Current through Register Vol. 54, No. 44, November 2, 2024
(a)
Applicant. An applicant
for a certificate of public convenience as a public water or wastewater
collection, treatment or disposal provider, including noncertificated
utilities, shall provide a copy of the business plan required by the Department
of Environmental Protection (DEP) in 25 Pa. Code §109.503(a)(3) (relating
to public water system construction permits). The Commission may reject an
application which fails to include the required information and documents. The
following additional information, or documents, if not included in the business
plan, shall also be included in the application, using the current forms and
schedules specified by the Commission.
(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 or 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.
(vi) A copy of the county comprehensive plan,
municipal comprehensive plan and applicable zoning designations, if
requested.
(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 those 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 or disposal
capacity to meet present and future customer demands.
(4)
Rates.
(i) Proposed utilities shall provide a
proposed initial tariff which includes rates, proposed rules, and conditions of
service in the format specified by the Commission (classified rate
schedule).
(ii) Utilities which
have been providing service shall provide a proposed initial tariff which
includes rates, proposed rules, and conditions of service. The utility shall
notify the customers of the utility 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. Proof of compliance with applicable
design, construction and operation standards of DEP 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
appropriate to the facilities being operated.
(iii) A 5-year compliance history with DEP
with an explanation of each violation for utilities that have been providing
service.
(iv) A 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)
Additional documentation
. In addition to a copy of the documents submitted under paragraphs (1)-(6),
the applicant shall submit a letter addressing all the applicable requirements
or mandates of the following governmental entities. The letter must also append
copies of certification issued by the following governmental entities
confirming that the applicant does or does not meet all the applicable
requirements or mandates of the following:
(i) DEP.
(ii) The Delaware River Basin Commission, the
Susquehanna River Basin Commission, the Ohio River Basin Commission and the
Great Lakes Commission.
(iii) The
requirements of any Statewide water plan, including any local watershed
areas.
(iv) The requirements of any
officially adopted county comprehensive plans, municipal comprehensive plans,
and applicable zoning designations, including any necessary
amendments.
(8)
Affected persons. The identity of public utilities,
municipalities, municipal authorities, cooperatives and associations which
provide public water supply service or wastewater collection, treatment or
disposal service within each municipality, or a municipality directly adjacent
to the municipalities, in which the applicant seeks to provide service that
abuts or is situated within 1 mile of the applicant's proposed
facilities.
(9)
Other
requirements. Demonstrate compliance with DEP regulations in 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 or disposal supplier in
paragraph (8), and one of the following applies:
(i) Whether a supplier is willing and able to
serve the area which the applicant seeks to serve either directly or through
the bulk sale of water to the applicant, or treatment of wastewater to the
applicant.
(ii) If one or more
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)
Verification. 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 to the Commission.
(b)
Additional
considerations. The Commission will consider and may rely upon the
comprehensive plans, multimunicipal plans, zoning ordinances and joint
municipal zoning ordinances, consistent with the authority in sections 619.2
and 1105 of the Municipalities Planning Code (53 P. S. §
§
10619.2 and
11105), when reviewing
applications for a certificate of public convenience as a public water supplier
or wastewater collection, treatment or disposal provider.
(c)
Filing. Applications
under this section must conform to §
§
1.31 and
1.32 (relating to requirements for
documentary filings; and filing specifications), 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 applicant shall file with the Commission the
original of the application. An application which fails to include the
information and documents outlined in subsections (a) and (b), as specified by
the Commission for water and wastewater collection, treatment or disposal
companies, is subject to rejection by the Commission. The original must contain
exhibits. An affidavit of service showing the identity of those served under
subsection (f) shall accompany the original application filed with the
Commission.
(d)
Notice. The application will be docketed by the Secretary of
the Commission and thereafter forwarded for publication in the
Pennsylvania Bulletin with a 60-day protest period. The
applicant shall also publish notice of application as supplied by the
Secretary, daily 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. In addition, the utility or
applicant shall individually notify existing customers of the filing of the
application.
(e)
Application form. The Commission may provide a standard
application form for use by an applicant for this section and will, to the
extent practicable, provide the application form on the Commission's website.
(1) Any standard application form developed
for purposes of this section that involves a matter of an interagency nature
will be developed or revised only after notice is published in the
Pennsylvania Bulletin, posted on the Commission's website to
the extent practicable, and after consultation with interested persons or
agencies is conducted.
(2) Any
standard application form developed for purposes of this section that involves
matters other than those governed by paragraph (1) will be developed or revised
only after notice is published in the Pennsylvania Bulletin,
posted on the Commission's website to the extent practicable, and after
consultation with any interested persons or agencies is conducted.
(3) Any standard application form developed
for purposes of this section will be developed by the Commission staff and may
be subject to formal approval by the Commission. Any standard application form
developed for purposes of this section not formally approved by the Commission
shall be subject to §
5.44 (relating to petitions for
appeal from actions of the staff).
(f)
Copies. At the time of
filing, the applicant shall cause a complete copy of the application with
exhibits to be served by registered or certified mail, return receipt
requested, upon:
(1) Each city, borough,
town, township, county and related planning office which is included, in whole
or in part, in the proposed service area.
(2) A water or wastewater utility, municipal
corporation or authority which provides water or wastewater collection,
treatment or disposal service to the public and whose service area abuts or is
within 1 mile of the service area proposed in the application.
(3) The statutory advocates and DEP's central
and regional offices.
(g)
References. Subsection (a) supplements §
5.11 (relating to applications
generally).
The provisions of this §3.501 amended under the
Public Utility Code,
66 Pa.C.S. §
§
501, 504-506,
523,
1301,
1501 and
1504.
This section cited in 52 Pa. Code §
5.14 (relating to applications
requiring notice).
