[34 Pa.B. 5895]
[Continued from previous Web Page] § 1.59. Number of copies to be served.
* * * * * (b) The following number of copies of documents shall be served on other [participants] parties in a proceeding:
(1) Briefs:
(i) Service of hard copies--two copies.
(ii) Service by electronic means, when permitted--one copy.
(iii) Service by telefacsimile, when permitted--one copy.
* * * * *
Subchapter G. MATTERS BEFORE OTHER TRIBUNALS § 1.61. Notice and filing of copies of pleadings before other tribunals.
* * * * * (b) [A public utility subject to the jurisdiction of the Commission which files a petition under Chapter 7, 9, 11 or 13 of the United States Bankruptcy Code (11 U.S.C.A. §§ 701--766, 901--946, 1101--1174 and 1301--1330), its supplements and amendments, or against which the petition is filed, shall, within 10 days of the filing thereof or notification of the filing, file a copy of the petition with the Commission and with the Office of Consumer Advocate, 1425 Strawberry Square, Harrisburg, Pennsylvania 17120 and with the Office of Small Business Advocate, Suite 1102 Commerce Building, 300 North Second Street, Harrisburg, Pennsylvania 17101.] Upon filing of a petition for bankruptcy under the United States Bankruptcy Code (11 U.S.C.A. §§ 701--766, 901--946, 1101--1174 and 1301--1330) by a jurisdictional utility or licensee or by a parent, affiliate, or direct or indirect subsidiary of a utility or licensee, the utility or licensee shall file a copy of the petition with the Commission, the Office of Consumer Advocate and the Office of Small Business Advocate.
(c) [A public utility which is subject to the regulatory jurisdiction of the Commission, or the public utility trustee in bankruptcy, shall file a petition for Commission approval of a reorganization plan as to the public interest therein and the fairness thereof, accompanied by a copy of the plan within 10 days after the debtor has filed the plan, its supplements and amendments, or has received notice that the plan has been filed with the court.
(d)] A [public] jurisdictional utility [which] that is subject to the regulatory jurisdiction of the Commission, or its trustee in bankruptcy, shall file a [petition for Commission approval of a] copy of the reorganization plan [as to the public interest therein and the fairness thereof, accompanied by a copy of the plan] for itself or for its bankrupt parent, subsidiary or affiliate for Commission review within 10 days after the debtor has filed the plan, its supplements and amendments, or has received notice that the plan has been filed with the court.
[(1) The petition shall contain a concise statement of the relevant facts and set forth the grounds upon which Commission approval should be granted.
(2) If the reorganization plan contemplates the issuance of new securities or a change in the terms and conditions of securities already outstanding, the record shall be developed to show the same information which the Commission requires in securities certificates.
(3)] (d) If the reorganization plan submitted under subsection (c) contemplates the abandonment of service, the [petition shall] submittal must include an application under [section 1102(a)(2)] Chapter 11 of the act (relating to [enumeration of acts requiring certificate] certificates of public convenience). If a licensee's reorganization plan includes the abandonment of the license, the submittal shall include the appropriate pleading under Chapters 22 and 28 of the act (relating to natural gas competition; and restructuring of electric utility industry).
[(4) The Commission will make a finding and certify its approval or disapproval of the plan to the bankruptcy court in which the petition is filed.]
Subchapter H. PUBLIC ACCESS TO COMMISSION RECORDS § 1.71. Statement of objectives.
The [Commission intends to establish a] Commission's records maintenance system [which allows] is intended to provide for the greatest degree of public access to Commission documents that is consistent with the exercise of the functions of the Commission under the act and other applicable laws. [A] The Commission's system is [hereby created] designed to meet that objective and to give public notice of which classes of documents are available for inspection. The system provides a predictable standard, which nevertheless permits the Commission to take cognizance of the circumstances of individual requests for documents which may militate in favor of or against disclosure.
§ 1.72. [Formal] Content and review of formal case files.
* * * * * § 1.73. Fiscal records.
(a) Except as provided in subsection (b), an account, voucher or contract dealing with the receipt or disbursement of funds by the Commission or its acquisition, use or disposal of services or supplies, materials, equipment or other property shall be available during normal Commission business hours upon request made to the Commission fiscal office. Fiscal records are retained in accordance with time periods set by applicable statutory, regulatory and administrative requirements.
* * * * * § 1.76. Tariffs, minutes of [the] public [meeting] meetings and annual reports.
