Chapter 3 Certified Supplier Guidebook
Certified Supplier Guidebook Chapter 3: Certified Supplier Certification and Registration Process Introduction
This chapter provides a certified supplier with an overview of the process for registering with Duke Energy Ohio, including associated fees, so that the supplier may provide power and energy services to end-use-customers within Duke Energy Ohio service area. The purpose of registering is to initiate the business relationship between the certified supplier and Duke Energy Ohio. This chapter includes information about:
- PUCO Requirements
- Summary of Duke Energy Ohio Registration Requirements
- Details of Duke Energy Ohio Registration
- Approval Process
- Beginning End-Use Customer Enrollment
- Voluntary Withdrawal/Abandonment by a Certified Supplier
As stated in the Ohio customer choice legislation, the Public Utilities Commission of Ohio (PUCO) is responsible to perform the financial, managerial, and technical certification for certified suppliers intending to sell electricity to end-use customers. PUCO certification means that the certified supplier has met PUCO requirements and has received PUCO approval to participate in Ohio’s Customer Choice Program. Detailed information regarding PUCO certification can be obtained by visiting the PUCO Web site at http://www.puc.state.oh.us/.
Once the certified supplier has met the PUCO requirements, the PUCO will issue the supplier a numbered certificate that specifies the services the supplier is certified to provide.
Certified suppliers must register with Duke Energy Ohio to be eligible to operate in Duke Energy Ohio's Customer Choice Program. Registration establishes the business relationship between Duke Energy Ohio and the prospective certified supplier. The following is a summary of Duke Energy Ohio's registration requirements:
- Proof of PUCO certification
- A completed registration and credit application
- Submission of the registration fee as defined in the tariff
- Meet Duke Energy Ohio's credit requirements and post any required collateral
- Completed Certified Supplier Service Agreement (mailed original or electronic PDF*)
- Completed EDI Trading Partner Agreement (mailed original or electronic PDF*)
- Completed TSA Designation Agreement (2 mailed originals or 1 electronic PDF*)
- Completed Consent to Electronic Transfer Form containing a unique sub-account for Duke Energy Ohio. A general PJM sub-account cannot be used. (mailed original or electronic PDF*)
- Completed Capacity Payment Agreement for each PJM year (mailed original or electronic PDF*)
- Proof that the EDI communication links have been tested and are operational
- Proof of attendance at Duke Energy Ohio's sponsored training program
- Authorize Duke Energy Ohio Business Services to access the appropriate PJM DEOK subaccount(s)
- Completed Accounts Receivables Purchase Agreement, if applicable (mailed original or electronic PDF)
*If certified supplier accepts electronic signatures, then registration documents can be emailed to email@example.com. Exception: Duke Energy Ohio requires a mailed original, fully executed Guaranty or Letter of Credit.
Copies of the required forms and contractual agreements may be found in Appendix E: Registration and Participation Forms of this guidebook. The forms may also be obtained by contacting Duke Energy Ohio’s Certified Supplier Business Center at firstname.lastname@example.org. NOTE: If documents are mailed, the certified supplier is required to mark all registration packets, and other documentation, mailed to Duke Energy Ohio as containing "Confidential Information".
The following completed forms, contractual agreements and business arrangements must be established with Duke Energy Ohio for all certified suppliers seeking to do business within the Duke Energy Ohio service area:
• Proof of PUCO Certification
PUCO certification is the responsibility of each certified supplier. Information regarding PUCO certification can be obtained at the PUCO Web site at http://www.puc.state.oh.us/. Prospective certified suppliers may begin Duke Energy Ohio's registration process before becoming certified with the PUCO. In this case, the certified supplier must submit documented proof of its PUCO certification to the Duke Energy Ohio Certified Supplier Business Center before the supplier will be registered to participate in Duke Energy Ohio's Customer Choice Program.
• Certified Supplier Registration and Credit Application Form
Each certified supplier must submit a registration and credit application form as part of the registration process. This form addresses credit information needed to establish the supplier's credit limit and potential collateral requirement with Duke Energy Ohio. The form also serves to provide contact and other information related to the certified supplier. Types of information include the certified supplier's contact telephone numbers, business hours, e-mail address, key functional contacts, and information to be posted on Duke Energy Ohio's customer choice web site. One mailed original or electronic PDF.
• Registration Fee
Each certified supplier must submit a registration fee with the registration documents. The registration fee is included in Appendix A: Certified Supplier Tariff of this guidebook.
• Meet Credit Requirements
Duke Energy Ohio will conduct a creditworthiness review of each certified supplier prior to activation in Duke Energy Ohio's Customer Choice Program. The credit review may result in a requirement for specific security to be provided as collateral by the certified supplier. For more information regarding security, please refer to Chapter 11: Credit Requirements of this guidebook.
• Certified Supplier Service Agreement
This agreement is the cornerstone of the legal relationship between the certified supplier and Duke Energy Ohio and is required prior to a certified supplier operating in the Duke Energy Ohio service area. It establishes the certified supplier as a customer of Duke Energy Ohio under the terms and conditions of the Certified Supplier Tariff, as well as outlining responsibilities of both parties. One mailed original or electronic PDF.
• EDI Trading Partner Agreement
This agreement establishes the general responsibilities of the electronic data interchange (EDI) partnership. The EDI Trading Partner Agreement is required for a certified supplier to transact business directly with Duke Energy Ohio using EDI. Each trading partner shall establish a point of contact to resolve daily electronic data interchange issues. One mailed original or electronic PDF.
