NOTICES
Implementation of Act 129 of 2008; Phase 2—Registry of Conservation Service Providers
[43 Pa.B. 598]
[Saturday, January 26, 2013]Public Meeting held
January 10, 2013Commissioners Present: Robert F. Powelson, Chairperson; John F. Coleman, Vice Chairperson; James H. Cawley; Wayne E. Gardner; Pamela A. Witmer
Implementation of Act 129 of 2008 Phase 2—Registry of Conservation Service Providers;
Doc. No. M-2008-2074154
Tentative Order By the Commission:
On February 5, 2009, the Pennsylvania Public Utility Commission (Commission) adopted an order that established the minimum experience and qualification requirements each conservation service provider (CSP) must meet to be included on the CSP registry, in accordance with Act 129 of 2008, 66 Pa.C.S. § 2806.2.1 This 2009 CSP Registry Order also established the application for registration and the registration fee. During the more than three years since the establishment of the CSP registry, the Commission, electric distribution companies (EDCs) and CSPs have gained experience and knowledge in registering and qualifying CSPs to implement the Act 129 energy efficiency and conservation (EE&C) program. Based on this experience and newfound knowledge, the Commission proposes, through this Tentative Order, changes to the CSP application process and package and seeks comments on these proposed changes.
Background and History of this Proceeding
Act 129 of 2008 (Act or Act 129) was signed into law on October 15, 2008, which took effect on November 14, 2008. Among other things, the Act created an energy efficiency and conservation program, codified in the Pennsylvania Public Utility Code at Sections 2806.1 and 2806.2, 66 Pa.C.S. §§ 2806.1 and 2806.2. Under this program an EDC with at least 100,000 customers must adopt a plan, approved by the Commission, to reduce electric consumption and peak demand as set forth by the Act or the Commission.
The Act also required the Commission to establish, by March 1, 2009, a registry of approved persons qualified to provide conservation services to all classes of customers. 66 Pa.C.S. § 2806.2(a). The Act further required the Commission to develop an application for registration and permitted the Commission to charge a reasonable registration fee. 66 Pa.C.S. § 2806.2(b). The Act defined a conservation service provider as ''an entity that provides information and technical assistance on measures to enable a person to increase energy efficiency or reduce energy consumption and that has no direct or indirect ownership, partnership or other affiliated interest with an [EDC].'' 66 Pa.C.S. § 2806.1(m). Finally, the Act required each EDC plan to ''include a contract with one or more conservation service providers selected by competitive bid to implement the plan or a portion of the plan as approved by the Commission.'' 66 Pa.C.S. § 2806.1(b)(1)(i)(e).
On February 5, 2009, the Commission adopted a Final Order that established the CSP registry and the minimum experience and qualification requirements for registered CSPs.2 In addition, the Commission adopted an application form for CSP registration and established an application and renewal fee.3
Discussion
With this Tentative Order, the Commission is soliciting comments on proposed revisions to the CSP registration process and application. After more than three years of experience processing CSP registration applications, the Commission wishes to make certain modifications to address recent internal organizational changes and to improve the CSP registration process. These proposed modifications do not alter the minimum requirements for CSP registration established by the 2009 CSP Registry Order. It is our intent, however, to provide clarity regarding the minimum information applicants must provide in order to expedite the processing of approving CSP registry applications and maintain an up-to-date CSP registry. Below, we discuss the proposed changes to the CSP registry application and approval process for which we seek comment.
A. Registration Process
As proposed, the application review process set forth in the 2009 CSP Registry Order remains unchanged except for the responsible Commission bureau, the CSP application and the addition of forms for updating CSP information and renewing registration. The proposed modifications to the registration process relate to the elimination of the requirement to file an electronic copy of the application, a revised application package provided in Annex A and the addition of CSP registry change and renewal forms provided in Annex B. The proposed new forms are meant to expedite the process and reduce the administrative burdens for updating CSP registration information and renewing CSP registration. We note that CSPs with current and up-to-date registrations will not be required to submit the proposed new application unless there is a change to their current application or they renew their registration. The three templates are titled as follows:
• Template No. 1 ''Application for Renewal of CSP Registration—No Changes Incurred to Application of Record''
• Template No. 2 ''Application for Renewal of CSP Registration—Changes Incurred to Application of Record''
• Template No. 3 ''Application to Update CSP Registration''
As established in the 2009 CSP Registry Order, an initial application for entry into the Commission's CSP registry shall be made on the form proposed in Annex A of this Tentative Order. A copy of the application may be obtained from the Commission's Secretary and will be made available on the Commission's website. An application for entry into the CSP registry shall be verified by an oath or affirmation as required in 52 Pa. Code § 1.36 (relating to verification). An original, signed copy of the completed application and supporting attachments shall be filed with the Secretary's Bureau with a copy to the Bureau of Technical Utility Services (TUS). The non-refundable new application fee shall be maintained at $125 and be submitted in a form as proscribed in 52 Pa. Code § 1.42.