Tariffs, minutes of [the] public [meeting] meetings and annual reports [shall] must be available for public inspection and copying upon request to the Office of the Secretary during normal Commission business hours.
Subchapter I. AMENDMENTS [TO] OR WITHDRAWALS OF SUBMITTALS § 1.81. Amendments.
(a) An amendment to a submittal or pleading may be tendered for filing at any time and [shall] will be deemed filed [as of the date of tender] in accordance with § 1.11 (relating to date of filing) unless the Commission otherwise orders.
* * * * * § 1.82. Withdrawal or termination.
(a) A party, which desires to terminate an uncontested matter or proceeding before final decision by the Commission or otherwise desires to withdraw a submittal or pleading, shall file a petition for leave to withdraw the appropriate document. If no [participant] party objects to the petition within 10 days of service, the matter may be stricken by the Commission or by the presiding officer. If upon review the presiding officer or the Commission determines that the public interest requires continuation of the proceedings, the petition [shall] will be denied and the staff may be directed to participate.
* * * * *
Subchapter J. DOCKET § 1.86. Docket.
(a) The [Prothonotary] Secretary will maintain a docket of all proceedings, and each proceeding as initiated shall be assigned an appropriate designation. The docket shall be available for inspection and copying by the public during the Commission's office hours.
* * * * *
CHAPTER 3. SPECIAL PROVISIONS
Subchapter A. SPECIAL COMMISSION ACTIONS
EMERGENCY RELIEF § 3.1. Definitions.
The following words and terms, when used in this subchapter, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Emergency order--An ex parte order issued by a single Commissioner, the Commission, the Commission's Director of Operations [or Executive Assistant], or the Commission's Secretary in response to an emergency.
* * * * *
EX PARTE EMERGENCY ORDERS § 3.2. [Issuance] Petitions for issuance of emergency [order] orders.
[(a)] To the extent practicable, a petition for emergency [relief shall] order must be:
(1) In the form of a petition as set forth in § 5.41 (relating to petitions generally) and shall be served on the persons directly affected by the application.
(2) [Supported] A petition for emergency order shall be supported by [an affidavit verifying] a verified statement of facts which [establish] establishes the existence of an emergency[.], including facts to support the following:
(i) The petitioner's right to relief is clear.
(ii) The need for relief is immediate.
(iii) The injury would be irreparable if relief is not granted.
(iv) The relief requested is not injurious to the public interest.
[(3) Served on the persons directly affected by the application.
(b) When there is an actual or declared emergency, the Chairman, a Commissioner, the Commission's Director of Operations and the Executive Assistant and the Commission's Secretary have the authority to issue an emergency order.
(c) An emergency order shall be served as expeditiously as practicable upon the persons directly affected by the order.
(d) Notice of denial of a petition for emergency order by less than the full Commission shall be served by the Secretary with copies to Commissioners.]
§ 3.3. [Form] Disposition of ex parte emergency [order] orders.
(a) Authority. The Chairperson, a Commissioner, the Commission's Director of Operations and the Commission's Secretary have the authority to issue an emergency order.
(b) Form. An emergency order shall be issued in writing and shall be filed with the [Prothonotary] Secretary with copies to Commissioners, and the Director of Operations.
(c) Ratification. An emergency order or the denial of a petition for emergency order issued by a single Commissioner or the Director of Operations or the Commission's Secretary will be ratified, modified or rescinded by the Commission at the next scheduled public meeting after issuance of the order.
(d) Service. An emergency order or the denial of a petition for emergency order will be served by the Secretary as expeditiously as practicable upon the persons directly affected by the decision with copies to the Commissioners and the Director of Operations.
§ 3.4. [Hearing on] Hearings following issuance of emergency [order] orders.
(a) [Upon petition by a] A person against whom an emergency order is issued[,] may file a petition for an expedited hearing [before a presiding officer will be conducted within 10 days] to determine whether [or not] the emergency order will remain in effect. The petition must conform to the form and service requirements in §§ 5.41--5.44 (relating to petitions generally).
(b) The petition for expedited hearing shall be [served upon the Commission with] filed with the Secretary and a copy [to] served upon the Chief Administrative Law Judge. [The presiding officer will take into account the irreparable harm, if any, which staying or continuing the emergency order would cause the public interest or the person directly affected.]
(c) The hearing will be held before a presiding officer within 10 days of receipt of the petition by the Secretary.
