Code of Massachusetts Regulations › 220 CMR - DEPARTMENT OF PUBLIC UTILITIES › Title 220 CMR 14.00 - The Unbundling of Services Related to the Provision of Natural Gas › Section 14.04 - Supplier and Retail Agent Requirements

Current through Register 1525, July 5, 2024
(1)
Purpose and Scope
. The purpose of 220 CMR 14.04 is to
		establish the requirements applicable to all Suppliers and Retail
		Agents.
(2)
Certification Requirements
.
(a)
Scope
. 220 CMR
		14.04 governs application for initial certification and for renewal of
		certification.
(b)
Information Filing Requirements
. Before initiating
		service to Retail Customers, each Applicant shall apply for certification and
		shall file for review and approval with the Department's Secretary, in such
		form as is prescribed by the Secretary, a notarized document, signed by two
		officers of the Applicant, that includes the information identified in 220
		CMR14.04(2)(b), except that a Retail Agent shall not be required to provide the
		information described in 220 CMR 14.04(2)(b) 10. and 13., and further provided
		that, to the extent that an Applicant is licensed by the Department pursuant to
		220 CMR
		11.05, such Applicant may incorporate by
		reference those portions of such application that do not differ from the
		application to be certified as a Supplier under 220 CMR 14.04:
1. Legal name;
2. Business address;
3. A description of the company's form of
		ownership. If a corporation, association, or partnership:
a. the name of the state where
		organized,
b. the date of
		organization,
c. a copy of the
		Articles of Organization or Incorporation (filed with the Secretary of State
		under M.G.L. c. 156B or, if incorporated in another state, by the cognizant
		approving authority established by law) or association, partnership agreement,
		or other similar document regarding legal organization,
d. by-laws, and
e. the name, address and title of each
		officer and director, partners, or other similar officers;
4. A statement (with appropriate citation to
		corporate articles or by-laws or other operative documents) that acting as a
		Supplier is not an
ultra vires
purpose (beyond the scope) of
		the entity;
5. A summary of any
		history of bankruptcy, dissolution, merger or acquisition of the entity in the
		two calendar years immediately preceding application;
6. Name, title, and an 800 or toll-free
		telephone number of customer service department or contact person available to
		customers;
7. Name, title, and
		telephone number of regulatory contact person;
8. Name and address of Resident Agent for
		Service of Process in Massachusetts for purposes of M.G.L. c. 223A, §
		3;
9. Brief description of the
		nature of business being conducted, including types of customers to be served
		and geographic area in which services are to be provided;
10. A statement that the Applicant will
		comply with
		220 CMR
		14.05;
11. Documentation of technical ability to
		procure and deliver natural gas (such as previous gas resource experience in
		Massachusetts or as a shipper on interstate pipelines delivering to
		Massachusetts);
12. Documentation
		of financial capability (such as the level of capitalization or corporate
		parent backing) to provide proposed services;
13. Documentation that the Supplier is an
		approved shipper on the upstream pipelines and underground storage facilities
		used to serve Retail Customers in Massachusetts;
14. Evidence or documentation of attendance
		at a Supplier training session to be sponsored by the Massachusetts Local
		Distribution Companies, as set forth in the Gas Industry EBT Report, on file
		with the Department;
15. One sample
		Bill demonstrating the Applicant's familiarity with 220 CMR 14.04 from each
		Applicant that plans to bill Retail Customers in accordance with the
		passthrough billing option, as set forth in
		220 CMR
		14.03(6)(c)1.;
16. A statement whether any director,
		officer, or other similar official has in the five years immediately preceding
		application been convicted of a felony as defined by M.G.L. c. 274, § 1,
		or the equivalent law of any other jurisdiction, involving business fraud, or
		held liable for any antitrust violation pursuant to M.G.L. c. 93, c. 93A or the
		equivalent law of any other jurisdiction and whether the applicant business
		entity has itself been held liable for business fraud or antitrust violation
		(including the date and place of conviction or verdict, and nature of offense
		found); and
17. Declaration under
		penalties of perjury pursuant to M.G.L. c. 268, § 6, that all statements
		made in the application are true and complete. The declaration shall include
		evidence that the declarants are authorized as agents of the Applicant to apply
		for certification on its behalf.
Applicants are required to file an original application by
		  paper copy, along with an electronic copy. Within 30 days of any material or
		  organic (M.G.L. c. 156B) change in the information required, the Applicant
		  shall file updated information with the Department. The Applicant also shall
		  file an updated application annually. If there has been no material or organic
		  change to the relevant information, an Applicant may submit an updated
		  application indicating that there has been no change since the previous
		  application. Any Applicant who knowingly submits misleading, incomplete, or
		  inaccurate information may be penalized in accordance with statute and with the
		  regulations promulgated by the Department.
(c)
Fees
. Each
		Applicant shall pay an annual filing fee of $100 to the Department.
(d)
Department
		Review
. The Department will review the information described in
		220 CMR 14.04(2)(b). The Department will inform the Applicant within 20
		business days of submission of a complete application whether the certification
		application has been approved or rejected. Approved certification applications
		will be valid for one year from the date of approval.
(e)
Information
		Disclosure
. As a condition of maintaining or renewing a
		certificate, each Supplier shall comply with the requirements of
		220 CMR
		14.05. Failure to comply with
		220 CMR
		14.05 may result in suspension, revocation,
		or non-renewal of the Applicant's certificate following a hearing before the
		Department in conformance with M.G.L. c. 30A.