Ohio Administrative Code|Rule 4901:1-37-05 | Application.

                                                
(A) Consistent with section 4928.17 of
		  the Revised Code, an electric utility that provides in this state, either
		  directly or through an affiliate, a noncompetitive retail electric service and
		  a competitive retail electric service (or a noncompetitive retail electric
		  service and a product or service other than retail electric service) shall file
		  with the commission an application for approval of a proposed corporate
		  separation plan. The application shall 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 shall be 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 employees of the electric
			 utility and affiliates must follow.
(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 shall 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 shall 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, shall 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 shall be acknowledged within five working days
				of its receipt.
(c) A written statement of the complaint shall be prepared and
				include 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 shall be
				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 shall not in any way limit the
				rights of any person to file a formal complaint with the
				commission.
(C) Each electric utility shall file its
		  approved corporate separation plan in its tariff docket.


Last updated July 26, 2021 at 9:21 AM