As also established in the 2009 CSP Registry Order, the Commission will continue to require all registered CSPs to re-qualify every two years in order to maintain a relatively current registry. A non-refundable application renewal fee shall be maintained at $25 and be submitted in a form as proscribed in 52 Pa. Code § 1.42. The Commission also expects registered CSPs to notify the Commission, in writing, of any changes to the information provided in its initial and any renewal applications. To expedite the process for the filing of updated information and renewal applications, the Commission proposes to use the forms Template for Renewal or Update of Conservation Service Provider Registration, as provided in Annex B of this Tentative Order. When there are no changes to the initial application, the Applicant may use this template as a petition for renewal of CSP registration by checking off and completing the first option and enclosing an Affidavit and proof of current liability insurance coverage. In summary, if filing a two-year renewal and there are no changes to the application, the CSP would file Template #1 and an Affidavit from Annex B along with proof of current liability insurance coverage.
When there are changes to the initial application and no previous petitions for renewal or update of CSP application have been filed, the applicant may check off the second option on the template and identify the items, parts and subparts of its initial application that have changed. As with the first option, an Affidavit and proof of current liability insurance coverage will also be required. In summary, if filing a two-year renewal and there are changes to the application, the CSP would file Template #2 and an Affidavit from Annex B along with a new application from Annex A and proof of current liability insurance coverage.
In the event that an applicant is simply updating an application, the Commission proposes that the CSP use Template #3 and an Affidavit from Annex B along with an entire application from Annex A. There is no filing fee for updating current approved CSP Application information.
As specified in the 2009 CSP Registry Order, the application, with supporting attachments, must be completed in its entirety. Incomplete applications and those without supporting attachments, when needed, will be rejected without prejudice. Commission staff will review all applications for completeness within 20 days of their filing. Commission staff will act on a completed application within 30 days of receipt.
Due to the reorganization of the Commission, all CSP registry applications will be reviewed by the Bureau of Technical Utility Services (TUS) to determine if the applicant is financially responsible and has the minimum technical experience and qualifications. If the application is approved by TUS, the Applicant will be notified via Secretarial Letter and placed on the registry. If TUS determines that an application should be denied, a Secretarial Letter will be issued to notify the applicant and provide a brief explanation for the denial. As established in the 2009 CSP Registry Order, denials may be appealed to the Commission consistent with the provisions found in 52 Pa. Code § 5.44 (relating to petitions for appeal from actions of staff).
B. Application Package
As stated above, we propose the use of the modified application form contained in Annex A of this order. This revised CSP application was shortened from 11 pages to 7 pages. All of the items appearing on the original application also appear on the revised form, with the exception of those changes detailed and discussed in sections C and D of this order. The items in the original application were reorganized to group similar requirements into four primary sections: 1—Identity of Applicant; 2—Registered Agent; 3—Applicant's Operations; and 4—Compliance.
To clarify and emphasize the importance of an applicant's identity and business associations relative to the CSP registration process, Section 1 in the revised application—Identity of Applicant, combines information formerly addressed in the original application sections 1—Identity of the Applicant; 2—Contact Person; 4—Fictitious Name; and 6—Affiliates and Predecessors within Pennsylvania. The identification of contract and business partnerships are newly proposed items contained in the revised application that are specifically addressed in section C below.
To facilitate the application process, Section 2 of the revised application—Registered Agent, is a combination of all information relating to the applicant's required filing with the Pennsylvania Department of State (Department) and use of a registered agent, if applicable, that were addressed previously in Section 3 (relating to registered agent) and Section 5 (relating to business entity and Department filings) in the original application. Occasionally, applicants would file for CSP registration without having appropriately registered with the Department, causing confusion and unnecessary delays in processing the application.
Section 3 of the revised application—Applicant's Operations, is a combination of sections 7, 8, 14 and 15 in the original application, relating to applicant's present and proposed operations, as well as the applicant's technical fitness and financial responsibility. These items were consolidated to avoid duplication of information. The proposed change should simplify the application review process by providing categories for applicants to identify themselves, their proposed services and the EDC business partners of interest.
The Commission also proposes to eliminate use of the Tax Certification Statement, referenced in Section 9 of the original application, and add a requirement for proof of current liability insurance coverage. These modifications are addressed in more detail in section D of this order.
