[27 Pa.B. 414]
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Subchapter B. INFORMAL PROCEEDINGS GENERALLY § 3.111. Form and content of informal complaints.
(a) Informal complaints may be by letter or other writing. No form of informal complaint is suggested, except as set forth in §§ 56.162 and 64.152 (relating to informal complaint filing procedures), but in substance the letter or other writing shall contain the essential elements of a formal complaint as specified in § 5.22 (relating to contents of formal complaint).
(b) Informal complaints in rate cases should be filed with the Prothonotary. Other informal complaints must be filed with the Pennsylvania Public Utility Commission, Bureau of Consumer Services, Post Office Box 3265, Harrisburg, Pennsylvania 17105-3265.
(c) Subsection (a) supersedes 1 Pa. Code § 35.5 (relating to form and content of informal complaints).
§ 3.112. Action on informal complaints.
(a) Upon receipt of an informal complaint related to a docketed matter, a copy of the informal complaint will be placed in the official document folder. Except as set forth in Chapters 56 and 64 (relating to standards and billing practices for residential utility service; and standards and billing practices for residential telephone service), the Commission staff will review the material submitted, and if the matter complained of appears to lie within the jurisdiction of the Commission, perform additional investigation necessary or proper to corroborate the allegations of the complaint. Upon completion of the review and investigation, the Commission staff may institute formal action with respect to the subject matter of the informal complaint.
(b) Upon the completion of the Commission's investigation of an informal complaint, the Commission staff will notify the informal complainant of the results of its review and investigation and of the staff recommendation, if any, to the Commission. The filing or a withdrawal of an informal complaint is without prejudice to the right of the complainant to file and prosecute a formal complaint.
(c) The filing of an informal complaint does not entitle complainant to a formal hearing before the Commission.
(d) Subsection (a) supersedes 1 Pa. Code §§ 35.6 and 35.7 (relating to correspondence handling of informal complaints; and discontinuance of informal complaints without prejudice).
§ 3.113. Resolution of informal investigations.
(a) The Commission staff may conduct informal investigations in appropriate circumstances regarding the condition and management of a public utility or other person or corporation subject to its jurisdiction. The informal investigations are typically undertaken to gather data or to substantiate allegations of potential violations of the act and may be conducted with or without hearing.
(b) The Legislature has found that secrecy in public affairs undermines the faith of the public in government and the public's effectiveness in fulfilling its role in a democratic society. The Sunshine Act (65 P. S. §§ 271--286) therefore requires that the Commission's official actions take place at a public meeting, subject to certain limited exceptions.
(c) To reconcile the Commission's authority to undertake informal investigations with or without hearing and the Legislature's findings regarding the adverse consequences of secrecy in public affairs, the Commission will proceed as follows when a quorum of its members meet to discuss termination of an informal investigation:
(1) When the Commission staff determines that no violation or potential violation of the act has occurred, the informal investigation will be terminated by letter.
(2) When the Commission staff determines that a violation or potential violation of the act has occurred and when formal action is deemed to be warranted, the Commission staff will initiate a docketed on-the-record proceeding to resolve the issues.
(3) When the utility, or other person or corporation subject to its jurisdiction, has committed to undertake action in order to address or remedy a violation or potential violation of the act or to resolve another perceived deficiency at the utility, in the form of a settlement with the Commission staff or other resolution of the matter, the Commission's adoption of the settlement or approval of the utility's action will be considered at public meeting. Except for staff reports which advise the Commission as to the action it should take and other documents covered by a specific legal privilege, documents relied upon by the Commission in reaching its determination shall be made part of the public record. The Commission's decision to adopt the settlement or to approve the utility's action will be in the form of a tentative decision that recites the relevant facts and the Commission's conclusions, and provides other potentially affected persons with the opportunity to submit exceptions thereon or to take other action provided for under law.
§ 3.163. (Reserved).
Subchapter G. WATER OR WASTEWATER
UTILITY PROCEEDINGS§ 3.501. Certificate of public convenience as a water or wastewater collection, treatment and disposal supplier.
(a) Applicant. An applicant for a certificate of pub- lic convenience as a public water or wastewater collec- tion, treatment and disposal supplier shall provide a copy of the business plan required by the Department of Environmental Protection (DEP) at 25 Pa. Code § 109.503(a)(3) (relating to public water system construction permits). The following information, or documents, if not included in the business plan, shall be included in the application, using the current forms and schedules specified by the Commission's Bureau of Fixed Utility Services:
(1) Plant in service.
