Ohio Administrative Code › Title 4901:1 - Utilities › Chapter 4901:1-37 - Electric Utility and Affiliates › Section 4901:1-37-05 - Application

Current through all regulations passed and filed through July 1,
			 2024
(A)
								Any application for approval of a
			 proposed corporate separation plan, filed with the
			 commission pursuant to section
			 4928.17 of the Revised
			 Code,should include a narrative describing how the plan
			 ensures competitive equality, prevents unfair competitive advantage, prohibits
			 the abuse of market power, and effectuates the policy of the state of Ohio
			 embodied in section 4928.02 of the Revised
			 Code.
(B) The proposed corporate
			 separation plan will be treated as a
			 stand alone document that, at a minimum, includes the following:
(1) Provisions that maintain structural
			 safeguards.
(2) Provisions that
			 maintain separate accounting.
(3) A
			 list of all current affiliates identifying each affiliate's product(s) and/or
			 service(s) that it provides.
(4) A
			 list identifying and describing the financial arrangements between the electric
			 utility and all affiliates.
(5) A
			 code of conduct policy that complies with this chapter and that
			 applies to all employees of the electric utility
			 and affiliates .
(6) A description of any joint advertising
			 and/or joint marketing activities between the electric utility and an affiliate
			 that the electric utility intends to utilize, including when and where the name
			 and logo of the electric utility will be utilized, and explain how such
			 activities will comply with this chapter.
(7) Provisions related to maintaining a cost
			 allocation manual (CAM).
(8) A
			 description and timeline of all planned education and training, throughout the
			 holding company structure, to ensure that electric utility and affiliate
			 employees know and can implement the policies and procedures of this rule. The
			 information will be maintained on the electric utilities'
			 public web site.
(9) A copy of a
			 policy statement to be signed by electric utility and affiliate employees who
			 have access to any nonpublic electric utility information, which indicates that
			 they are aware of, have read, and will follow all policies and procedures
			 regarding limitation on the use of nonpublic electric utility information. The
			 statement will include a provision stating that failure to observe these
			 limitations will result in appropriate disciplinary action.
(10) A description of the internal compliance
			 monitoring procedures and the methods for corrective action for compliance with
			 this chapter.
(11) A designation of
			 the electric utility's compliance officer who will be the contact for the
			 commission and staff on corporate separation matters. The compliance officer
			 shall certify that the approved corporation separation plan is up to date and
			 in compliance with the commission's rules and orders. The electric utility
			 shall notify the commission and the director of the rates and analysis
			 department (or their designee) of changes in the compliance officer.
(12) A detailed description outlining how the
			 electric utility and its affiliates will comply with this chapter. The format
			 
									will
			 identify the provision and then provide the description.
(13) A detailed listing of the electric
			 utility's electric services and the electric utility's transmission and
			 distribution affiliates' electric services.
(14) A complaint procedure to address issues
			 concerning compliance with this chapter, which, at a minimum, shall include the
			 following:
(a) All complaints, whether written
			 or verbal, are be referred to the compliance officer designated
			 by the electric utility to handle corporate separation matters or the
			 compliance officer's designee.
(b)
			 The complaint is acknowledged within five working days of its
			 receipt.
(c) A written statement of
			 the complaint is prepared and includes
			 the name of the complainant, a detailed factual report of the complaint, all
			 relevant dates, the entities involved, the employees involved, and the specific
			 claim.
(d) The results of the
			 preliminary investigation are provided to the complainant in writing within
			 thirty days after the complaint was received, including a description of any
			 course of action that was taken.
(e) The written statements of the complaints
			 and resulting investigations required by paragraphs (B)(14)(c) and (B)(14)(d)
			 of this rule shall be kept in the CAM, in accordance with rule
			 4901:1-37-08 of the
			 Administrative Code for a period of not less than three years.
(f) This complaint procedure
			 does not
			 in any way limit the rights of any person to file a formal complaint with the
			 commission.