Section 4 of the revised application—Compliance, consolidates all items contained in sections 10, 11, 12 and 13 of the original application. This consolidation helps applicants understand important compliance issues for CSP registration, such as: criminal convictions, tax delinquency, bankruptcy or liquidation proceedings, and customer complaints. The remaining Sections 5 through 8 that appear on the revised application are consolidated from various sections on the original application.
C. Conservation Service Provider Identity Information
The Act defines a CSP as ''an entity that provides information and technical assistance on measures to enable a person to increase energy efficiency or reduce energy consumption and that has no direct or indirect ownership, partnership or other affiliated interest with an electric distribution company.'' 66 Pa.C.S. § 2806.1(m). As the Commission and EDCs must be able to identify the type of entity a CSP is and confirm that it is not owned, partnered or affiliated with an EDC, the Commission proposes requiring all CSP registry applicants to provide the following information relating to their identity:4
1. Legal name of the Applicant and proof of compliance with appropriate Department filing requirements.5
2. Trade or Commercial or Fictitious names used by Applicant.
3. Contact information for principal place of business and for Applicant, if different from its principal place of business.
4. Names and contact information for any predecessor, parent and subsidiary companies and affiliates and disclosure if any are currently doing business in Pennsylvania as a CSP or EDC.
5. Disclosure of any contracts or business partnerships that the Applicant has with a CSP or EDC.
6. Names of principal officers, an organizational chart, and contact information for each office.
7. Brief biographies or resumes for all principal officers and management directly responsible for Applicant's operations.
8. Department registered agent contact information, if applicable.
9. Signature of principal official filing application on behalf of Applicant and printed name and title of that official.
10. Affidavit of principal official attesting to the accuracy of information provided.
11. Registration fee in a form prescribed in 52 Pa. Code § 1.42.
As indicated above, we propose adding a requirement for the disclosure of any business partnership or contract that the Applicant has with a CSP or an EDC. This past year the Commission has encountered a pattern of sub-contractual arrangements being created by CSPs due to mergers and acquisitions and by EDCs due to the bundling of multiple CSP contracts into a single contract/sub-contract business relationship. As stated in the 2009 CSP Registry Order, the Commission believes that the Act is clear and free from all ambiguity with respect to the requirement that a CSP can have no direct or indirect ownership, partnership or other affiliated interest with an electric distribution company.6 To ensure that this provision of the Act is complied with, we propose requiring disclosure of contracts, subcontracts and partnerships that the Applicant currently has with any EDC or registered CSP. We further propose that registered CSPs update this information on a continuing basis. Additionally, we are also proposing to require that any CSP sub-contractor that is directly performing services under the contractual obligations of an EDC contracted CSP to also be registered as a CSP.
With regard to the proposed requirement for Department registered agent information, the Commission emphasizes that there exists varied statutory obligations for entities conducting business in the Commonwealth. To facilitate timely review of CSP applications, it is imperative that an applicant that does not maintain a principal office in the Commonwealth to have appropriately registered with the Department. Failure to do so significantly delays the CSP application process. Therefore, the Commission proposes to include a notice in the application for applicants with no principal office in the Commonwealth to register with the Department and to provide contact information for a Department-approved registered agent when filing their CSP application.
Finally, we propose to require a signature of a principal official. This is being proposed to ensure that the Commission has contact information for a principal officer of all registered CSPs. We believe that provision for the identity and signature of the Applicant's principal officer will reduce the time and resources allocated to the CSP renewal application process.
D. Evidence of Financial Responsibility
As the Commission will permit, and expect, each EDC to establish financial fitness and insurance or bonding standards commensurate with the type and scope of work to be performed by a CSP, the Commission is requesting information that will focus on whether the CSP is financially responsible. As it currently stands, an applicant could establish financial responsibility by submitting a tax certification statement, proof of adequate insurance, and disclosure of any bankruptcies, tax delinquencies and fraud convictions. As such, the Commission does not require the submission of financial statements and tax returns and has established the criteria for disclosure and assessment of an applicant's financial standing.7 However, due to the potential conflicts associated with privacy and right-to-know laws, we propose to eliminate the Tax Certification Statement in Appendix A of the original application. We instead propose to require documented evidence of current liability insurance coverage, which we believe is pertinent and essential. We believe that the ability to acquire adequate liability insurance coverage provides a more reliable indicator of financial responsibility than the tax certification statement.
Finally, the proposed revised application form consolidates the minimum technical and financial information to be filed by a CSP applicant. The modified application also consolidates and segregates financial compliance issues to highlight the financial standing of CSP applicants and to assure full disclosure.
