CHAPTER Puc 700
RULES FOR SEWER UTILITIES
REVISION
NOTE:
Document
#6475, effective 3-25-97, made extensive changes to the wording and numbering
of rules in Chapter Puc 700. Document
#6475 supersedes all prior filings for the sections in this chapter. The prior filings for former Chapter Puc 700
include the following documents:
#2050, eff 5-24-82
#2404, eff 6-28-83
#2912, eff 11-26-84
#4648, eff 7-19-89
#5003, eff 11-26-90
#6245, eff 5-14-96
#6365, INTERIM, eff 11-18-96, EXPIRES:
3-28-97
PART Puc 701
APPLICATION OF RULES
Puc
701.01 Application of Rules. These rules shall
apply to every utility as defined in Puc 702.09.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART Puc 702
DEFINITIONS
Puc
702.01 "Commission" means the
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.02 "Customer" means any
person, firm, corporation, municipality or any other entity being supplied
sewage disposal service by a utility.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.03 "
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.04 "Septic pumping" means
the removal of sludge and scum from a septic or holding tank system for
transport to appropriate disposal facilities.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.05 "Service pipe" means
the utility-owned pipe used to transport sewage from the customer-owned service
pipe to the main.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.06 "Sewage" means ground
garbage, human or animal excretions and all other waterborne waste normally
disposed of by residential, industrial, or commercial facilities through a
sanitary sewage disposal system excluding solid waste, industrial waste and
septic pumping.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.07 "Sewage disposal
service" means the collection, transportation, treatment, and disposal of
sewage including but not limited to the active processing of sewage to remove
impurities and its ultimate discharge in the environment. This definition does not include septic
pumping.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.08 "Sewage disposal
system" means the plant and property, including all pipes, pumps,
structures and other facilities and equipment owned, operated, and controlled
or managed by a utility in connection with the sewage disposal service to its
customers.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.09 "Utility" means any
"public utility" as defined in RSA 362:2 owning, operating or
managing any plant or equipment or any part of the same for the furnishing of
sewage disposal for the public except:
(a) Municipal corporations operating within their
corporate limits;
(b) Municipal corporations which are exempt
pursuant to RSA 362:4, to the extent of such exemption;
(c) Any landlord supplying sewage disposal
service to its tenants which service is included in a rental fee;
(d) Any association of residents supplying sewage
disposal service to themselves; or
(e) Any other entity otherwise exempt from
regulation by statute or commission order.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
702.10 "Water utility" means
any "public utility" as defined in RSA 362:2 owning, operating or
managing any plant or equipment or any part of the same for supplying of water
to the public, or engaged in the transmission or sale of water ultimately sold
to the public within
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART Puc 703
SERVICE PROVISIONS
Puc
703.01 Filing of Tariffs. No utility shall render sewage disposal
service until a complete tariff containing terms and conditions and rate
schedules shall have been filed and approved by the commission according to Puc
1600.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
703.02 Customer Bill Adjustments.
(a) Where the sewage disposal service to a
customer is billed on the basis of metered water consumption as measured by the
water meter of the serving water utility, and where the water meter is found to
be inaccurate, the customer's sewer bill shall be adjusted accordingly,
following the corresponding rules for adjusting the customer's water bill
contained in Puc 605.05.
(b) Where the sewage utility service to a
customer is measured by the sewage meter of the serving sewage utility, and
where the meter is found to be inaccurate, the customer's bill shall be
adjusted accordingly, following the corresponding rules set out at Puc 605.05
for adjusting the customer's water bill.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc 703.03 Discontinuance of Service.
(a)
Sewer service shall not be disconnected due to nonpayment.
(b)
Sewer utilities may, however, contract with the serving water utility to
discontinue water service for nonpayment of sewer utility bills.
(c) If the utility is a combined water and sewer
utility, it may discontinue water service for nonpayment of sewer bills. Discontinuance of service by either a water
utility or a combined water and sewer utility shall be carried out in
accordance with Puc 1203.11.
(d)
The contract between the sewer and water utilities shall contain
specific provisions regarding responsibilities involving notice of termination,
termination, reconnection, and provision for fair and reasonable compensation
based on the actual cost to the water utility of providing such service.