(i) Proposed utilities shall provide:
(A) A full description of the proposed waterworks or wastewater collection, treatment and disposal facilities and the manner, including the timing, in which the proposed service area and utility will be constructed.
(B) A breakdown of the cost of construction, by major plant category, including the sources of funds used to construct the facilities.
(ii) Utilities that have been providing service shall provide:
(A) The original cost, by year and major plant category, of used and useful plant in service and related accrued depreciation calculations.
(B) A breakdown of the sources of funds used to finance the construction of the facilities.
(2) Map of service area. A map or plan of suitable scale highlighting the boundaries of the proposed service area, including:
(i) A courses and distances or metes and bounds description.
(ii) The location or route of the proposed waterworks or wastewater collection, treatment and disposal facilities.
(iii) The approximate time schedule for installation of the various component facilities.
(iv) The elevations of major facilities and service areas.
(v) The DEP permitted productive or treatment capacity of sources or treatment facility and the pipe sizes and material used for construction for all transmission and distribution or collection facilities.
(3) Customers.
(i) Proposed utilities shall provide an estimate of the number of customer connections by class in the first, fifth and tenth years, and completed development anticipated, as well as estimated water usage or gallons of wastewater treated in each of the above years.
(ii) Utilities that have been providing service shall submit the actual number of customers by class and related consumption or gallons treated in the current calendar year and future number of connections anticipated for the next 10 years.
(iii) Each utility shall demonstrate its ability to provide adequate water supply, treatment, storage and distribution or adequate wastewater collection, treatment and disposal capacity to meet present and future customer demands.
(4) Rates.
(i) Proposed utilities shall provide a list of proposed rates (classified rate schedule).
(ii) Utilities which have been providing service shall provide an initial tariff which reflects rates and terms of service that conform to the Commission's regulations and the act. The utility shall notify the existing customers of the filing of the application and the rates filed.
(5) Cost of service.
(i) Proposed utilities shall provide a 1, 5 and 10-year estimate of operating revenues, operation and maintenance expenses, annual depreciation and taxes. If operating income reflects a loss, proposed utilities shall provide a detailed explanation of the source of funds to be used to subsidize the estimated losses in support of future viability.
(ii) Utilities that have been providing service shall file the two most recent Federal income tax returns (corporation) or related Schedule C forms (partnership or individual). If tax returns reflect an operating loss, utilities shall describe in detail how the operating losses are subsidized, supported by an analysis of the future viability of the utility.
(6) Proof of compliance with applicable design, construction and operation standards of the DEP, formerly the Department of Environmental Resources (DER), or of the County Health Department, or both, including:
(i) Copies of Public Water Supply/Water Quality Management or National Pollution Discharge Elimination System (NPDES) permits if applicable.
(ii) Valid certified operators' certificates.
(iii) Utilities that have been providing service shall submit a 5-year compliance history with DER/DEP with an explanation of each violation.
(iv) A DER/DEP 5-year compliance history of other utilities owned or operated, or both, by the applicant, including affiliates, and their officers and parent corporations with regard to the provision of utility service.
(7) If applicable, a copy of documents, excluding, if desired, documents duplicated in paragraphs (1)--(6), showing compliance with the requirements of the Delaware River Basin Commission, or other documents filed with the Delaware River Basin Commission, the Susquehanna River Basin Commission, the Ohio River Basin Commission or the Great Lakes Commission relating to the propose provision of service.
(8) The identity of public utilities, municipalities, municipal authorities, cooperatives and associations which provide public water supply service or wastewater collection, treatment and disposal service within each municipality, or a municipality directly adjacent to the municipalities, in which the applicant seeks to provide service situated within 1 mile of applicant's proposed facilities.
(9) Demonstrate compliance with the DEP regulations at 25 Pa. Code § 109.503(a)(3) or section 5 of the Pennsylvania Sewage Facilities Act requirements (35 P. S. § 750.5), whichever is applicable; or whether the applicant has contacted each public water supplier or wastewater collection, treatment and disposal supplier in paragraph (8), and one of the following applies:
(i) Whether a supplier is willing and able to serve the area which applicant seeks to serve either directly or through the bulk sale of water to applicant, or treatment of waste water to applicant.