Conclusion
In summary, the Commission is proposing the use of a revised CSP application, which has been reformatted and contains slightly modified minimum requirements for CSP registration, which is in Annex A of this order. Also proposed is the use of three templates relating to CSP information updates and renewal applications, which are in Annex B of the order. These proposed changes are intended to clarify and expedite the CSP application review process while facilitating the maintenance of a current and up-to-date CSP registry. The Commission invites comments on the usefulness of the proposed revised CSP application, the newly created CSP templates, and the two modifications to the minimum requirements, the elimination the Tax Certification Statement and the requirement for a certificate of current liability insurance.
Therefore,
It Is Ordered That:
1. The Commission hereby proposes changes to the Application for Registration as a Conservation Service Provider as found in Annex A of this Tentative Order.
2. The Commission hereby proposes changes to the application renewal and information update processes for Conservation Service Providers through the use of three templates as found in Annex B of this Tentative Order.
3. This Tentative Order be published in the Pennsylvania Bulletin and served on the Office of Consumer Advocate, the Office of Small Business Advocate, the Commission's Bureau of Investigation and Enforcement, and all jurisdictional electric distribution companies.
4. Interested parties shall have 30 days from the date this Tentative Order is published in the Pennsylvania Bulletin to file comments referencing Docket Number M-2008-2074154 to the Pennsylvania Public Utility Commission, Attention: Secretary, P. O. box 3265, Harrisburg, PA 17105-3265.
5. Interested parties shall have 50 days from the date this Tentative Order is published in the Pennsylvania Bulletin to file reply comments referencing Docket Number M-2008-2074154 to the Pennsylvania Public Utility Commission, Attention: Secretary, P. O. box 3265, Harrisburg, PA 17105-3265.
6. The Commission's Bureau of Technical Utility Services shall maintain and administer the CSP registry, as outlined in this Tentative Order.
7. The contact person for technical issues related to this Tentative Order is Annunciata Marino, Bureau of Technical Utility Services, 717-772-2151 or annmarino@ pa.gov and the contact person for legal and process issues related to this Tentative Order is Kriss Brown, Law Bureau, 717-787-4518 or kribrown@pa.gov.
ROSEMARY CHIAVETTA,
Secretary
Annex A
Instructions for Conservation Service Provider (CSP) Application for Registration in the Commonwealth of Pennsylvania
Do not include these instructions with the filing
of the ApplicationThe attached application form is for those entities that desire listing on the Public Utility Commission's registry of qualified conservation service providers (''CSP''), as defined by Act 129 of 2008. An entity that is directly or indirectly owned, partnered or in any way affiliated with an electric distribution company (''EDC'') is not eligible for the registry.
Only registered CSPs may advise an EDC and/or provide consultation, design, or administration or management services to an EDC related to the implementation of the EDC's Energy Efficiency and Conservation Plan. To qualify an applicant must have at least two years of experience in providing program consultation, design, administration, management or advisory services related to energy efficiency and conservation services. CSP registration is not required of entities that limit their services to the installation of energy efficiency measures or the provision of equipment or materials to EDC customers or the public in general.
You may use the attached form to make your application. If you need more space than is provided on this form or if you are attaching exhibits, attach additional pages and exhibits immediately following the page containing the item(s) being addressed. Certified copies of documents from Commonwealth agencies or departments are not required.
Complete and sign the application and attest to the truth and accuracy of your responses to all application questions by signing and notarizing the enclosed Affidavit. File the application and Affidavit with the Secretary's Bureau as instructed in the application.
Failure to adequately respond to each question on the application may result in denial of your application for registration. Questions pertaining to completion of this application may be directed to Annunciata Marino, Utility Energy and Technology Analyst, Bureau of Technical Utility Services at (717) 772-2151.
If your response to any of the items on this application changes during the pendency of your application or if the information relative to any item herein changes while you are operating as an approved CSP within the Commonwealth of Pennsylvania, you are under a duty to so inform the Commission as to the specifics of any changes by completing a Petition for Update of Conservation Service Provider Application. A template for this Petition is provided on the Commission's website at: http://www.puc.state.pa.us/utility_industry/electricity/conservation_service_providers_registry.aspx.
On Matters Concerning Confidentiality:
If any of your answers require you to disclose what you believe to be privileged or confidential information not otherwise available to the public, you should designate at each point in the Application that the answer requires you to disclose privileged and confidential information. You should then submit the information on documents stamped ''CONFIDENTIAL'' at the top in clear and conspicuous letters and submit one copy of the information under seal to the Secretary's Office along with the Application. Applicant must fully support its request to maintain confidentiality for the information which it believes to be confidential or proprietary. Such request shall be deemed to be a Petition for Protective Order and will be ruled upon by the Commission in conjunction with the license application. Pending disposition, the information will be used solely for the purpose of evaluating the license application, and the confidentiality of this information will be maintained consistent with the Commission's rules and regulations pertaining to confidentiality.