[(b)] (d) If the emergency order is issued by a single Commissioner or the Director of Operations [or the Executive Assistant,] or by the Commission's Secretary, then the presiding officer will have the authority to stay the effect of the order until the next scheduled public meeting.
(e) The decision of the presiding officer will constitute a [recom-mended] recommended decision to be acted upon by the Commission at its next scheduled public meeting.
§ 3.5. [Ratification of emergency order] (Reserved).
[(a) An emergency order issued by a single Commissioner or the Director of Operations or the Executive Assistant or the Commission's Secretary will be ratified, modified or rescinded by the Commission at the next scheduled public meeting after issuance of the order.
(b) When a petition for emergency order has been denied by less than the full Commission, the denial will be deemed ratified by the Commission if the Commission does not act to the contrary during the first public meeting after the Secretary served the notice of its denial.]
INTERIM EMERGENCY RELIEF § 3.6. Petitions for interim emergency orders.
(a) A party may submit a petition for an interim emergency order during the course of a proceeding. The petition must be filed with the Secretary and served contemporaneously on the Chief Administrative Law Judge and on the parties.
(b) To the extent practicable, a petition for an interim emergency order shall be in the form of a petition as set forth in § 5.41 (relating to petitions generally). A petition for an interim emergency order [may be submitted by a participant during the pendency of a proceeding and, to the extent practicable, shall] must be supported by [an affidavit verifying] a verified statement of facts which [establish] establishes the existence of the need for interim emergency relief[.], including facts to support the following:
(1) The petitioner's right to relief is clear.
(2) The need for relief is immediate.
(3) The injury would be irreparable if relief is not granted.
(4) The relief requested is not injurious to the public interest.
[(b) An allegation contained]
(c) Allegations set forth in the petition shall be deemed to have been denied by the opposing parties, and an answer is not required. [If a participant desires,] A party may file an answer in the form set forth in § 5.61 (relating to answers to complaints, petitions and motions) [may be filed] no later than 5 days after [receipt] service of a copy of the petition.
[(c) No other]
(d) Other pleadings, memoranda or briefs related to a petition for interim emergency [orders] order are not permitted unless specifically requested by the presiding officer.
[(d) A copy of the petition shall be served on the Chief Administrative Law Judge at the same time the petition is filed with the Prothonotary and served on the participants.]
§ 3.6a. Hearing on petitions for interim emergency orders.
An interim emergency order may not be issued until the presiding officer holds a hearing on the merits of the petition. The hearing must be held within 10 days of the filing of the petition.
§ 3.7. Issuance of interim emergency orders.
[(a) A presiding officer may issue an interim emergency order upon finding that the following exist:
(1) The petitioner's right to relief is clear.
(2) The need for relief is immediate.
(3) The injury would be irreparable if relief is not granted.
(4) The relief requested is not injurious to the public interest.
(b) An order granting or denying interim emergency relief will be issued within 15 days of receipt of the petition.
(c) An interim emergency order or an order denying interim emergency relief shall be served as expeditiously as practicable on the participants.]
(a) A presiding officer will issue an order granting or denying interim emergency relief within 15 days of the filing of the petition.
(b) An order granting a petition for interim emergency relief will set forth the findings required by § 3.6(b) (relating to hearing on petitions for interim emergency orders).
(c) An interim emergency order or an order denying interim emergency relief will be served as expeditiously as practicable on the parties.
§ 3.8. Form of interim emergency orders.
[An order granting or denying interim emergency relief shall:
(1) Contain a brief description of the evidence presented in support of or in opposition to the petition and shall specify how that evidence meets or fails to meet the criteria in § 3.7 (relating to the issuance of interim emergency orders).
(2) If relief is granted, determine whether or not a bond--in form satisfactory to the Chief Administrative Law Judge--shall be posted by the petitioner.
(3) If a bond is required, determine the amount of the bond.]
(a) An order following a hearing on a petition for interim emergency relief must include:
(1) A brief description of the evidence presented.
(2) A grant or denial of the petition.
(b) An order following a hearing on a petition for interim emergency relief may require a bond to be filed in a form satisfactory to the Secretary and must specify the amount of the bond.
§ 3.9. [Hearings on petitions for interim emergency orders] (Reserved).
[No interim emergency order may be issued until the presiding officer holds a hearing on the merits of the petition. The hearing shall be held within 10 days of the receipt of the petition.]
§ 3.10. Commission review of interim emergency orders.
