Section 27-702. APPLICATION FOR CERTIFICATION

 

702.1All applications for certification shall meet the following requirements in order to be accepted for Commission review:

 

(a)All application forms shall be completely filled out;

 

(b)All required documentation shall be supplied; and

 

(c)The application shall be verified by the applicant on the affidavit form supplied by the Commission.

 

702.2Any application which does not meet the requirements for filing set forth in §702.1 shall not be accepted for filing by the Commission.

 

702.3Upon receipt of an application, the Commission staff shall conduct a preliminary review of the submission for compliance with the requirements of §702.1 and take one of the following actions:

 

(a)If the application is complete, it shall be accepted for Commission review;

 

(b)If the application is substantially incomplete or lacks the required verification, it shall be returned to the applicant with a notice indicating the need for additional actions or materials in order for the application to be accepted for review; or

 

(c)If the application is incomplete, but the omissions are minor, the staff may hold the application pending receipt of all remaining materials required for acceptance. In these cases, the applicant shall be given notice that the application has not been accepted and the need for the submission of additional materials in order for the application to be accepted for review.

 

702.4The Commission staff may hold interviews or discussions with an applicant or applicant's representative as part of the preliminary review process in order to assist the applicant in fulfilling the application requirements of this section.

 

702.5Upon acceptance of an application, the Commission staff shall conduct a full review and analysis of the application. This review process may include interviews and discussions with the applicant or applicant's representative, requests for the submission of additional documentation or information, and an on-site inspection by the Commission staff.

 

702.6The staff review shall include an audit of the books and records of the applicant. Each applicant shall be required to grant permission for an audit on the application form submitted to the Commission.

 

702.7Upon completion of the staff review, the Commission staff shall prepare a report setting forth findings and recommendations. The report shall be submitted to the Commission with the application for consideration by the Commission in making its determination.

 

702.8Each application shall contain the following information where applicable to the individual business entity seeking certification:

 

(a)The name, mailing address, street address, and telephone number of the applicant;

 

(b)Identification of all owners, directors, and officers by name, age, date-of-birth, place of birth, position, duties and responsibilities associated with the business, actual operating authority, and percentage of ownership;

 

(c)Percentage of minority ownership of the business and identification of minority owners by name and minority group;

 

(d)Business documentation, including articles of incorporation, by-laws, certificates of good standing, stock voting rights, minutes of organizational meetings, partnership agreements, profit sharing agreements, buy-out rights, joint venture agreements, tax returns, annual reports, and other information requested by the Commission;

 

(e)Evidence of authority to do business in the District of Columbia, D.C. business licenses, occupancy permits, tax numbers, worker's compensation forms, lease agreements, and other information requested by the Commission;

 

(f)Stock options or other ownership options which are outstanding, evidence of loans or other debts between owners, evidence of loans or other debts between owners and third parties which are related to the business, and identification of trusts affecting the finances or control of the business;

 

(g)Copies of current balance sheets and operating statements;

 

(h)Identification of the persons by name and title who decide which jobs the firm will take; who obtain, negotiate, and sign for bonds and insurance; and who sign motor fuel tax forms;

 

(i)Type, quantity, and value of equipment owned;

 

(j)Bonding limit, name of bonding company, sources of letters of credit, other sources of capital and other financing, and trade references; and

 

(k)Experience of firm owners and managers in areas such as supervision; accounting, bookkeeping, and other record keeping; use of suppliers, and use of equipment.

 

source

Final Rulemaking published at 26 DCR 2771, 2783 (December 21, 1979).