CONSERVATION SERVICE PROVIDER (''CSP'') APPLICATION FOR REGISTRATION IN THE COMMONWEALTH OF PENNSYLVANIA Conservation Service Providers (''CSPs'') have a specific role under Act 129, which requires a covered Electric Distribution Company's Energy Efficiency and Conservation (EE&C) plan to include one or more CSPs to ''provide information and technical assistance on measures [italics emphasized] that enable a person to increase energy efficiency or reduce energy consumption.'' 66 Pa.C.S. §§ 2806.1(b)(1)(i)(e) & 2806.1(m). As such, registration of business entities as approved CSPs is required before entering into a contract agreement with an EDC exclusively for the provision of consultation, design, administration, management or advisory services regarding that EDC's EE&C plan. This registry is not intended as a resource of business, whose sole purpose is the installation of measures, supplying equipment or other contracting work for use by the general public and EDC customers. If providing such services, registration as a CSP is not required for entering into an agreement with an EDC.
1. IDENTITY OF THE APPLICANT
a. Legal Name of Applicant:
Attach proof of compliance with appropriate Pennsylvania Department of State filing requirements.8
b. Trade or Commercial or Fictitious Names Used by Applicant (d/b/a)—List all that apply.
[ ] The Applicant will be using a fictitious name or doing business as (''d/b/a''). Identify names below. If more space is needed, list names on the back of this page or append list to completed application.
[ ] The Applicant will not be using a fictitious name.
c. Applicant Address: d. Applicant Telephone No: e. Applicant FAX No: f. Applicant Email Address: g. Contact Information for Applicant, if different from that listed above. PLEASE NOTE: Upon approval of this application, this Contact Information will be listed on the Commission's CSP Registry. If this information is the same as above, please note below.
▪ Name
▪ Mailing Address
▪ Telephone and FAX Nos.
▪ Email Address
h. Predecessor(s) & Other Names used by Applicant for past five (5) years of date of this application. Provide Name(s), Address(es) and Telephone No.(s).
[ ] Check Box if any Predecessor(s) is currently or was previously registered in Pennsylvania as a CSP. If affirmative, please provide Docket No(s). (A-[Year]-[Seven (7) Digits]) and names for all registered CSPs.
___________________________
___________________________
___________________________
i. Parent & Subsidiary Companies & Affiliates:
[ ] Parent Name and Contact Information. Check Box if any affiliate is currently doing business in Pennsylvania as a CSP or Electric Distribution Company (EDC).
___________________________
___________________________
___________________________
[ ] Subsidiaries and Contact Information. Check Box if any affiliate is currently doing business in Pennsylvania as a CSP or Electric Distribution Company (EDC).
___________________________
___________________________
___________________________
[ ] Affiliate(s) and Contact Information. Check Box if any affiliate is currently doing business in Pennsylvania as a CSP or Electric Distribution Company (EDC).
___________________________
___________________________
___________________________
j. Contracts & Business Partnerships:
[ ] Check Box if within the past five (5) years, Applicant has operated under contract or has sub-contracted with or has partnered with a CSP or EDC. Provide company name and contact information and briefly describe the nature of business services associated with each contract and/or partnership. If ''None,'' do not check the box and answer ''None'' below.
___________________________
___________________________
___________________________
___________________________
___________________________
k. Identify principal officers (owners, executives, partners and/or directors), as appropriate for Applicant's organizational structure. Provide an organizational chart and the names, titles, business addresses and telephone numbers for each office.
___________________________
___________________________
___________________________
___________________________
___________________________
l. Attach to this Application a brief biography or single page professional resume for all principal officers and management directly responsible for Applicant's operations.
2. REGISTERED AGENT
a. If the Applicant does not maintain a principal office in the Commonwealth, the Applicant is required by the Pennsylvania Department of State to designate an approved Registered Agent as its representative in the Commonwealth. Check one of the Boxes below, as applicable:
[ ] YES, the Applicant has registered its business with the Pennsylvania Department of State. Following is the Name and Contact information for the Applicant's Department-Approved Registered Agent.
▪ Registered Agent's Name
▪ Registered Agent's Mailing Address
▪ Registered Agent's Telephone and FAX Nos.
▪ Registered Agent's Email Address
[ ] NO, the Applicant has not registered its business with the Pennsylvania Department of State. STOP—To avoid denial of your application and forfeiture of your application fee, you should contact the Pennsylvania Department of State Bureau of Corporations to register as a business entity within the Commonwealth PRIOR TO completion and filing of this application with the Pennsylvania Public Utility Commission.
b. Applicant has registered its business with the Pennsylvania Department of State. Please check appropriate registration type for Applicant as designated with the Department.