(ii) If one or more such supplier is willing to serve the area (either directly or through the bulk sale of water to applicant), the applicant should demonstrate that, when considering both the cost of service and the quality of service, the ultimate consumer would be better served by the applicant than by the other water suppliers.
(10) A verification that the water sources and customers are metered in accordance with § 65.7 (relating tometered service). If unmetered water service is currently provided, the applicant shall provide a metering plan on forms provided by the Commission.
(b) Filing. The applicant shall file with the Commission the original and three copies of the application. An application which fails to include the information and documents outlined in subsection (a), as further specified in the current forms and schedules for water and wastewater collection, treatment and disposal companies developed by the Bureau of Fixed Utility Services, is subject to rejection by the Commission. The original and three copies shall contain exhibits. An affidavit of service showing the identity of those served under subsection (d) shall accompany the original and the copies of the application filed with the Commission.
(c) Notice. The application will be docketed by the Secretary of the Commission and thereafter forwarded for publication in the Pennsylvania Bulletin. The applicant shall also publish the notice of application as supplied by the Secretary, for 2 consecutive weeks in one newspaper of general circulation located in the territory covered by the application and shall submit proof of publication to the Commission.
(d) Copies. At the time of filing, the applicant shall cause a complete copy of the application with exhibits to be served by registered or certified mail, return receipt requested, upon:
(1) Each city, borough, town, township, county and related planning office which is included, in whole or in part, in the proposed service area.
(2) A water or wastewater utility, municipal corporation or authority which provides water or wastewater collection, treatment and disposal service to the public and whose service area abuts the service area proposed in the application.
(3) The Office of Consumer Advocate, the Office of Small Business Advocate, and the DEP's appropriate regional office.
(e) References. Subsection (a) supplements § 5.11 (relating to applications generally).
* * * * * § 3.502. Protests to applications for certificate of public convenience as a water supplier or wastewater collection, treatment and disposal supplier.
(a) Protests generally. A person objecting to the application shall file with the Prothonotary and serve upon the applicant or applicant's attorney, if any, a written protest which shall contain the following:
(1) The applicant's name and the docket number of the application.
(2) The name, business address and telephone number of the protestant.
(3) The name, business address and telephone number of the protestant's attorney or other representative.
(4) A statement of the nature of the protestant's interest in the application.
(b) Participation in proceeding. Upon the filing of a timely protest, the protestant will be allowed to participate in the proceeding as a party intervenor.
(c) Motions. A protest will be treated as a pleading; and the applicant may, within 20 days after the closing date for the filing of protests, file motions to strike, to dismiss, or for amplification as provided in § 5.101 (relating to preliminary motion).
(d) Protests: time of filing. A protest shall be filed within the time specified in the notice appearing in the Pennsylvania Bulletin, which shall be no less than 60 days from the date of publication thereof except where the need for the proposed service or other exigent circumstances supports a request for a shorter protest period. Failure to file the protest in accordance with this subsection shall be a bar to subsequent participation in the proceeding, except if permitted by the Commission for good cause shown or as provided in § 5.71 (relating to initiation of intervention).
Subchapter H. FORMS § 3.551. Official forms.
The following is a list of forms which can be obtained from the Office of the Secretary of the Commission:
(1) Application by a proposed public utility for approval to begin to offer, render, furnish or supply service.
(2) Application for Commission finding and determination of propriety of proposed service by an electric public utility.
(3) Application for temporary authority to transport persons or household goods in use by motor vehicles.
(4) Application for approval of transfer and exercise of common or contract carrier rights for the transportation of passengers or household goods in use.
(5) Application for approval of installation, removal or substitution of warning device of a public crossing under section 2701 of the act (relating to railroad connections with sidetracks and laterals).
(6) Petition for damages for property taken, injured or destroyed in a railroad crossing proceeding under section 2704 of the act (relating to compensation for damages occasioned by construction, relocation or abolition of crossings).
(7) Application for approval of construction, alteration or relocation or abolition of any crossing at grade or above or below grade under section 2702 of the act (relating to construction, relocation, suspension and abolition of crossings).
(8) Application for brokerage license.
(9) Statement and map for preemption of territory by electric cooperative association.
(10) Proof of publication of notice of hearing.