(e)
Compensation referred to in (d) above shall be based on disconnection
and reconnection charges in the water utility's tariff or as otherwise agreed
to by the parties.
(f)
The contract between the water utility and the sewer utility shall be
submitted to the commission pursuant to Puc 204 and approved by the commission
pursuant to the criteria contained in Puc 1203.11 prior to any termination of
service in accordance with its provisions so that each company is treated in a
just and reasonable manner as provided in RSA 378:28.
(g)
The sewer utility shall send written notice to the customer of its
intent to request the termination of its water service pursuant to the requirements
contained in and referenced in Puc 1203.11 (b).
(h)
One working day prior to the chosen disconnect date the sewer utility
shall contact the water utility with which it has contracted for disconnection
to confirm the need for disconnection.
(i)
The sewer utility shall notify the water utility with which the sewer
utility has contracted for disconnection when the cause for disconnection has
been removed. Upon receipt of such
notice the water utility shall restore water service pursuant to Puc 1203.13
(c) and (d).
(j)
Reconnection of water service which has been terminated for nonpayment
of sewer bills shall be subject to the fees of both the water utility and the
sewer utility involved as provided in their respective tariffs or as otherwise
agreed to by the parties as provided in (e) above.
(k)
A utility shall not charge for reconnection of service when the cause
for disconnection was not in compliance with this section or with applicable
provisions of Puc 1203.11.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
703.04 Customer Relations. Each utility shall comply with rules governing
provision of service to customers contained in Puc 1200, uniform administration
of utility customer relations.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART Puc 704
QUALITY OF SERVICE
Puc
704.01 Effluent Standards.
(a) The utility shall not receive for treatment
or allow the discharge into the sewage disposal system any of the following:
(1) Any substance of a type or quality or in a
quantity which would impair its ability to render sewer service;
(2) Any substance which is not sewage, including
but not limited to the following:
a. Solid waste;
b. Corrosive or toxic industrial waste;
c. Flammable or explosive materials;
d. Rainwater from roofs, streets, or other
areas;
e. Storm or surface water; and
f. Ground water from foundation drains; and
(3) Any substance prohibited by the United States
Environmental Protection Agency, the New Hampshire department of environmental
services, the utility's tariff or any applicable municipal ordinance.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
704.02 Cross-Connections.
(a) No physical connection shall be permitted,
except as provided in (b) below, including but not limited to connections of
the following types:
(1) Between one sewer system and another;
(2) Between a sewer system and a stream; or
(3) Between a sewer system and a public or
private water supply.
(b) This section shall not prohibit a utility
which has received all federal, state and municipal approval in connection
therewith, from:
(1) Discharging treated effluent from a sewage
treatment facility in accordance with such approvals; or
(2) Transmitting sewage from one sewer system to
another, in accordance with such approvals, for treatment.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
704.03 Interruptions of Service.
(a) Each utility shall use all reasonable means
to avoid interruptions to service.
(b) Should interruption of service occur, the
utility shall re-establish service within the shortest time practicable,
consistent with safety.
Source. (See Revision Note at Chapter heading Puc 700)
#6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART Puc
705 EQUIPMENT AND FACILITIES
Puc 705.01 Construction and Maintenance. Each utility shall construct, install,
operate, and maintain its plant, structures, equipment, and mains in accordance
with good engineering practice, and in such manner to best accommodate the
public, and to prevent interference with service furnished by other underground
or above ground facilities, including electric, telephone, water, gas or steam
equipment or facilities, insofar as practical.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART Puc 706
RECORDS, REPORTS AND ACCOUNTING REQUIREMENTS
Puc
706.01 Station Records. Each utility shall keep sufficient records of
the operation of its pumping, treatment, and other units to show the
characteristics and performance of each.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
706.02 System Maps.
(a) Each utility shall have on file at its
principal office located within
(1) Size, character and location of all mains,
service pipes, including disposal points, and manholes;
(2) Location and layout of all treatment plants
and pumping stations; and
(3) Description of service area.
(b)
In lieu of showing service locations on maps, referred to in (a)(1)
above, a card record or other suitable means may be used.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
706.03 Preservation of Records.
(a) All records shall be preserved by the utility
for a period of 2 years unless otherwise designated herein or by the
commission's rules governing the preservation of records, including, but not
limited to, Puc 706.05(b).