[ ] Sole proprietor (15 Pa.C.S. § 4124)
[ ] Domestic corporation (none)
[ ] Domestic general partnership (15 Pa.C.S. § 4124)
[ ] Domestic limited liability company (15 Pa.C.S. § 8913)
[ ] Domestic limited liability partnership (15 Pa.C.S. § 8201)
[ ] Foreign corporation (15 Pa.C.S. § 4124)
[ ] Foreign general or limited partnership (15 Pa.C.S. § 4124)
[ ] Foreign limited liability company (15 Pa.C.S. § 8981)
[ ] Foreign limited liability general partnership (15 Pa.C.S. § 8211)
[ ] Foreign limited liability limited partnership (15 Pa.C.S. § 8211)
[ ] If Applicant is not domiciled in the Commonwealth of Pennsylvania and is registered as a ''foreign'' entity, please identify all other states where applicant is registered by the appropriate state department:
3. APPLICANT'S OPERATIONS
Respond to each of the following four questions relating to Applicant's operations and its technical and financial fitness. Respond to each item and attach any additional information and/or statements to this Application as appropriate.
a. Describe nature of business:
___________________________
___________________________
___________________________
___________________________
___________________________
___________________________
[ ] Applicant is presently doing business in Pennsylvania
[ ] Applicant is presently not doing business in Pennsylvania
b. The Applicant proposes to provide the following information and technical services to an EDC. Check all services that apply and identify all EDCs with whom Applicant intends to conduct business.
[ ] Consultation EDCs:
[ ] Design __________
[ ] Administration __________
[ ] Management __________
[ ] Advisory __________
c. Attach to this Application a copy of any certification(s) or similar documentation that would demonstrate the technical fitness of Applicant, such as membership in trade associations, professional licenses, technical certifications, and/or names of current or past clients with a description of dates and types of services provided by Applicant.
d. Attach to this Application proof of current liability insurance coverage.
4. COMPLIANCE
Respond to each of the following Questions. Provide a statement as to the resolution or present status of any such proceedings, if applicable.
a. In the past three years has the Applicant, the parent company, an affiliate or predecessor or partner (contractor/subcontractor business relationship) of the Applicant, or any person identified by the Applicant in this Application, been investigated or convicted of a crime involving fraud, theft, larceny, deceit, violation of consumer protection law, violation of deceptive trade law or similar activity, whether before an administrative body or in a judicial forum, in which the Applicant, an affiliate, a predecessor of either, or a person identified herein has been a defendant or a respondent?
[ ] No
[ ] Yes. Provide explanation.
___________________________
___________________________
___________________________
___________________________
___________________________
b. Is the Applicant, the parent company, an affiliate, or a predecessor of either, currently delinquent with any state or federal taxing authority?
[ ] No
[ ] Yes. Provide explanation.
___________________________
___________________________
___________________________
___________________________
___________________________
c. Identify all bankruptcy or liquidation proceedings for the prior three years. If none, provide a statement to this effect.
___________________________
___________________________
___________________________
___________________________
___________________________
d. Identify all customer complaints filed with a regulatory or prosecutor agency for the prior three years of the date of this application. In none, provide a statement to this effect.
___________________________
___________________________
___________________________
___________________________
5. FALSIFICATION
The Applicant understands that the making of false statement(s) herein may be grounds for denying the Application, or if later discovered, for revoking any authority granted pursuant to the Application. This Application is subject to 18 Pa.C.S. §§ 4903 and 4904, relating to perjury and falsification in official matters.
6. FEES
The Applicant must submit a check payable to the Commonwealth of Pennsylvania with this Application. The fee for this Initial Application is $125. Check should be made payable to the Commonwealth of Pennsylvania.
7. AFFIDAVIT
Applicant must complete and submit with this Application and any subsequent documentation submitted to the Commission, such as emails, letters, and written responses to Commission data requests, the attached Affidavit, which must be signed by the Affiant and signed and dated by the official administering the oath, that to the best of the Applicant's knowledge, information and belief that the facts set forth in this Application and all subsequent submissions are true and correct.
8. FILING & SIGNING OF APPLICATION
File a signed and verified original and one copy of the completed application along with any attachments in person or by first class mail, with your check (if applicable) to the following address:
Filing in person: Secretary
Pennsylvania Public Utility Commission
Commonwealth Keystone Building
400 North Street
Harrisburg, PA 17120
Filing by first-class Mail: Secretary
Pennsylvania Public Utility Commission
P. O. Box 3265
Harrisburg, PA 17105-3265
Signature of Principal Official: ______ Official's Name & Title: _________________ Date: _________________
AFFIDAVIT [Commonwealth/State] of ______ :
: ss.