• TSA Designation Agreement
A certified supplier serving end-use customers on Duke Energy Ohio's distribution system will need to arrange for transmission and ancillary services to deliver power and energy through Duke Energy Ohio's transmission system for ultimate delivery to end-use customers. Two mailed originals or one electronic PDF.
• Declaration of Authority
Each certified supplier must have an agreement between the supplier (Principal) and Duke Energy Ohio (Agent) whereby the Principal and Agent agree that PJM Settlement, Inc. shall be responsible for the transfer of specific charges, directly related to the Principal's retail load obligations from the Principal's account(s) to the Agent's account for a specific period of time. The transferring of said charges is exchanged through the setup of a unique Duke Energy Ohio subaccount and Org ID with collaboration from PJM and Duke Energy Ohio. This unique subaccount and Org ID shall be reflected on page 9 (Attachment A - Addendum) of the DOA. Examples are provided below. One mailed original or electronic PDF.
Role Account Long Name Account Short Name Org ID Principal ABC Electric Company, LLC (Duke Energy OH Load) ABCDEO 12345 John Doe Energy Providers (Duke Energy OH Load) JDEDUK 56789
• Capacity Payment Agreement
Each certified supplier is required to submit a Capacity Payment Agreement for each PJM year they plan to operate in the Duke Energy Ohio service area. One mailed original or electronic PDF.
• Complete EDI Testing
Each certified supplier must successfully complete an operational test with Duke Energy Ohio to demonstrate that the proper EDI communication links are functional. For more information regarding testing, please refer to Appendix C: Detailed EDI Information of this guidebook.
• Attend Certified Supplier Training
Each certified supplier is required to attend a training session sponsored by Duke Energy Ohio. Information regarding the certified supplier training program is available from the Duke Energy Ohio's Certified Supplier Business Center at email@example.com and from Duke Energy Ohio’s web site.
• PJM DEOK Subaccount Access
Each certified supplier is required to provide PJM DEOK subaccount(s)access to Duke Energy Ohio's Business Services group.
• Account Receivable Purchase Agreement
Each certified supplier who wishes to participate in Duke Energy Ohio's Purchase of Accounts Receivable program can use consolidated/rate ready or bill ready billing. In order to participate in the Purchase of Accounts Receivable program, a supplier must sign an Account Receivables Purchase Agreement and abide by all Purchase of Accounts Receivable provisions in the Certified Suppler Tariff. One mailed original or electronic PDF.
The process of approval begins when Duke Energy Ohio receives the following completed registration materials:
- Certified Supplier Registration & Credit Application and appropriate financial documents
- Certified Supplier Service Agreement
- EDI Trading Partner Agreement
- Registration Fee
In addition to the above items, the following must be completed within 30 days after submitting the completed registration materials:
- Submit proof of PUCO certification
- Complete EDI testing
- Attend a Duke Energy Ohio-sponsored training program
- Post the appropriate collateral, if necessary
- TSA Agreement
- Declaration of Authority
- Capacity Payment Agreement
- Account Receivables Purchase
Duke Energy Ohio will acknowledge receipt of registration materials and notify the certified supplier of any incomplete information within 10 calendar days of receipt. Duke Energy Ohio will approve or disapprove the supplier's registration within 30 calendar days of receipt of the above completed registration materials. The 30 day time period may be extended for up to 30 days for good cause, or until such other time as is mutually agreed to by the certified supplier and Duke Energy Ohio.
Before beginning end-use customer enrollment, these requirements must be completed:
- A certified supplier must successfully complete Duke Energy Ohio's registration process.
- A certified supplier must provide Duke Energy Ohio a fully executed TSA Designation Agreement which confirms its ability to obtain transmission and ancillary services associated with the transmission of electrical energy, including transmission and distribution losses, to its end-use customers.
- A certified supplier must be an approved Market Participant with PJM, having the ability to arrange for delivery of electrical energy to the Duke Energy Ohio Transmission Zone.
- A certified supplier submitting enrollment transactions requesting consolidated rate ready billing must have the associated rates in production in Duke Energy Ohio's billing system. Transactions will be rejected if the specified billing rate is not in production.
Notes: For further information on end-use customer enrollment, transaction, and Duke Energy Ohio’s policies associated with transaction processing, see Chapter 6: End-Use Customer Enrollment and Direct Access Service Requests, of this guidebook. For further information concerning submitting rates for production, see Chapter 8: Billing and Payment Processing, of this guidebook.
- Before enrolling an end-use customer whose monthly demand is greater than or equal to 200 kW, the customer must have an interval meter and proper communications link installed and operable or must submit a work order to install an interval meter.
A certified supplier must notify Duke Energy Ohio and affected end-use customers in writing of its intent to discontinue participation in Duke Energy Ohio's Customer Choice Program (withdrawal) or its intent to discontinue service to a particular customer group within the program (abandonment):
- Notice to Duke Energy Ohio – A certified supplier must notify Duke Energy Ohio in writing at least 90 days prior to withdrawal or abandonment. Each certified supplier will have a secured identification number and password to access a Notice of Withdrawal form or Notice of Abandonment form on Duke Energy Ohio's Customer Choice Web site. For further information, the certified supplier may contact Duke Energy Ohio's Certified Supplier Business Center by emailing to firstname.lastname@example.org or by phone at 513-287-2322.
- Notice to customers – A certified supplier must provide written notice to affected end-use customers at least 90 days prior to withdrawal or abandonment. A notice must also appear on all billing statements to affected customers beginning at least 90 days prior to withdrawal or abandonment and on all subsequent billing statements until the service is ended.
- Noncompliance – A certified supplier that fails to provide at least 90 days written notice of withdrawal or abandonment to Duke Energy Ohio and affected end-use customers will be in default as described in the Certified Supplier Tariff.