Ala. Admin. Code r. 770-X-9-.03 - Application For Certificates Of Financial Viability And Modifications Thereof

(1) All Wastewater Management Entities who seek a Certification of Financial Viability, except those who have already had their financial viability verified by the PSC Staff and approved by ADPH prior to the effective date of Code of Ala. 1975, § 22-25B-1, et seq., shall file an application with the PSC seeking such certification of their financial viability. A Certificate of Financial Viability must be issued by the PSC prior to the issuance of a new operating permit by ADEM or ADPH. The fee which must accompany each such application for a Certificate of Financial Viability shall be $700.00. Such applications for a Certificate of Financial Viability may apply to multiple systems for the $700.00 filing fee. In addition to any special requests by the Commission, the following will be required with respect to applications seeking certification of financial viability:

(2) Form of Application

(a) Each application shall be addressed to the Alabama Public Service Commission and filed with the Secretary of the Commission.

(b) Each application shall be subscribed and sworn to before a notary public or other officer authorized to administer oaths, by the owner, officer, general partner or other responsible individual member of applicant's management.

(c) Each application shall specify or include by exhibit attached thereto, the following:

1. Full and accurate name and address of the applicant.

2. Character of the organization; e.g., corporation, LLC, partnership, or individual proprietorship.

3. Proposed tariff showing all rates, classifications and charges for service of every kind furnished or to be furnished and all Rules and Regulations. (See Appendix A)

4. Worksheets for rates, detailing the data and calculations used to arrive at such rates which must be cost-based.

5. Detailed description of proposed service area including service area map.

6. Detailed description of the wastewater system(s) including a description of the collection system(s) and the treatment facility(s).

7. Copy of franchise agreement(s) and/or approval(s) of municipal authorities (or county permits).

8. Estimate, in reasonable detail, of the cost of proposed construction.

9. Draft operational permit number(s).

10. All documents pursuant to 770-X-9-.6 and 770-X-9-.7.

11. Estimated revenue to be derived from this operation, indicating the estimated number of consumers in each classification of service. Include and itemize estimated revenue to be derived from vacant lot fees or sewer system access fees.

12. Copies of operators/installers licenses.

13. Copies of all contracts pertaining to wastewater system(s) to which the ME is a party.

14. Copies of all relevant deeds and trust indentures.

15. Copies of all regulatory compliance enforcement documents received by applicant in the last two years.

(3) In addition to initial applications seeking a Certificate of Financial Viability, Wastewater Management Entities who already hold a Certificate of Financial Viability issued by the PSC may seek a modification of their existing Certificate by filing an Application for Modification of an Existing Certificate of Financial Viability. Applications for Modification of an Existing Certificate of Financial Viability may encompass multiple systems for the required filing fee of $300.00. Such Applications for Modification must include all of the information required by 770-X-9-.3(2) that has not been previously provided to the Commission. Modification of an existing Certificate of Financial Viability shall be mandatory before a new operating permit is issued by ADEM or ADPH or before an operating permit is modified by ADEM or ADPH.

(4) The original and one (1) copy of all applications for certification of financial viability or modification of existing certificates shall be filed with the Commission if applicant also submits applications online using the PSC website. Otherwise, an original and ten (10) copies are required for submittal.

Notes

Ala. Admin. Code r. 770-X-9-.03

Effective as Interim Rule: August 2009. Filed with LRS February 5, 2013. Filed for Codification in the Alabama Administrative Code by the Alabama Public Service Commission on February 5, 2013, pursuant to Code of Ala. 1975, § 41-22-7.

Author: Alabama Public Service Commission

Statutory Authority: Code of Ala. 1975, §§ 22-25B-6, 22-25B-7.