{"operation":"document","citation":"4 CCR 723-4 Rule 4002","title":"Applications","source_type":"regulation","agency":"Colorado Public Utilities Commission","status":"current","official":true,"published_on":null,"effective_on":null,"summary":"(a) Any person may seek Commission action regarding any of the following matters through the filing of an appropriate application to request a(n): (I) issuance or extension of a certificate of public convenience and necessity for a franchise, as provided in rule 4100; (II) issuance or extension of a","machine_formats":{"json":"https://regulus.evalyn.ai/document/co-ccr-4-723-4-4002.json","markdown":"https://regulus.evalyn.ai/document/co-ccr-4-723-4-4002.md"},"app_url":"https://regulus.evalyn.ai/document/co-ccr-4-723-4-4002","source_url":"https://www.sos.state.co.us/CCR/DisplayRule.do?action=ruleinfo&ruleId=2260&deptID=18&agencyID=96&deptName=Department%20of%20Regulatory%20Agencies&agencyName=Public%20Utilities%20Commission&seriesNum=4%20CCR%20723-4","body":"(a) Any person may seek Commission action regarding any of the following matters\nthrough the filing of an appropriate application to request a(n):\n(I) issuance or extension of a certificate of public convenience and necessity\nfor a franchise, as provided in rule 4100;\n(II) issuance or extension of a certificate of public convenience and necessity\nfor service territory, as provided in rule 4101;\n(III) issuance of a certificate of public convenience and necessity for\nconstruction of facilities, as provided in rule 4102;\n(IV) amendment of a certificate of public convenience and necessity to\nchange, extend, curtail, abandon, or discontinue any service or facility, as\nprovided in rule 4103;\n(V) transfer a certificate of public convenience and necessity, to obtain a\ncontrolling interest in any utility, to transfer assets within the jurisdiction of\nthe Commission or stock, or to merge a utility with another entity, as\nprovided in rule 4104;\n(VI) approval of the issuance or assumption of any security, or to create a lien\npursuant to § 40-1-104, C.R.S., as provided in rule 4105;\n\n(VII) flexible regulatory treatment to provide service without reference to tariffs,\nas provided in rule 4106;\n(VIII) approval of a new tariff or an amendment of a tariff for a rate adjustment\nmechanism on less than statutory notice, as provided in rule 4109;\n(IX) approval of a meter sampling program, as provided in rule 4304;\n(X) approval of a refund plan, as provided in rule 4410;\n(XI) approval of a Low-Income Energy Assistance Plan, as provided in rule\n4411;\n(XII) approval of a cost assignment and allocation manual, as provided in rule\n4503;\n(XIII) approval of a gas infrastructure plan, as provided in rule 4552;\n(XIV) approval of a clean heat plan, as provided in rule 4729 or 4734;\n(XV) approval of a gas demand side management plan, as provided in\nparagraph 4752(e) and rule 4753, or for determinations on demand side\nmanagement strategic issues, as provided in rule 4761;\n(XVI) appeal of a local government land use decision, as provided in rule 4703;\nor\n(XVII) any other matter not specifically described in this rule, unless such matter\nis required to be submitted as a petition under rule 1304, as a motion, or\nas some other specific type of submittal.\n(b) In addition to the requirements of specific rules, all applications shall include, in\nthe following order and specifically identified, the following information, either in\nthe application or in appropriately identified attachments:\n(I) the name and address of the applying utility;\n(II) the name(s) under which the applying utility is, or will be, providing service\nin Colorado;\n(III) the name, address, telephone number, and e-mail address of the applying\nutility's representative to whom all inquiries concerning the application\nshould be made;\n(IV) a statement that the applying utility agrees to answer all questions\npropounded by the Commission or Commission staff concerning the\napplication;\n\n(V) a statement that the applying utility shall permit the Commission or\nCommission staff to inspect the applying utility's books and records as part\nof the investigation into the application;\n(VI) a statement that the applying utility understands that, if any portion of the\napplication is found to be false or to contain material misrepresentations,\nany authorities granted pursuant to the application may be revoked upon\nCommission order;\n(VII) in lieu of the separate statements required by subparagraphs (b)(IV)\nthrough (VI) of this rule, a utility may include a statement that it has read,\nand agrees to abide by, the provisions of subparagraphs (b)(IV) through\n(VI) of this rule.;\n(VIII) a statement describing the applying utility’s existing operations and\ngeneral service area in Colorado.