(11) Securities certificate.
(12) Abbreviated securities certificate.
(13) Nonpublic utility registration form.
(14) Formal complaint form.
Subchapter I. REGISTRATION OF SECURITIES § 3.601. General.
(a) Scope. A public utility shall file with the Commission and receive from it notice of registration of a securities certificate before the public utility shall issue or assume securities.
(b) Format. A securities certificate shall be typewritten or printed on paper 8 1/2 inches wide by 11 inches long and shall be submitted in triplicate, accompanied by a money order, certified check or bank cashier's check made payable to the Commonwealth of Pennsylvania in the amount provided in § 1.43 (relating to schedule of fees payable to the Commission).
(c) Form. The securities certificate shall be consistent with the form available from the Commission and shall include the following information as well as additional information required by the Commission:
(1) The name and address of the public utility filing the securities certificate.
(2) The name and address of the public utility's attorney.
(3) A brief corporate history of the public utility, a general description of the territory in which it actually furnishes service to the public, and of the kind of service rendered therein.
(4) Whether the public utility is controlled by a corporation, and, if so:
(i) The name of the controlling corporation.
(ii) The form and manner of control.
(iii) The extent of control.
(iv) Whether control is direct or indirect.
(v) The names of intermediaries through which control, if indirect, is held. When control is in a holding company organization, there shall be shown the chain of ownership or control to the main parent company.
(5) The following information regarding the securities which the public utility proposes to issue or assume:
(i) The exact title of security.
(ii) The aggregate par value, or if no par value then the number of shares, or the principal amount to be issued or assumed.
(iii) In the case of stock certificates, as applicable: the par value, dividend rate and payment dates, redemption value, liquidation value, voting powers, preferences as to assets and dividends, cumulative and participating dividend provisions, callability and conversion provision.
(iv) In the case of evidences of indebtedness, as applicable: nominal date of issue, date of maturity, interest rate and payment dates, extent to which taxes on securities are assumed by the issuer, callability and conversion provisions, maintenance, depreciation and sinking or other fund provision, name and address of trustee and whether affiliated with the public utility.
(6) The method by which the public utility proposes to dispose of the securities, giving pertinent details as to date and manner of sale, exchange or other disposition. If sale, include minimum net price to the public utility, maximum commission or fee to be paid to investment bankers, brokers or others, and whether securities are to be sold on an underwriting or take-down basis. State whether or not those negotiating or arranging the sale are in any way affiliated with the utility. If a private sale, state whether the purchasers are in any way affiliated with the utility. Show in tabular form an estimate in reasonable detail of the expenses to be incurred in issuing the securities, including, by groups, legal fees, fees and documentary taxes to governmental authorities, printing expenses, underwriting or brokerage commission, duplicate interest and other expenses.
(7) The purpose for which the public utility proposes to issue or assume the securities.
(i) If the purpose is the acquisition of all or part of the assets of a going concern, state:
(A) The name and address of vendor, docket number of Commission approval of the acquisition.
(B) A brief description of property, and whether all or part of a completed system.
(C) The full consideration to be paid, including any indebtedness to be assumed by the utility.
(D) The manner of determining consideration.
(E) The manner in which acquisition is to be recorded on the public utility's books.
(F) The original cost of physical property to be acquired, stated according to plant accounts prescribed by the classification of accounts applicable to the public utility.
(G) The depreciation applicable thereto as recorded on the books of the vendor.
(H) The manner of determining the original cost and depreciation.
(i) An income statement for the latest available 12 months applicable to the operation of the property being acquired.
(ii) If the purpose is the purchase or construction of new facilities, or the betterment of existing facilities, give:
(A) A brief description of such new facilities or betterments.
(B) A list of plant accounts prescribed by the classification of accounts applicable to the utility to be charged with the new facilities or betterments, showing opposite each account the estimated cost to be charged.
(C) A list of the accounts and the amounts to be credited thereto for the retirements of any property resulting from the purchase or construction of new facilities or betterments.
(D) The manner of determining amounts at which retired property is to be credited.
(E) The date when it is expected that such purchase or construction or betterment will be completed.
(iii) If the purpose is to obtain working capital, explain any unusual condition which exists, or will exist, in the public utility's current assets or current liabilities, stating:
(A) The approximate cost of average materials and supplies inventory which the public utility expects to carry.
