in other states,
			 including any decisions or orders granting or denying the applicant authority
			 to sell electricity in another state; and
(23) An affidavit certifying under penalty of
			 false statement that all statements made in the application are true and
			 complete.