County of ______ :
______ , Affiant, being duly [sworn/affirmed] according to law, deposes and says that:
[He/she is the ______ (Office of Affiant) of ______ (Name of Applicant);]
[That he/she is authorized to and does make this affidavit for said Applicant;]
That the Applicant herein ______ has the burden of producing information and supporting documentation demonstrating its technical and financial fitness to be registered as a conservation service provider pursuant to Act 129 of 2008.
That the Applicant herein ______ acknowledges that it has answered the questions on the application correctly, truthfully and completely and has provided supporting documentation as required.
That the Applicant herein ______ acknowledges that it is under a duty to update information provided in answer to questions on this application and contained in supporting documents.
That the Applicant herein ______ acknowledges that it is under a duty to supplement information provided in answer to questions on this application and contained in supporting documents as requested by the Commission.
That the facts above set forth are true and correct to the best of his/her knowledge, information, and belief, and that he/she expects said Applicant to be able to prove the same at hearing.
_________________
Signature of AffiantSworn and subscribed before me this ______ day of ______ , 20____.
_________________
Signature of official administering oathMy commission expires: ______.
ANNEX B
TEMPLATE FOR RENEWAL OR UPDATE
OF
CONSERVATION SERVICE PROVIDER (CSP) REGISTRATIONInstructions: One of the following templates may be used by a registered Conservation Service Provider (CSP) to renew or update CSP Registration as follows:
I am renewing my CSP Registration according to the normal two year renewal cycle and have no changes to my prior application—Use Template No. 1 Application for Renewal of CSP Registration—No Changes Incurred to Application of Record. This template should be used when there are NO CHANGES to the CSP Application of record. The filing fee for renewal is $25.
I am renewing my CSP Registration according to the normal two year renewal cycle and have changes to my prior application—Use Template No. 2 Application for Renewal of CSP Registration—Changes Incurred to Application of Record. This template should be used when there are one or more CHANGES to the CSP Application of record. The Applicant is also required to submit a newly completed CSP Application. The filing fee for renewal is $25.
I am updating my CSP Registration information prior to my next required renewal—Use Template No. 3 Application to Update CSP Registration. This template should be used by a currently approved, registered CSP in order to update one or more items of the CSP Application of record. The Applicant is also required to submit a newly completed CSP Application. There is no filing fee to update CSP Registration information of record.
In all three cases listed above, the registered CSP is required to conduct a thorough review of the individual items, parts and subparts of the Applicant's CSP Application of record, which may be obtained by searching the Pennsylvania Public Utility Commission (PUC) website at http://www.puc.state.pa.us.
• Double click ''Search Documents'' located on the upper right-hand corner of the PUC website.
• Type the last seven (7) digits of your PUC Docket No. for ''Docket No.''
• Click button labeled ''Search.''
An entity that uses one of the three templates to renew CSP Registration or to update CSP Registration information, shall be held accountable for identifying each and every item that has changed or contains information that has changed relating to the Commission-approved Application currently on file at the Commission.
TEMPLATE NO. 1
APPLICATION FOR RENEWAL OF CSP
REGISTRATIONNO CHANGES INCURRED TO APPLICATION
OF RECORDThe Applicant is filing with the Commission this Application for Renewal of CSP Registration. There are NO CHANGES to the Applicant's CSP Application of record on file at the Commission at the Docket Number appearing at the bottom of this Petition.
[ ] I have reviewed the Applicant's CSP Application of record and no information contained therein has changed or requires updating. Furthermore, no compliance issues have occurred relating to the Applicant's CSP Application regarding responses to Questions 4.1—4.4. Enclosed are the following items:
a. Cover sheet providing all information relating to ''Identity of the Applicant,'' pursuant to Question Nos. 1(a)—1(j) of the CSP Application;
b. Renewal application fee of $25;
c. Affidavit, attesting to the truth and knowledge of these facts; and
d. Proof of current liability insurance coverage.
(Typed name and title of authority on behalf of Applicant identified on the attached cover sheet)
(Date and Signature of named authority)
The Applicant understands that the making of false statement(s) herein may be grounds for denying the Application for Renewal of Conservation Service Provider Registration, or if later discovered, for revoking any authority granted pursuant to the Application. This Application is subject to 18 Pa.C.S. §§ 4903 and 4904, relating to perjury and falsification in official matters.
TEMPLATE NO. 2
APPLICATION FOR RENEWAL OF CSP
REGISTRATIONCHANGES INCURRED TO APPLICATION OF RECORD
The Applicant is filing with the Commission this Application for Renewal of CSP Registration. There are one or more CHANGES to Applicant's CSP Application of record on file at the Commission at the Docket Number appearing at the bottom of this Petition.