(B) The average time elapsing between the date when the public utility furnishes or begins a period of furnishing service to customers and the date when collection is made from customers for such service.
(C) The minimum bank balance requirements.
(D) A statement, by accounts, of the operating expenses for the latest available 12 months.
(iv) If the purpose is to refund obligations, describe obligations in detail.
(A) Explain purpose for which obligations were issued, or refer to number of securities certificate, securities application or certificate of notification in which the purpose appears.
(B) State the date of last disposition of obligation, the amount disposed of and the price received.
(C) State whether refunding is to meet maturity, or to effect saving in interest or other annual charges; if to effect saving, state date when, and price at which obligations are to be called, and submit statement showing saving to be effected as a result of refunding.
(D) State disposition to be made of any discount or expense remaining unamortized on the obligations to be refunded and of any premium included in the call price.
(E) State whether any unamortized debt discount and expense was originally incurred in connection with securities not now outstanding, and if so, give amount applicable to each issue.
(v) If the purpose is reimbursement for moneys already expended, state the purpose for which the moneys were expended in as complete detail as if the securities now being issued were for that purpose as required by this subsection and by subsections (a), (b) and (d).
(A) List the names and principal amounts of any securities already issued against the expenditures.
(B) State the dates upon or between which the expenditures were made.
(8) State whether a registration statement, application or declaration has been filed or will be filed with the Securities and Exchange Commission in respect to the securities herein proposed to be issued or assumed. If so, state:
(i) The date filed.
(ii) The nature of application or declaration.
(iii) The closing date before the Securities and Exchange Commission.
(9) The public utility shall attach to each securities certificate:
(i) A balance sheet of the public utility set up by ledger accounts and not by groupings dated within at least 3 months of the date of securities certificate, including any transactions which have occurred between the date of the balance sheet and the date of filing the securities certificate and an explanation of any major contingent liabilities faced by the public utility.
(ii) An income account of the public utility set up by general ledger accounts, not by groupings, showing in detail the other credits and charges made to surplus during the year, for the 12-month period ending by the date of the balance sheet.
(iii) A statement with respect to the plant accounts appearing on the balance sheet showing the following:
(A) A summary by the detailed plant accounts prescribed in the system of accounts applicable to the public utility.
(B) The portion of the plant account balance representing increments in plant book values resulting from the acquisition of property through purchase, merger and consolidation or reorganization.
(C) The portion of the plant account balance representing increases in plant book values resulting from the recording of appraised values by the public utility unless the public utility has filed with the Commission an original cost study.
(iv) A statement of securities of other corporations owned by the public utility, including:
(A) The name of the issuer.
(B) The exact title of the security.
(C) The amount owned.
(D) The date acquired.
(E) The price paid.
(F) The book value.
(G) The market value.
(H) The cost to the affiliate, if acquired from an affiliate.
(v) A statement showing the status of the funded debt of the public utility outstanding at the date of the balance sheet, plus particulars of any important changes in the funded debt outstanding which have taken place since that date. The statement shall be in the form available from the Commission.
(vi) A statement showing the status of outstanding capital stock of the public utility as of the date of the balance sheet, including any important changes in the capital stock outstanding which have taken place since the date of the balance sheet according to the form available from the Commission.
(vii) A copy of the registration statement filed by the public utility with the Securities and Exchange Commission under the Securities Act of 1933 (15 U.S.C.A. §§ 77a--77aa) with respect to the proposed issuance or assumption of securities.
(viii) Copies of applications and declarations filed by the public utility with the Securities and Exchange Commission with respect to the proposed issuance or assumption of securities, under the Public Utility Holding Company Act of 1935 (15 U.S.C.A. §§ 79--79 z-6).
(ix) A copy of the resolution of the board of directors of the public utility authorizing the proposed issuance or assumption of securities.
(x) A copy of the stock certificate or other security proposed to be issued or assumed. Bonds or other evidences of indebtedness secured by mortgage, collateral trust agreement or other underlying instrument. This exhibit shall be a copy of the underlying instrument, rather than of the evidence of indebtedness itself.
(xi) A statement showing, in journal entry form, all charges and credits to be made on the books of account of the public utility as a result of the proposed issuance or assumption of securities.
(xii) An affidavit in form prescribed by §§ 1.35 and 1.36 (relating to execution; and verification).
