Ohio Administrative Code
Title 4901:1 - Utilities
Chapter 4901:1-15 - Waterworks Companies and Sewage Disposal System Companies
Section 4901:1-15-05 - Application for certificate of public convenience and necessity
Current through all regulations passed and filed through September 16, 2024
(A) Any person, firm, or corporation desiring to obtain a certificate of public convenience and necessity authorizing such person, firm, or corporation to construct and/or operate a waterworks system and/or a sewage disposal system or to expand the area in which such a system is operated, shall file an application in the form and with the content specified in this rule. The required number of copies to be filed with the commission of applications made pursuant to this rule is set forth in rule 4901-1-02 of the Administrative Code.
(B) All applications and exhibits shall be typewritten, filed electronically pursuant to paragraph (D) of rule 4901-1-02 of the Administrative Code, printed, or reproduced by some other equally legible and permanent process on good quality paper, eight and one-half inches by eleven inches nominal size.
(C) Applications and exhibits must be signed by the applicant or his/her attorney and shall show the complete post office address of the person whose signature is affixed. If the applicant is a partnership, one partner may sign for all; if a corporation, the president, a vice-president, secretary, or other duly authorized officer may sign. The applicant shall serve a copy of the application, the exhibits, and all other filings upon the Ohio environmental protection agency (OEPA) at Columbus, Ohio, and shall indicate this service on the copies filed with the commission. Any of the exhibits which are currently on file with the OEPA may be omitted.
(D) The following exhibits shall be filed with each application :
A certified copy of the articles of incorporation and any amendments if applicant is a corporation, or a copy of the partnership agreement if applicant is a partnership.
A financial statement (balance sheet) showing in detail applicant's assets, liabilities, and net worth as of a date no more than one month prior to the date the application was filed (exhibit three), and projected to exist as of the date when construction will be completed and the system or systems will be ready for operation (exhibit three A).
Pro forma income statements for applicant's first (exhibit four) and fifth (exhibit four A) contemplated full years of operation, showing in reasonable detail for each of those years applicant's anticipated operating revenues, expenses, and net income available for fixed charges.
A multi-page document (tariff) setting forth all of applicant's proposed rates, charges, and rules and regulations.
A metes and bounds description of the area in which service is to be rendered pursuant to the authority sought and a map based upon the metes and bounds description. The map offered as exhibit six to any application shall be drawn or reproduced to a scale with no greater than one thousand feet equaling one inch. The scale shall be shown in a written statement or by a legend on the map and also bear a title block indicating the name of the owner of the system or systems shown, the type or types of system(s) shown, the date of preparation of the map, and the contact information of the individual responsible for its accuracy and completeness.
A statement evidencing that, in the case of a waterworks system, the proposed facilities are capable of providing a minimum static pressure of thirty-five pounds per square inch at normal operating conditions at all curb stops.
A statement evidencing that the company's system of mains shall be of adequate size to permit the installation and proper operation of public fire hydrants. Except as provided in rule 4901:1-15-30 of the Administrative Code, such public fire hydrants need be installed only if they are paid for by the proper public authority, agency, or entity ordering the installation for both the capital cost and the cost of maintaining and operating the hydrants.
A statement evidencing that the company will avoid dead ends in the distribution mains so far as possible , and provide facilities for flushing, where dead ends are unavoidable.
A statement evidencing that, in the case of a sewage disposal system, the mains and laterals proposed are of adequate size and are to be laid with such flow lines as to permit an expeditious flow from the point of the origin at the customer's premises to the point of treatment or disposal. If land contours are not such as to permit transport of the outflow by gravity, adequate lift stations or other adequate facilities shall be provided as a part of the applicant's system. If, in lieu of or as an adjunct to such lift stations, force pumps are proposed to be installed to move sewage discharge away from a customer's premises, a full description of the equipment and of the manner and means of its operation shall be included.
A statement of the financing plan by which applicant proposes to fund the construction or acquisition of its proposed waterworks system and/or sewage disposal system and to secure working capital. Such statement shall show the amount of equity capital applicant expects to have or to secure by the issuance of equity securities; the amount of capital it expects to secure by the issuance of notes or bonds; the source and terms of the equity funds; the terms of the notes or bonds; and any sums that applicant expects will be voluntarily contributed.
A statement evidencing that applicant has in its treasury sufficient unobligated paid-in capital or internally generated funds and/or has commitments from a responsible financial organization, satisfactory to the commission, which will enable it to secure through the issuance of securities, approved by the commission, all additional financing necessary to complete construction of and place into operation its proposed utility system. Sufficient unobligated paid-in capital or internally generated funds is presumed to be that equal to at least forty per cent of the estimated cost of construction of the utility plant. To overcome such presumption, the applicant must show by competent evidence that it otherwise has sufficient unobligated paid-in capital funds and satisfactory financial commitments to complete construction of and place into operation its proposed system.
A statement evidencing that, at the rates proposed in applicant's tariff as filed with the application and based upon a pro forma income statement also filed with the application, applicant will have sufficient revenues to enable it to meet its operating and maintenance expenses, to begin establishing a depreciation reserve, to pay all taxes, to establish an adequate reserve for contingencies, and to pay interest on any outstanding debt.
If OEPA approval is necessary for the construction of the facilities described in the application, a written statement to the commission from an official of the OEPA, stating that the OEPA has approved general plans for the proposed waterworks system and/or sewage disposal system and that it would approve acceptable final detail plans upon notification that the commission has granted to the applicant a certificate of public convenience and necessity for the construction and operation of the system or systems. In the event that approval of final detail plans is not readily available or cannot be obtained from the OEPA, the commission may grant a certificate of public convenience and necessity contingent upon approval by the OEPA of final detail plans.
A statement that there is a present and continuing need by the public in the area encompassed by the application for facilities and services of the type which applicant proposes to provide.
A statement evidencing that no existing agency, publicly or privately owned or operated, would or could economically and efficiently provide the facilities and services needed by the public in the area which is the subject of the application.
A statement describing the public convenience to be served by means of granting a certificate of public convenience and necessity to applicant, and a list of the counties and any municipal corporations proposed to be served in whole or in part.
A proposed legal notice containing all the information required by paragraphs (C)(2)(d)(i) to (C)(2)(d)(v) of rule 4901:1-15-04 of the Administrative Code.
An affidavit attesting to and adopting all filings submitted with the application. The affiant shall not be the applicant's attorney, but may be any other person qualified to sign the application pursuant to paragraph (C) of this rule.