[ ] I have reviewed the Applicant's CSP Application of record and the information contained therein has changed. In addition no changes have occurred for those individual items, parts and subparts of the Application, which have not been identified on this Application for Renewal of CSP Registration. Below are listed the items, parts and subparts by title, relating to the numbered questions on the CSP Application that have changed. Enclosed are the following items:
a. Completed CSP Application;
b. Renewal application fee of $25;
c. Affidavit, attesting to the truth and knowledge of these facts; and
d. List of CSP Application items, parts and subparts by title, which have changed, provided as follows. (If more space is needed, please append additional pages to this Petition)
1. Identity of the Applicant
2. Registered Agent
3. Applicant's Operations
4. Compliance
(Typed name and title of authority on behalf of Applicant identified in the attached CSP Application)
(Date and Signature of named authority)
The Applicant understands that the making of false statement(s) herein may be grounds for denying the Application for Renewal of Conservation Service Provider Registration, or if later discovered, for revoking any authority granted pursuant to the Application. This Application is subject to 18 Pa.C.S. §§ 4903 and 4904, relating to perjury and falsification in official matters.
TEMPLATE NO. 3
APPLICATION TO UPDATE CSP
REGISTRATIONThe Applicant is filing with the Commission this Application to Update CSP Registration information. The Applicant acknowledges that there is no fee associated with the update of CSP registration information contained in its Application on file at the Docket Number appearing at the bottom of this template.
[ ] I have reviewed the Applicant's CSP Application of record and the information contained therein has changed. In addition no changes have occurred for those individual items, parts and subparts of the Application, which have not been identified on this Application to Update CSP Registration information. Below are listed the items, parts and subparts by title, relating to the numbered questions on the CSP Application that have changed. Enclosed are the following items:
a. Completed CSP Application;
b. Affidavit, attesting to the truth and knowledge of these facts; and
c. List of CSP Application items, parts and subparts by title, which have changed, provided as follows. (If more space is needed, please append additional pages to this Petition)
1. Identity of the Applicant:
2. Registered Agent:
3. Applicant's Operations:
4. Compliance:
(Typed name and title of authority on behalf of Applicant identified in the attached CSP Application)
(Date and Signature of named authority)
The Applicant understands that the making of false statement(s) herein may be grounds for denying the Application to Update Conservation Service Provider Registration, or if later discovered, for revoking any authority granted pursuant to the Application. This Application is subject to 18 Pa.C.S. §§ 4903 and 4904, relating to perjury and falsification in official matters.
AFFIDAVIT [Commonwealth/State] of ______ :
: ss.
County of ______ :
______ , Affiant, being duly [sworn/affirmed] according to law, deposes and says that:
[He/she is the ______ (Office of Affiant) of ______(Name of Applicant);]
[That he/she is authorized to and does make this affidavit for said Applicant;]
That the Applicant herein ______ has the burden of producing information and supporting documentation demonstrating its technical and financial fitness to be registered as a conservation service provider pursuant to Act 129 of 2008.
That the Applicant herein ______ acknowledges that it has answered the questions on the application correctly, truthfully and completely and has provided supporting documentation as required.
That the Applicant herein ______ acknowledges that it is under a duty to update information provided in answer to questions on this application and contained in supporting documents.
That the Applicant herein ______ acknowledges that it is under a duty to supplement information provided in answer to questions on this application and contained in supporting documents as requested by the Commission.
That the facts above set forth are true and correct to the best of his/her knowledge, information, and belief, and that he/she expects said Applicant to be able to prove the same at hearing.
_________________
Signature of AffiantSworn and subscribed before me this ______ day of ______ , 20____.
_________________
Signature of official administering oathMy commission expires: ______
[Pa.B. Doc. No. 13-165. Filed for public inspection January 25, 2013, 9:00 a.m.] _______
1 See Implementation of Act 129 of 2008 Phase 2—Registry of Conservation Service Providers, Final Order (2009 CSP Registry Order) at Docket No. M-2008-2074154, entered on February 5, 2009.
2 See 2009 CSP Registry Order.
3 Id.
4 These items are presented differently in the proposed application to provide clarity. In addition, items 5, 8 and 9 are new requests also being proposed to provide clarity.
5 A copy of any document from the Department of State documenting the Applicant's Department of State entity number is adequate. Certified copies of Pennsylvania Department of State documents are not required as the applicant will be verifying all information provided pursuant to 52 Pa. Code § 1.36.
6 See 2009 CSP Registry Order at 8.
7 See 2009 CSP Registry Order at 13.
8 A copy of any document from the Pennsylvania Department of State (Pa. Dept. of State) documenting the Applicant's Pa. Dept. of State entity number is adequate. However, the document must indicate that the Applicant's Pa. Dept. of State registration is ''active.'' Certified copies of Pa. Dept. of State documents are not required.
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