§ 3.602. Abbreviated securities certificate.
(a) Scope of rule. The abbreviated procedure of subsections (b) and (c) applies to an issuance or assumption of a security which meets one of the following requirements:
(1) The issuance or assumption of securities has been authorized by another state commission having primary jurisdiction.
(2) The financing is provided by an agency of a state or the United States government.
(3) The issuance or assumption of securities is by a utility having a presence in this Commonwealth of less than 10% as measured by either:
(i) The ratio of gross investment within this Commonwealth to the utility's total gross investment.
(ii) The ratio of gross operating revenues from service rendered during the immediately preceding fiscal year under tariffs filed with the Commission for intrastate service to the total gross operating revenues of the public utility during the fiscal year from all service, wherever rendered, of the type described in section 102 of the act (relating to definitions).
(b) Form. At the election of the issuing public utility, a securities certificate relating to an issuance of securities within the scope of this rule may consist of two copies of a letter addressed to the Prothonotary consistent with the form available from the Commission.
(c) Filing and registration. An abbreviated securities certificate under this section, together with the filing fee specified in § 1.43 (relating to schedule of fees payable to the Commission), shall be filed with the Prothonotary. If, at the end of 10 days after the filing of a securities certificate under this section, no order of rejection has been entered, the certificate shall be deemed, in fact and in law, to have been registered; provided that the Prothonotary may, by notice to the public utility served before the expiration of the 10-day period, extend the 10-day consideration period to not more than a total of 30 days. Further extension to the period shall be by the order of the Commission.
(d) Exemption. The filing of a securities certificate with this Commission under Chapter 19 of the act (relating to securities and obligations), relating to an issuance or assumption of securities is not required of a public utility which owns or operates facilities within this Commonwealth, but which has received no gross operating revenues for service rendered during the immediately preceding fiscal year and 12-month period under tariffs filed with the Commission for intrastate service within this Commonwealth.
CHAPTER 5. FORMAL PROCEEDINGS
Subchapter A. PLEADINGS AND OTHER PRELIMINARY MATTERS § 5.11. Applications generally.
(a) Applications for authorization or permission filed with the Commission should conform to the requirements of this chapter. To the extent practicable, applications should conform to the requirements of § 3.551 (relating to official forms).
(b) Subsection (a) supersedes 1 Pa. Code § 35.1 (relating to applications generally).
§ 5.12. Contents of applications.
(a) If a form or other specific requirements are not provided for in Chapter 3 (relating to special provisions), applications shall conform to this section. Applications shall be in writing, shall state clearly and concisely the authorization or permission sought, shall cite by appropriate reference the statutory provisions, regulations or other authority under which the Commission authorization or permission is sought, and shall set forth, in the order indicated, the following--unless otherwise provided by this chapter or in Chapter 3 for the specific type of application involved:
(1) The exact legal name of the applicant, and, if the applicant is a corporation, trust, association or other entity, the jurisdiction under the statutes of which the applicant was created or organized and the location of the principal place of business of the applicant.
(2) The name, title and post office address of the person to whom correspondence or communications in regard to the application are to be addressed. The Commission will serve, where required, notices, orders and other papers upon the person named, and service shall be deemed to be service upon the applicant.
(b) Subsection (a) supersedes 1 Pa. Code § 35.2 (relating to contents of applications).
§ 5.14. Applications requiring notice.
(a) An application to the Commission for authority under sections 1101, 1102, 2503 and 2505 of the act or as otherwise provided by the act, is subject to one or more of the following notice requirements as directed by the Prothonotary under § 1.51 (relating to instructions for service and notice):
(1) Publication in the Pennsylvania Bulletin.
(2) Publication in a newspaper of general circulation serving the geographical territory affected by the application.
(3) Actual notification to the parties affected by the application.
(4) Another form of actual or constructive notification as may be required by the Prothonotary.
(b) Except as set forth in §§ 3.361--3.363, 3.381, 3.501(f) (as relating to the 60 day protest period) and 57.71, 57.72, 57.74--57.77 or as otherwise provided by the Prothonotary, application to the Commission for the following types of authority shall be published in the Pennsylvania Bulletin and, as directed by the Prothonotary, in a newspaper of general circulation serving the geographical territory affected by the application and shall be subject to a 15 day protest period.