(b) All records shall be kept within
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
706.04 Reports to Commission.
(a) The utility shall furnish the commission with
any information concerning the utility's facilities or operations which the
commission shall request and need for determining rates, judging the practices
of the utility or determining whether the service provided and facilities used
are reasonably safe and adequate.
(b) Each utility shall file periodic reports with
the commission as required by Puc 708 on forms, as required by Puc 708, which
shall be furnished by the commission upon request.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
706.05 Uniform System of Accounts for
Accounting Records.
(a) Each utility shall maintain its accounts and
records in conformity with the "Uniform Classification of Accounts for
Sewer Utilities" established and issued by the commission as a uniform
system of accounts pursuant to RSA 374:8.
(b) Each utility shall keep and preserve all accounts
and records as provided in the "Regulations to Govern the Preservation of
Records of Electric, Gas and Water Utilities Regulation" issued by the
National Association of Regulatory Utility Commissioners, which is established
and designated by the commission as part of its uniform system of accounts
pursuant to RSA 374:8.
Source. (See Revision Notes at Chapter heading Puc
700 and below) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff
9-10-13
REVISION NOTE:
Pursuant
to RSA 374:8, II and RSA 541-A:21, I(q), as amended effective 7-23-94 by 1994,
193:3 and 193:4, the uniform system of accounts (USOA) for regulated utilities
as referenced in Puc 706.05 is exempt from the rulemaking requirements of RSA
541-A. The text of the USOA is not
included in Puc 706.05 above because the publication requirement for rules in
RSA 541-A:15, I does not apply.
By
Order No. 21,310 dated August 8, 1994, the New Hampshire Public Utilities
Commission (Commission) ordered, because of 1994, 193, that the USOAs,
including the USOA for sewer utilities, “shall remain in effect until such time
as the Commission shall prescribe, amend, rescind or otherwise affect the USOAs
currently prescribed for regulated utilities”.
The
Commission must still file in the Office of Legislative Services a copy of all
USOA rules adopted, amended or repealed under RSA 374:8. The text of the USOA for sewer utilities
subject to Order No. 21,310 was last filed in Document #6625.
A
copy of the USOA as referenced in Puc 706.05 may be obtained at the New
Hampshire Public Utilities Commission,
Puc 706.06 Work Order and Continuing Property Records. Each utility shall maintain a work order
system and continuing property records according to the "Uniform
Classification of Accounts for Sewer Utilities" and shall provide the
commission access to such records when requested.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
706.07 Short Term Debt. No utility shall issue or renew any notes,
bonds or other evidence of indebtedness payable less than 12 months after the
date thereof without prior commission approval pursuant to Puc 201.05 if said
short term debt exceeds 10% of the utility's net fixed plant.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART Puc 707
SAFETY
Puc
707.01 Safety Instructions.
(a) Each utility shall adopt comprehensive
instructions for the safety of employees in regard to the operation,
construction, and maintenance of its plant and facilities.
(b) Each utility shall institute practices and
programs to establish that its employees have been properly informed of safe
practices and are cognizant of all hazards involved, including those involving
exposure to hazardous atmospheres.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
707.02 Resuscitation.
(a) Each utility shall institute and maintain a
program instructing its employees engaged in electrical work or work in
hazardous atmospheres, such as in-ground pump stations or meter vaults, in
safety procedures for resuscitation emergencies.
(b) The utility shall furnish copies of the
relevant safety procedures to each such employee.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc 707.03 Accidents.
(a) Each utility shall report to the commission
as soon as possible after each accident occurring in connection with the
operation of its property, facilities, or services, wherein any person shall
have been killed or seriously injured or whereby serious property damage has
been caused.
(b) The first report of an accident may be
preliminary, but, if so, shall be followed by as full a statement as possible
of the cause and details of the accident and the precautions taken, if any, to
prevent recurrence.
(c) Accidents resulting in slight injuries which
do not incapacitate the person injured from active work for more than 6 days in
the aggregate during the 10 days immediately following the injury shall not be
required to be reported.