* * * * * (b) When the presiding officer rules upon the petition for an interim emergency order, the presiding officer shall also certify the question of the [granting] grant or denial of relief to the Commission as a material question in the form set forth in § 5.305 (relating to interlocutory review of a material question submitted by a presiding officer). Thereafter, the [participants] parties and the Commission shall follow the procedures in § 5.305, if applicable.
Subchapter B. INFORMAL PROCEEDINGS GENERALLY
INFORMAL COMPLAINTS AND INVESTIGATIONS
APPLICATIONS
INFORMAL COMPLAINTS § 3.111. Form and content of informal complaints.
* * * * * (b) Informal complaints [in rate cases should be filed with] shall be submitted to the [Prothonotary. Other informal complaints must be filed with the] Secretary for referral to the appropriate bureau, addressed to the following: Pennsylvania Public Utility Commission, [Bureau of Consumer Services,] Post Office Box 3265, Harrisburg, Pennsylvania 17105-3265.
* * * * * § 3.112. Action on informal complaints.
(a) [Upon receipt of] Filing. The Secretary will place a copy of an informal complaint related to a docketed matter[, a copy of the informal complaint will be placed] in the official document folder.
(b) Commission staff review.
(1) [Except] Commission staff will review the informal complaint to determine whether the subject matter is within the Commission's jurisdiction, 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].
(2) Commission staff will evaluate the allegations of the complaint, and, if warranted, institute an informal investigation.
(3) [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)] (c) Commission staff action. 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] submission or [a] withdrawal of an informal complaint is without prejudice to the right of the complainant to file and prosecute a formal complaint.
[(c)] (d) Caveat. The [filing] submission of an informal complaint does not entitle complainant to a formal hearing before the Commission.
[(d)] (e) Supersession. [Subsection] Subsections (a)--(d) [supersedes] supersede 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] Under 65 Pa.C.S. Chapter 7 (relating to Sunshine Act), the Commission's official actions [take place at a public meeting, subject to certain limited exceptions.] resolving informal complaints will be as follows:
[(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:]
* * * * * (3) When the utility, or other person [or corporation] subject to [its] the Commission's 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] consideration of the settlement or approval of the utility's action will [be considered] occur 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.
Subchapter D. CROSSING PROCEEDINGS § 3.361. Crossing complaints.
(a) Whenever a complaint is made under section 2702 of the act (relating to construction, relocation, suspension and abolition of crossings) that a crossing is dangerous or inadequate and requires reconstruction, relocation, alteration or abolition, public utilities, owners of the railroad right-of-way and municipal corporations concerned and, if applicable, the Department of Transportation of this Commonwealth, will be made parties respondent.
* * * * * § 3.363. Claims for property damages from crossings.
(a) Claims for property damage for property taken, injured or destroyed shall conform with all the following requirements:
* * * * * (2) Follow, in general as to form and content, the [Form F set forth in § 3.551 (relating to official forms)] form available from the Secretary.
* * * * *
Subchapter G. WATER OR WASTEWATER UTILITY PROCEEDINGS § 3.501. Certificate of public convenience as a water supplier or wastewater collection, treatment [and] or disposal provider [supplier].
[(a) Applicant. An applicant for a certificate of public convenience as a public water or wastewater collection, 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 to metered 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.]
(a) Applicability. This section applies to utilities, including de facto utilities, that seek a certificate of public convenience as a new water supplier, wastewater collection treatment or disposal provider.
(b) Application requirements. Applications under this section must conform to §§ 1.31 and 1.32 (relating to requirements for documentary filings; and form of documents), and include a mode of payment as prescribed by § 1.42 (relating to mode of payment of fees) and in the amount delineated in § 1.43 (relating to schedule of fees payable to the Commission). The Commission may reject an application which fails to conform to this subsection or which fails to include the required information and documents, as further specified in the forms in subsection (c). An affidavit of service showing the identity of those served under subsection (d) must accompany the original and the copies of the application filed with the Commission.
(c) Application forms and filing. Application forms are available from the Secretary and include the following:
(1) Application for a certificate of public convenience as a water supplier or wastewater collection, treatment or disposal provider.
(2) Application by a certificated public utility for approval to begin to offer and supply service to an additional territory.
(3) Application for a certificate of public convenience to abandon service.
(4) Application for Commission approval to transfer all tangible or intangible assets used or useful in the public service.
[(c)] (d) 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, once a week 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)] (e) Copies.