(1) To initiate fixed utility service to the public, including the following:
(i) Electric.
(ii) Gas.
(iii) Telephone.
(iv) Water.
(v) Sewer.
(vi) Pipeline.
(vii) Radio-telephone common carrier service.
(2) To initiate, in a different nature or to a different territory than is currently authorized, fixed utility service to the public, including the following:
(i) Electric.
(ii) Gas.
(iii) Telephone.
(iv) Water.
(v) Sewer.
(vi) Pipeline.
(vii) Radio-telephone common carrier service.
(3) To abandon, in whole or in part, fixed utility service to the public, including the following:
(i) Electric.
(ii) Gas.
(iii) Telephone.
(iv) Water.
(v) Sewer.
(vi) Pipeline.
(vii) Radio-telephone common carrier service.
(4) To initiate rail utility service to the public.
(5) To initiate, in a different nature or to a different territory than is currently authorized, rail utility service to the public.
(6) To abandon, in whole or in part, rail utility service to the public.
(7) To acquire or transfer tangible or intangible utility property through sale, merger, consolidation, lease or transfer of stock.
(8) To acquire 5% or more of the voting stock of another corporation.
(9) To secure exemption under section 619 of the Pennsylvania Municipalities Planning Code (53 P. S. § 10619).
(10) To construct, alter or abandon, in whole or in part, or to change the status of a rail utility agency station or team track.
FORMAL COMPLAINTS § 5.21. Formal complaints generally.
(a) A person complaining of an act done or omitted to be done by a person subject to the jurisdiction of the Commission, in violation, or claimed violation of a statute which the Commission has jurisdiction to administer, or of a regulation or order of the Commission, may file a formal complaint with the Commission.
(b) If the complaint relates to a provision in a tariff, regulation, report or other similar document on file with the Commission as a matter of public record, the document should be identified.
(c) A copy of the complaint will be served by the Commission, by certified mail, upon the respondent. If the complaint proposes to change an existing or proposed tariff rate of a fixed public utility subject to the jurisdiction of the Commission, a copy of the complaint will be served by the Commission on the Office of Trial Staff, Office of Consumer Advocate and Office of Small Business Advocate.
(d) The filing of a formal compliant entitles the complainant to a formal hearing before the Commission except that the Commission may dismiss any complaint without a hearing if, in its opinion, a hearing is not necessary in the public interest. Motions may be filed in accordance with §§ 5.101 and 5.102 (referring to preliminary motion; and motions for summary judgment and judgment on the pleadings).
(e) With respect to complaints filed against the Commission, no answer need be filed. The issues in the proceeding will be determined by prehearing conference memoranda or as specified by the presiding officer.
(f) Subsections (a)--(e) supersede 1 Pa. Code § 35.9 (relating to formal complaints generally).
§ 5.22. Contents of formal complaint.
(a) A formal complaint shall set forth the following:
(1) The name and address of the complainant and the attorney of the complainant.
(2) The name and address of the respondent complained against and the nature and character of its business.
(3) The interest of the complainant in the subject matter--for example, customer, competitor, and the like.
(4) The act or thing done or omitted to be done or about to be done or omitted to be done by the respondent in violation, or claimed violation, of a statute which the Commission has jurisdiction to administer, or of a regulation or order of the Commission.
(5) A clear statement of the relief sought.
(b) A verification executed in accordance with § 1.36 (relating to verification) shall be attached to the formal complaint.
(c) A complaint by a public utility or other person or corporation subject to the act against a regulation or order of the Commission, which the complainant is or has been required to observe or carry into effect, shall be substantially in the form prescribed by subsection (a) and reference shall be made to the particular regulation, order or part thereof complained against and shall quote the pertinent portions thereof.
(d) Subsections (a) and (c) supersede 1 Pa. Code § 35.10 (relating to form and content of formal complaints).
§ 5.31. Staff-initiated complaints.
(a) A Commission bureau may commence a proceeding under statutory or other authority against a person by filing a complaint setting forth the grounds for the action. The complaint will contain a statement of the particular matter about which the bureau is complaining or inquiring, and the complaint will require that the respondent named respond in writing as provided in § 5.61 (relating to answers to complaints, petitions and motions).
(b) Whenever a party petitions the Commission to commence an action, the Secretary will refer the petition to the appropriate bureau for evaluation and disposition.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 35.14 (relating to orders to show cause).