(d) The utility shall report to the commission on
form E-5, "NHPUC Accident Report Form", described in Puc 708.01, any
accident related to its utility operations which is not a slight accident as
described in (c) above.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
707.04 Commission Inspection. The commission shall from time to time
inspect the works and system of each utility and the manner in which it has
conformed and presently conforms to statutes and commission rules and orders.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
PART
Puc 708 FORMS TO BE FILED
Puc
708.01 E-5 - Utility Accident Report.
(a) Each utility shall file a completed
"NHPUC Accident Report Form" within 10 working days of when a utility
accident, as described in Puc 707.03 (a) and (c), occurs.
(b) Each utility shall include the following on
the "NHPUC Accident Report Form":
(1) The report number, date and name and address
of the utility;
(2) The date and the location of the accident and
the time of discovery;
(3) A description of the person injured
including:
a. Name;
b. Age;
c. Residence;
d. Employer; and
e. Status of injured person, whether employee,
person under contract, invitee, licensee, trespasser or other;
(4) A description of the injury, current
condition, duration of disability and, if applicable, anticipated return to
work date;
(5) A description of the cause and manner of the
accident;
(6) If applicable, the cause of death and
previous accident report number of the report filed prior to the death;
(7) The designation of any federal or state statute
violated, if applicable;
(8) A recommendation for guarding against
repetition of the accident; and
(9) The signature and date submitted of a utility
official authorized to submit the form and printed name and the title of the
official.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
708.02 E-16 Report of Meter Complaint
Tests.
(a) Each utility shall report to the commission
on Form E-16 on a monthly basis if water or sewer meter complaints occur, the
former if the sewage service is being measured by the water meter.
(b) A utility shall include on form E-16 the
following:
(1) The name of the company;
(2) The month of report;
(3) The customer's name and address;
(4) The meter manufacturer, model number, company
number, type, and size;
(5) The percent of registration of meters that are
fast and percent of registration that are slow;
(6) If a bill adjustment occurs, the amount
refunded or collected and the period covered by the bill adjustment;
(7) The date; and
(8) The signature of the utility official
authorized to submit the form and, the printed name and the title of the
official.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss by #8312, eff 3-25-05; ss by #10408, eff 9-10-13
Puc
708.03 E-22 Report of Proposed Expenditures for Additions, Extensions and
Capital Improvements to Fixed Capital.
(a)
Except as provided in (i) below, each utility shall file an annual
report of proposed expenditures for addition, extensions and capital
improvements to fixed capital on or before May 15 of each year.
(b) If the utility creates its own Form E-22, the
report shall include a caption identifying the report as “E-22 Report of
Proposed Expenditures for Additions, Extensions and Capital Improvements to Fixed
Capital” along with the name of the utility filing the report.
(c) The utility shall report the following on
Form E-22 with respect to any proposed expenditures for additions, extensions
and capital improvements which meet the conditions of (d) below:
(1) A description of the addition, extension or
capital improvement;
(2) The
location of the proposed addition, extension or capital improvement;
(3) The
total estimated cost of the proposed addition, extension or improvement by work
category; and
(4) The
signature, full name and title of the utility employee who supervised the
preparation of the report and the date submitted.
(d) Each utility shall report to the commission
when the probable cost of any addition, extension or capital improvement to its
utility plant will exceed the reportable amounts shown in Table 7.8.1 below:
Table
7.8.1 Reportable Amounts by
|
REPORTABLE
AMOUNT |
|
|
$400,000 and
under |
$
5,000 |
400,001 to $1,000,000 |
10,000 |
1,000,001 to
2,000,000 |
15,000 |
2,000,001 to
3,000,000 |
22,500 |
3,000,001 to
50,000,000 |
30,000 |
50,000,001 to
100,000,000 |
50,000 |
100,000,001 and
over |
100,000 |
(e)
The reportable amount shall be based on the gross fixed capital, as of
December 31st of the calendar year immediately preceding, of each core
stand-alone or satellite system with an independent source of supply.
(f)
Companies with more than $10,000,000 in fixed capital may use the next
higher reporting limit for their satellite systems.
(g)
The reporting limits shall apply to total project cost including
contributions in aid of construction.
(h)
For purposes of (d) above, reporting to the commission shall consist of:
(1) A completed E-22 form; or
(2) With written approval of the commission
pursuant to (i) below, a construction budget.