\n(IX) for applications listed in subparagraphs (a)(I), (II), (III), (V), and (VI) of this\nrule, the applying utility's or parent company’s and consolidated\nsubsidiaries’ most recent audited balance sheet, income statement,\nstatement of retained earnings, and statement of cash flows so long as\nthey provide Colorado specific financial information;\n(X) a statement indicating the town or city, and any alternative town or city, in\nwhich the applying utility prefers any hearing be held; and\n(XI) acknowledgment that, by signing the application, the applying utility\nunderstands that:\n(A) the filing of the application does not by itself constitute approval of\nthe application;\n(B) if the application is granted, the applying utility shall not commence\nthe requested action until the applying utility complies with\napplicable Commission rules and with any conditions established\nby Commission order granting the application; and\n(C) if a hearing is held, the applying utility shall present evidence at the\nhearing to establish its qualifications to undertake, and its right to\nundertake, the requested action.\n(D) in lieu of the statements contained in subparagraphs (b)(XI)(A)\nthrough (C) of this rule, an applying utility may include a statement\nthat it has read, and agrees to abide by, the provisions of\nsubparagraphs (b)(XI)(A) through (C) of this rule.\n(XII) An attestation which is made under penalty of perjury; which is signed by\nan officer, a partner, an owner, an employee of, an agent for, or an\n\nattorney for the applying utility, as appropriate, who is authorized to act on\nbehalf of the applying utility; and which states that the contents of the\napplication are true, accurate, and correct. The application shall contain\nthe title and the complete address of the affiant.\n(c) In addition to the requirements of specific rules, all applications shall include the\ninformation listed in subparagraphs (a)(I) through (V) of rule 1310. Applying\nutilities may either include the information in the application itself, or incorporate\nthe information by reference to the most recent miscellaneous proceeding\ncreated under rule 1310.\n(d) Customer notice. Except as required or permitted by § 40-3-104, C.R.S., if the\napplicant is required by statute, Commission rule, or order to provide notice to its\ncustomers of the application, the applicant shall, within seven days after filing an\napplication with the Commission, cause to have published notice of the filing of\nthe application in each newspaper of general circulation in the municipalities\nimpacted by the application. The applicant shall provide proof of such customer\nnotice within 14 days of the publication in the newspaper. Failure to provide such\nnotice or failure to provide the Commission with proof of notice may cause the\nCommission to deem the application incomplete. The applicant may also be\nrequired by statute, Commission rule, or order to provide additional notice to its\ncustomers of the application by first-class mailing or by hand-delivery. Both the\nnewspaper notice and any additional customer notice(s) shall include the\nfollowing:\n(I) the title “Notice of Application by [Name of the Utility] to [Purpose of\nApplication]”;\n(II) state that [Name of Utility] has applied to the Colorado Public Utilities\nCommission for approval to [Purpose of Application]. If the utility\ncommonly uses another name when conducting business with its\ncustomers, the “also known as” name should also be identified in the\nnotice to customers;\n(III) provide a brief description of the proposal and the scope of the proposal,\nincluding an explanation of the possible impact upon persons receiving the\nnotice;\n(IV) identify which customer class(es) will be affected and the monthly\ncustomer rate impact by customer class, if customers’ rates are affected\nby the application;\n(V) identify the proposed effective date of the application;\n(VI) identify that the application was filed on less than statutory notice or if the\napplicant requests an expedited Commission decision, as applicable;\n\n(VII) state that the filing is available for inspection in each local office of the\napplicant and at the Colorado Public Utilities Commission;\n(VIII) identify the proceeding number, if known at the time the customer notice is\nprovided;\n(IX) state that any person may file written comment(s) or objection(s)\nconcerning the application with the Commission. As part of this statement,\nthe notice shall identify both the address and e-mail address of the\nCommission and shall state that the Commission will consider all written\ncomments and objections submitted prior to the evidentiary hearing on the\napplication;\n(X) state that if a person desires to participate as a party in any proceeding\nbefore the Commission regarding the filing, such person shall file an\nintervention in accordance with the rule 1401 of the Commission’s Rules\nof Practice and Procedure or any applicable Commission order;\n(XI) state that the Commission may hold a public hearing in addition to an\nevidentiary hearing on the application and that if such a hearing is held\nmembers of the public may attend and make statements even if they did\nnot file comments, objections or an intervention. State that if the\napplication is uncontested or unopposed, the Commission may determine\nthe matter without a hearing and without further notice; and\n(XII) state that any person desiring information regarding if and when hearings\nmay be held shall submit a written request to the Commission or,\nalternatively, shall contact the External Affairs section of the Commission\nat its local or toll-free phone number. Such statement shall also identify\nboth the local and toll-free phone numbers of the Commission’s External\nAffairs section.","truncated":false,"body_characters":9505}