(1) At the time of filing, the applicant shall [cause] serve a complete copy of the application with exhibits [to be served] by registered or certified mail, return receipt requested, upon:
[(1)] (i) Each city, borough, town, township, county and each related planning office which is included, in whole or in part, in the proposed service area.
[(2)] (ii) A water or wastewater utility, municipal corporation or authority which provides water or wastewater collection, treatment [and] or disposal service to the public and whose service area abuts the service area proposed in the application.
(2) The applicant shall provide notice of filing of the application to a water or wastewater utility, municipal corporation or authority which provides water or wastewater collection, treatment or disposal service to the public and whose service area is within 1 mile of the service area proposed in the application. Upon request, the applicant shall provide a complete copy of the application and exhibits to these persons.
* * * * * § 3.502. Protests to applications for certificate of public convenience as a water supplier or wastewater collection, treatment [and] or disposal [supplier] provider.
(a) Protests generally. A person objecting to the application shall file with the [Prothonotary] Secretary and serve upon the applicant or applicant's attorney, if any, a written protest which [shall] must contain the following:
* * * * * (3) The name, business address, Pennsylvania attorney identification number and telephone number of the protestant's attorney or other representative.
* * * * * (b) Participation in proceeding. Upon the filing of a timely protest in appropriate and legally sufficient form, the protestant will be allowed to participate in the proceeding as a party intervenor.
* * * * *
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.
(15) Application for electricity or electric generation supplier license.
(16) Application for natural gas supplier license.] Forms for applications, petitions, complaints and other matters are available on the Commission's website or from the Secretary of the Commission, Post Office Box 3265 Harrisburg, Pennsylvania 17105-3265; (717) 772-7777.
Subchapter I. REGISTRATION OF SECURITIES § 3.601. General.
* * * * * (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] in a form consistent with §§ 1.31 and 1.32 (relating to requirements for documentary filings; and form of documents), accompanied by [a money order, certified check or bank cashier's check made payable to the Commonwealth of Pennsylvania] payment in the amount provided in § 1.43 (relating to schedule of fees payable to the Commission) and in a payment mode provided for in § 1.31.
(c) Form. The securities certificate shall [be consistent with] provide information required by the form available from the Commission [and shall include the following information] or shown on its Web site 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 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.
* * * * * (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.] Secretary and setting forth the following information:
(1) The name and address of the public utility.
(2) The title or capacity of the representative of the public utility executing the letter.
(3) The designation of the securities to be issued or assumed and the approximate number of shares, principal amount, or other units proposed to be issued or assumed.
(4) A statement setting forth the specific subsections that qualifies the issuance of the abbreviated procedure together with the underlying calculations, where applicable.
(5) A verification or affidavit conforming to § 1.36 (relating to verifications and affidavits) in compliance with section 1902 of the act.
(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] Secretary. [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]
(1) 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] if no order of rejection has been entered after 10 days from the filing of a securities certificate.
(2) Prior to the expiration of the 10-day period, the Secretary may extend the 10-day consideration period to not more than a total of 30 days upon notification of the public utility served. Further extension to the period shall be by the order of the Commission.
* * * * *
CHAPTER 5. FORMAL PROCEEDINGS
Subchapter A. PLEADINGS AND OTHER PRELIMINARY MATTERS
GENERAL PROVISIONS § 5.1. Pleadings allowed.
(a) The pleadings in an action before the Commission [shall] include the following:
* * * * * (2) Formal complaint [and], answer, new matter and reply to new matter.
* * * * * (5) Preliminary [motions] objections.
(6) Motions.
(b) A pleading except a preliminary [motion] objection may be subject to a preliminary [motion] objection as set forth in § 5.101 (relating to preliminary [motion] objections).
APPLICATIONS § 5.12. Contents of applications.
(a) [If] Applications shall conform to this section unless 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]:
(1) Be in writing[,].
(2) [shall state] State clearly and concisely the authorization or permission sought[,].
(3) [shall cite] Cite by appropriate reference the statutory provisions, regulations or other authority under which the Commission authorization or permission is sought[, and shall].
(4) [set] 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)] (i) The exact legal name of the applicant[, and, if the applicant is a corporation, trust, association or other entity, the].
(ii) 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, when the applicant is a corporation, trust, association or other entity.
[(2)] (iii) The name, title [and], post office address, telephone number and electronic mail address, if available, of the person to whom correspondence or [communications] communication in regard to the application [are] is to be addressed. The Commission will serve, [where] when required, notices, orders and other papers upon the person named, and service shall be deemed to be service upon the applicant.