(i) The commission shall accept a construction
budget in place of individual E-22 forms if the proposed budget:
(1) Highlights all projects above the utility's
reporting limit;
(2) Contains a level of detail appropriate to the
expenditures anticipated and to identification of potential project-specific
issues; and
(3) Covers a period of no longer than one year.
(j) A utility shall file an original and
duplicate copy with the commission engineering department as follows:
(1) An individual E-22 form no fewer than 30 days
before starting actual construction or expenditure of funds; or
(2) A construction budget no fewer than 60 days
before starting actual construction or expenditure of funds.
(k) A utility may provide an additional copy of
its filing and request that it be date-stamped and returned by the commission
to confirm filing.
(l) If the cost of a project is anticipated to
fall below the applicable reporting limit but later exceeds it, the utility
shall immediately file an E-22 form at whatever time or phase of the project it
becomes apparent the limit will be exceeded.
This requirement shall include projects listed in the construction
budget but not highlighted in accordance with (i)(1) above.
(m) Investigation of or comment on a construction
budget or E-22 by the commission or failure of the staff to identify prudence
review issues as described in (n) below shall not constitute a final prudence
review and the commission shall not be precluded from analyzing the merit of
any expenditure in a future rate case.
(n) If a project not included in an approved
construction budget arises which will exceed a utility's reporting limit, the
utility shall file an E-22 form.
Source. (See Revision Note at Chapter heading Puc 700)
#6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.04); ss by
#10408, eff 9-10-13
Puc
708.04 E-25 Sewer Report of Proposed
Changes in Depreciation Rates.
(a) Each utility shall file Form E-25 Sewer when
it proposes any change in depreciation rates.
(b) If the utility creates its own Form E-25
Sewer, the utility shall include on Form E-25 Sewer a caption identifying it as
“Form E-25 Sewer Report of Proposed Change in Depreciation Rates".
(c) The utility shall include on Form E-25 Sewer
the following:
(1) The name of the company;
(2) The date;
(3) The account number and title;
(4) The estimated whole life, both present and
proposed, in years;
(5) The net salvage, both present and proposed,
by percentage;
(6) The depreciation accrual rate, both present
and proposed, by percentage;
(7) The net annual change in dollars;
(8) The reasons for the change; and
(9) The signature, the printed full name and
title of the utility employee who supervised the preparation of the form as
well as the date submitted.
(d) A utility shall not implement any change in
depreciation rates until the proposed change has been approved by the
commission.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.05);
ss by #10408, eff 9-10-13
Puc
708.05 F-3 Pro Forma Income Statement
at Present and Proposed Rates for Year Ended.
(a) Each utility which requests a rate increase
shall file Form F-3 with the commission.
(b) If the utility creates its own Form F-3, the
utility shall include on Form F-3 a caption identifying the report as “Form F-3
Pro Forma Income Statement” and include the name of the utility filing the
report.
(c) The utility shall include on Form F-3 the
following:
(1) A breakdown of operating revenues and
expenses for:
a. Actual year ended;
b. Adjustments and pro forma at present rates;
c. At proposed rates with additional
requirements; and
d. Total requirements.
