Section 451.710  General Provisions

a)         All ARES shall, at all times, continue to remain in compliance with the provisions of the Act and this Part, as now or hereafter amended. If an ARES received a certificate before the effective date of any provision of this Part that applies to applicants seeking certification to serve customers with the same electrical demand or usage characteristics as the ARES, the ARES must demonstrate that it has come into compliance with that provision no later than April 30 of the year following the year during which the amendment took effect.

b)         No later than April 30 of each year, each ARES shall file all reports required under this Subpart.  Reports shall be under oath, contain a cover letter title "Part 451 Continuing Compliance" and be filed with the Chief Clerk of the Commission with copies provided to the Energy Division-ARES and the Financial Analysis Division-ARES or their successors. The reports shall be identified with the name of the ARES as it appears in the most recent Commission order granting the ARES certification, as well as any post-certification name changes.  Entities required to file reports and to submit copies under this subsection (b) may do so electronically upon notification by the Chief Clerk of the Commission, on the Commission's website, of the availability of electronic filing for reports filed under this Part 451.

c)         For each supporting piece of documentation the ARES provides, it shall specifically state how this information complies with each applicable subsection of this Part 451.

d)         All reports shall provide the name, telephone number, email address and mailing address of at least one person to address questions from Commission Staff pertaining to that report.

e)         All reports made to the Commission by any ARES, other than ARES certified under Subpart E, and the contents of the reports shall be open to public inspection, unless otherwise ordered by the Commission. The reports shall be preserved in the office of the Commission.

f)         Any ARES acquiring customers from another ARES shall report any such purchase or transfer of customer accounts no later than 30 days after the execution of the transaction. Any ARES receiving customer accounts from another ARES shall be responsible to demonstrate its ability to meet the applicable financial, managerial and technical requirements.

g)         The compliance filing shall include the applicant's name and street address and the names and addresses of all the ARES's affiliated companies involved in electric retail sales or purchases in North America.

(Source:  Amended at 43 Ill. Reg. 10450, effective September 3, 2019)