§ 5.41. Petitions generally.
(a) Petitions for relief, other than those covered by §§ 5.42--5.44 (relating to petitions for declaratory orders; petitions for issuance, amendment, waiver or repeal of regulations; and petitions for appeal from actions of the staff) under the act or other statute that the Commission administers, shall be in writing, shall state clearly and concisely the grounds of interest of the petitioner in the subject matter, the facts relied upon and the relief sought. Petitions to intervene shall conform to the requirements of §§ 5.71--5.76 (relating to intervention).
(b) A copy of the petition shall be served on all persons directly affected and on other parties whom petitioner believes will be affected by the petition, including the Office of Consumer Advocate, the Office of Small Business Advocate and the Office of Trial Staff. The service shall be evidenced with a certificate of service filed with the petition.
(c) Subsection (a) supersedes 1 Pa. Code § 35.17 (relating to petitions generally).
§ 5.42. Petitions for declaratory orders.
(a) Petitions for the issuance of a declaratory order to terminate a controversy or remove uncertainty shall state clearly and concisely the controversy or uncertainty which is the subject of the petition, shall cite the statutory provision or other authority involved and shall include a complete statement of the facts and grounds prompting the petition, together with a full disclosure of the interest of the petitioner.
(b) A copy of the petition shall be served on the Office of Consumer Advocate, Office of Trial Staff, Office of Small Business Advocate and all persons directly affected and on other parties whom petitioner believes will be affected by the petition. The service shall be evidenced with a certificate of service filed with the petition.
(c) Copies shall also be served in compliance with Commission direction.
(d) Subsections (a)--(c) supersede 1 Pa. Code § 35.19 (relating to petitions for declaratory orders).
PROTESTS § 5.52. Content of a protest to an application.
(a) A protest to an application shall on its face set out clearly and concisely the facts from which the alleged interest or right of the protestant can be determined, the grounds of the protest and the facts establishing protestant's standing to protest.
(b) A person objecting to the approval of an application shall file with the Prothonotary and serve upon the applicant and applicant's attorney, if any, a written protest to the application which shall conform with the requirements of § 3.381(c)(1) (relating to applications for transportation of property and persons).
§ 5.53. Time of filing.
A protest shall be filed within the time specified in § 3.381(d) or § 3.502(d) (relating to applications for transportation of property and persons; and protests to applications for certificate of public convenience as a water supplier or wastewater collection, treatment and disposal supplier).
ANSWERS § 5.61. Answers to complaints, petitions and motions.
(a) Answers to complaints, petitions and motions shall be filed with the Commission within 20 days after the date of service, unless a different time is prescribed by statute or by the Commission.
(b) The answer shall be in writing and shall be set forth in paragraphs numbered to correspond with the complaint. Answers shall advise the parties and the Commission as to the nature of the defense. They shall admit or deny specifically all material allegations of the pleading answered, and state concisely the facts and matters of law upon which they rely.
(c) Except for complaints which are docketed with Commission-instituted rate proceedings, a respondent failing to file an answer within the applicable period shall be deemed in default, and relevant facts stated in the complaint or petition may be deemed admitted.
(d) For complaints which are docketed with Commission-instituted rate proceedings, an answer may be filed within the time specified. However, no answer is required, except as may be directed by the Commission or the presiding officer.
(e) Subsections (a)--(d) supersede 1 Pa. Code § 35.35 (relating to answers to complaints and petitions).
§ 5.62. Answers seeking affirmative relief or raising new matter.
(a) In its answer, a respondent may seek relief against other parties in a proceeding by reason of the presence of common questions of law or fact and shall set forth in its answer the facts constituting the grounds of complaint, the provisions of the statutes, rules, regulations or orders relied upon, the injury complained of and of the relief sought. The answer shall conform to the requirements of this chapter for answers generally.
(b) An affirmative defense shall be pleaded in an answer or other responsive pleading under the heading of ''New Matter.'' A party may set forth as new matter another material fact which is not merely a denial of the averments of the preceding pleading.
(c) A reply to new matter shall be filed within 20 days of the date of service of the answer or other pleading raising the new matter. Failure to file a timely reply to new matter shall be deemed in default, and relevant facts stated in the new matter may be deemed admitted.
§ 5.64. (Reserved).
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