(d)
Each utility which requests a rate increase shall file with the
commission the following:
(1) A calculation of rate base and calculation of
rate of return;
(2) A description, including a reproduction of
actual required income and pro forma test period for rate base, rate of return,
income required, adjusted net operating income, deficiency, tax effect and
revenue deficiency;
(3) A detailed schedule, explaining and showing
how each pro forma adjustment was determined, of operating revenues and
operating expenses, operating rents and net operating income for 12 months, the
pro forma adjustments, test year as proformed, first preceding year and second
preceding year;
(4) A description of property taxes including the
town, the period, the actual amount paid, the amount accrued, the amount not
applicable to utility operations, proforma adjustments, proformed property
taxes;
(5) If a discount on property taxes was available,
the company shall state such and shall include the rate, and whether or not the
utility took advantage of the discount;
(6) A description of
payroll which shall describe accounts in operation, maintenance, construction,
plant removal and other accounts specified for 12 months ending, pro forma
adjustment and proformed to 12 months;
(7) A balance sheet of assets and deferred
charges which shall include sewer plant, other property, investments, current assets,
deferred charges for 12 months ending, first preceding year, second preceding
year, and test year average of monthly balance sheets;
(8) A description of capitalization, long-term
debt, current and accrued liabilities, deferred credits, reserves and
contributions in aid of construction for 12 months ending, and first preceding
year, second preceding year, and test year average of monthly balance sheets;
(9) A description of plant held for future use,
deferred charges, deferred credits, accumulated deferred taxes on income for
each account or subaccount and accumulated depreciation;
(10) A description of
transmission and distribution inventory, appliance inventory, other materials
and supplies for the test year average, first preceding year and the second
preceding year;
(11) A description of contributions in aid of
construction, the name or year received, the actual amount, original amount
booked and the annual depreciation taken on contributed capital;
(12) A description of the utility's rate which
shall include a description of each of the following:
a. Plant-in-service, less accumulated
depreciation and plant held for future use to derive net utility plant;
b. Cash, working
capital, materials and supplies, repayments, less deferred taxes, investment
tax credits, customer deposits, and customer advances to determine net
operating income applicable to rate base; and
c. Rate of return for jurisdictional proforma
test year average, jurisdiction 13 month average, total proformed test year average,
and total 13 month average;
(13) A description of and accounting of working
capital which shall be based upon the balance sheet approach or a detailed lag
study; and
(14) The signature, the printed full name and title
of the utility employee who supervised the preparation of the Form.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.07);
ss by #10408, eff 9-10-13
Puc 708.06 F-4
Authority to Issue Securities.
(a) Each utility shall file form F-4 with the
commission when it seeks authority to issue securities.
(b) A utility shall include on form F-4 the
following:
(1) A petition which shall include:
a. A caption identifying the form as “Form F-4
Authority to Issue Securities” and the name of the company;
b. A description of authorized and outstanding
long-term debt and capital stock;
c. The amount of short-term notes outstanding;
d. A clause giving a description and the amount
of new securities, to whom issued, the interest rates if known and the date of
the indenture mortgage under which the debt is to be issued;
e. A description of what the proceeds will be
used for;
f. A list of exhibits attached to the petition;
g. A certification statement as contained in (e)
below; and
h. The petitioner's prayer asking for the relief
requested;
(2) Exhibit 1, an application for leave to issue
securities pursuant to RSA 369:3 that includes a statement in reasonable detail
of any proposed additions, construction or working capital requirements
together with any proposed construction budget;
(3) Exhibit 2, providing a statement showing the
estimated cost of financing including, for example, legal costs, printing,
documentary tax, trustee services, and financial services;
(4) Exhibit 3, consisting of a current balance
sheet adjusted for financing with journal entries and explanations for actual,
adjustments, and as adjusted;
(5) Exhibit 4, consisting of a current income
statement adjusted for financing including new interest, depreciation and taxes
with entries for actual, adjustments and as adjusted;
(6) Exhibit 5, consisting of a statement of
capitalization ratios after giving effect to the proposed financing; and
(7) Exhibit 6, consisting of a weighted average
cost of debt.
(c)
The utility shall also provide the following:
(1) A copy of the purchase and sale agreement for
long-term financing including any letter of commitment from a lender stating
the details of financing;
(2) A copy of the mortgage indenture;
(3) A copy of terms of the new common or
preferred stock;
(4) An appropriate authorizing resolution of
petitioner's stockholders or other group or body whose consent is necessary to
authorize the petitioner to enter into the new financing; and
(5) An original and 6 copies of the petition and
exhibits.
(d) By submitting or signing a form F-4 petition,
the persons shall agree to comply with the certification requirement as set
forth in (e) below.
(e) Each utility shall provide, in connection
with a form F-4 "Petition for Authority to Issue Securities", a
certification which shall provide as follows:
"The petitioner
utility company believes and, therefore, alleges that the securities to be
issued will be consistent with public good and that it is entitled to issue
said securities under RSA 369 for the purposes set forth in its petition."
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.08); ss
by #10408, eff 9-10-13
Puc 708.07 F-16-Sewer Annual Report.
(a)
Each
utility which maintains its books on a calendar year basis shall complete the
“Annual Report for Sewer Utilities,” dated July 2013, form available on the
commission website at www.puc.nh.gov, and file one signed original and one
electronic copy with the commission annually on or before March 31st.