* * * * * § 5.13. Applications for construction or alteration of crossings.
* * * * * (b) Plans submitted for the construction, relocation, alteration, protection or abolition of a crossing complained against shall be accompanied by the names and post office addresses of the record owners of all property necessary to be acquired in the execution thereof, and shall, when directed by the Commission, be supplemented by a description by metes and bounds of all property necessary to be acquired.
§ 5.14. Applications requiring notice.
(a) [An application] Notice of applications 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 Secretary under § 1.51 (relating to instructions for service and notice):] must be published in the Pennsylvania Bulletin.
(b) The Secretary may require additional publication or notification in one or more of the following ways:
(1) Publication in [the Pennsylvania Bulletin.
(2) Publication in] a newspaper of general circulation serving the geographical territory affected by the application.
[(3)] (2) * * *
[(4)] (3) Another form of actual or constructive notification [as may be required by the Secretary], including service of the application on interested persons.
[(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 and 57.74--57.77 or as otherwise provided by the Secretary, application to the Commission for the following types of authority shall be published in the Pennsylvania Bulletin and, as directed by the Secretary, 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) Wastewater.
(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) Wastewater.
(vi) Pipeline.
(vii) Radio-telephone common carrier service.
(3) To abandon, in whole or in part, fixed utility service to the public, including to the following:
(i) Electric.
(ii) Gas.
(iii) Telephone.
(iv) Water.
(v) Wastewater.
(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.]
(c) Deadlines for filing protests to applications are governed by § 5.53 (relating to time of filing for protests).
FORMAL COMPLAINTS § 5.22. [Contents] Content of formal complaint.
(a) A formal complaint shall set forth the following:
(1) The name [and], mailing address, telephone number, telefacsimile number, and electronic mailing address, if applicable, of the complainant [and].
(2) If complainant is represented by an attorney, the name, mailing address, telephone number, telefacsimile number and attorney identification number of the attorney [of the complainant].
[(2)] (3) The name [and], mailing address and certificate or license number of the respondent complained against, if known, and the nature and character of its business.
[(3)] (4) * * *
[(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 and concise statement of the act or omission being complained of.
[(5)] (6) A clear and concise statement of the relief sought.
(7) Except as provided in § 5.21(b) (relating to formal complaints generally), a copy of a writing, or the material part thereof, must be attached when a claim is based upon a writing. If the writing or a copy is not accessible, the complaint must set forth that the writing is not accessible and the reason, and set forth the substance of the writing.
* * * * * (c) A complaint brought 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,] licensed by the Commission regarding the act, a regulation or order of the Commission shall be substantially in the form prescribed by subsection (a) [and]. The complaint must reference [shall be made to the particular] the regulation[,] or order [or part thereof complained against] and shall quote the pertinent portions thereof.
* * * * * § 5.24. Satisfaction of formal complaints.
(a) If the respondent satisfies a formal complaint either before or after a hearing, [a statement to that effect signed by] the complainant shall [be filed] file with the Commission [setting] a statement to that effect. The statement shall set forth that the complaint [has been setting] is satisfied and that the complaint [is withdrawn] docket should be marked closed. [Except as requested by the parties, the] The presiding officer [will] is not [be] required to render a decision upon the satisfaction of a complaint unless the parties request one for good cause.
(b) In lieu of the statement [set forth in] required by subsection (a), the respondent may certify to the Commission that it has satisfied the complaint and one of the following:
(1) [that] That the complainant has acknowledged satisfaction to the respondent.
(2) That the complainant has acknowledged to the respondent that the complainant no longer wishes to pursue the complaint.
(c) In [such] the case of certification of satisfaction under subsection (b), the respondent shall serve a copy of its certification upon the complainant. Unless the complainant objects to the certification within 10 days of its filing, the complaint docket shall be [withdrawn] marked closed.
[(c)] (d) Subsections (a) [and (b)]--(c) supersede 1 Pa. Code § 35.41 (relating to satisfaction of complaints).
§ 5.31. Staff-initiated complaints.
(a) A Commission bureau may commence a proceeding [under] pursuant to statutory or [other] regulatory authority [against a person] or pursuant to delegation by the Commission by filing a complaint [setting forth the grounds for the action]. The complaint [will] shall 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] file a written answer in the form required by § 5.61 (relating to answers to complaints, petitions and motions).
* * * * *
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