(b) Each utility
which maintains its books on a fiscal year which does not coincide with a calendar
year shall complete the commission’s Form F-16 “Annual Report for Sewer
Utilities,” dated July 2013, available on the commission website at www.puc.nh.gov,
and file with the commission one signed original and one electronic copy by
email or through the commission’s electronic records filing system no later
than 90 days following the close of each fiscal year.
(c)
Each utility shall comply with the electronic filing requirement
regarding the "Annual Report" form as provided in Puc 708.09.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.09);
ss by #10408, eff 9-10-13
Puc
708.08 F-22 Information Sheet.
(a) Each utility shall file Form F-22:
(1) Annually; and
(2) Whenever any changes occur to the information
included in the form F-22 filing.
(b) Each utility shall include the following on
form F-22:
(1) The name of the utility;
(2) The person's name and address to receive the
annual report form;
(3) The person's name and address to receive the
utility assessment tax;
(4) The names and titles of the principal
officers of the company; and
(5) The signature, the printed full name and
title of the utility employee who supervised the preparation of the form as
well as the date submitted.
Source. (See Revision Note at Chapter heading Puc 700)
#6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.10); ss by
#10408, eff 9-10-13
Puc 708.09 Electronic Filing Requirement, Annual
Report.
(a) “Electronic
filing” means the filing with the commission of an electronic version of a
document or form.
(b) Each utility
shall, in addition to filing a completed and executed “Annual Report” in paper
as required by Puc 708.07, electronically file with the commission, to the
extent practicable, in an electronic file format compatible with the computer
system of the commission, a completed “Annual Report” form.
(c) The commission
shall maintain a list on its web site of the types of electronic file formats
compatible with its computer system.
(d)
Any sewer utility serving fewer than 600 customers shall be exempt from
the requirements of this section.
(e)
Any utility may petition for a one year waiver from the electronic
filing requirement pursuant to the waiver provisions of Puc 201.05.
(f)
In its application for a waiver under (e) above, a utility shall
describe and provide evidence to demonstrate that:
(1) It does not have the computer capability to
generate electronic reports or filings due to the small size of its overall
operations or its lack of computer equipment and/or expertise; or
(2) Its existing available computer systems are
not compatible with the computer systems of the commission and because of this
incompatibility it would be prohibitively expensive or cumbersome to file
electronically; or
(3) Other circumstances would make electronic
filing prohibitively expensive or cumbersome.
(g)
The commission shall issue a waiver under (e) and (f) above if it
determines that the burden on the utility of electronic filing outweighs the
benefit to the administrative process.
(h)
The commission shall make available to each utility upon request an
electronic version of the "Annual Report" form when the commission
has prepared and has available an electronic version.
Source. (See Revision Note at Chapter heading Puc
700) #6475, eff 3-25-97; ss and moved by #8312, eff 3-25-05 (from Puc 708.11);
ss by #10408, eff 9-10-13
Appendix
Rule |
|
|
|
Puc 701.01 - 702.10 |
RSA 365:8, XII |
Puc 703.01 |
RSA 365:8, XII, 374:15 |
Puc 703.02 |
RSA 365:8, XII, 370:7 |
Puc 703.03 - 703.04 |
RSA 365:8, XII, 374:3;
370:2 |
Puc 704.01 - 704.03 |
RSA 365:8, XII, 370:2 |
Puc 705.01 |
RSA 365:8, XII, 374:3 |
Puc 706.01 - 706.04 |
RSA 365:8, XII, 374:4,
13 |
Puc 706.05 - 706.07 |
RSA 365:8, XII,
369:1,3; 374:13 |
Puc 707.01 - 707.04 |
RSA 365:8, XII,
374:37-39; 374:3, 4 |
Puc 708.01 |
RSA 365:8, XII, 374:39 |
Puc 708.02 |
RSA 365:8, XII,
370:2-5 |
Puc 708.03 |
RSA 365:8, XII, 374:5,
13, 15 |
Puc 708.04 |
RSA 365:8, XII, 374:4 |
Puc 708.05 |
RSA 365:8, XII, 374:2;
378:3 |
Puc 708.06 |
RSA 365:8, XII, 369:1,
3 |
Puc 708.07 |
RSA 365:8, XII, 374:4;
374:13 |
Puc 708.08 - 708.09 |
RSA 365:8, XII |