# Applications

- **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:** Not available
- **effective on:** Not available
- **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
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- **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
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 certificate of public convenience and necessity
for service territory, as provided in rule 4101;
(III) issuance of a certificate of public convenience and necessity for
construction of facilities, as provided in rule 4102;
(IV) amendment of a certificate of public convenience and necessity to
change, extend, curtail, abandon, or discontinue any service or facility, as
provided in rule 4103;
(V) transfer a certificate of public convenience and necessity, to obtain a
controlling interest in any utility, to transfer assets within the jurisdiction of
the Commission or stock, or to merge a utility with another entity, as
provided in rule 4104;
(VI) approval of the issuance or assumption of any security, or to create a lien
pursuant to § 40-1-104, C.R.S., as provided in rule 4105;

(VII) flexible regulatory treatment to provide service without reference to tariffs,
as provided in rule 4106;
(VIII) approval of a new tariff or an amendment of a tariff for a rate adjustment
mechanism on less than statutory notice, as provided in rule 4109;
(IX) approval of a meter sampling program, as provided in rule 4304;
(X) approval of a refund plan, as provided in rule 4410;
(XI) approval of a Low-Income Energy Assistance Plan, as provided in rule
4411;
(XII) approval of a cost assignment and allocation manual, as provided in rule
4503;
(XIII) approval of a gas infrastructure plan, as provided in rule 4552;
(XIV) approval of a clean heat plan, as provided in rule 4729 or 4734;
(XV) approval of a gas demand side management plan, as provided in
paragraph 4752(e) and rule 4753, or for determinations on demand side
management strategic issues, as provided in rule 4761;
(XVI) appeal of a local government land use decision, as provided in rule 4703;
or
(XVII) any other matter not specifically described in this rule, unless such matter
is required to be submitted as a petition under rule 1304, as a motion, or
as some other specific type of submittal.
(b) In addition to the requirements of specific rules, all applications shall include, in
the following order and specifically identified, the following information, either in
the application or in appropriately identified attachments:
(I) the name and address of the applying utility;
(II) the name(s) under which the applying utility is, or will be, providing service
in Colorado;
(III) the name, address, telephone number, and e-mail address of the applying
utility's representative to whom all inquiries concerning the application
should be made;
(IV) a statement that the applying utility agrees to answer all questions
propounded by the Commission or Commission staff concerning the
application;

(V) a statement that the applying utility shall permit the Commission or
Commission staff to inspect the applying utility's books and records as part
of the investigation into the application;
(VI) a statement that the applying utility understands that, if any portion of the
application is found to be false or to contain material misrepresentations,
any authorities granted pursuant to the application may be revoked upon
Commission order;
(VII) in lieu of the separate statements required by subparagraphs (b)(IV)
through (VI) of this rule, a utility may include a statement that it has read,
and agrees to abide by, the provisions of subparagraphs (b)(IV) through
(VI) of this rule.;
(VIII) a statement describing the applying utility’s existing operations and
general service area in Colorado.
(IX) for applications listed in subparagraphs (a)(I), (II), (III), (V), and (VI) of this
rule, the applying utility's or parent company’s and consolidated
subsidiaries’ most recent audited balance sheet, income statement,
statement of retained earnings, and statement of cash flows so long as
they provide Colorado specific financial information;
(X) a statement indicating the town or city, and any alternative town or city, in
which the applying utility prefers any hearing be held; and
(XI) acknowledgment that, by signing the application, the applying utility
understands that:
(A) the filing of the application does not by itself constitute approval of
the application;
(B) if the application is granted, the applying utility shall not commence
the requested action until the applying utility complies with
applicable Commission rules and with any conditions established
by Commission order granting the application; and
(C) if a hearing is held, the applying utility shall present evidence at the
hearing to establish its qualifications to undertake, and its right to
undertake, the requested action.
(D) in lieu of the statements contained in subparagraphs (b)(XI)(A)
through (C) of this rule, an applying utility may include a statement
that it has read, and agrees to abide by, the provisions of
subparagraphs (b)(XI)(A) through (C) of this rule.
(XII) An attestation which is made under penalty of perjury; which is signed by
an officer, a partner, an owner, an employee of, an agent for, or an

attorney for the applying utility, as appropriate, who is authorized to act on
behalf of the applying utility; and which states that the contents of the
application are true, accurate, and correct. The application shall contain
the title and the complete address of the affiant.
(c) In addition to the requirements of specific rules, all applications shall include the
information listed in subparagraphs (a)(I) through (V) of rule 1310. Applying
utilities may either include the information in the application itself, or incorporate
the information by reference to the most recent miscellaneous proceeding
created under rule 1310.
(d) Customer notice. Except as required or permitted by § 40-3-104, C.R.S., if the
applicant is required by statute, Commission rule, or order to provide notice to its
customers of the application, the applicant shall, within seven days after filing an
application with the Commission, cause to have published notice of the filing of
the application in each newspaper of general circulation in the municipalities
impacted by the application. The applicant shall provide proof of such customer
notice within 14 days of the publication in the newspaper. Failure to provide such
notice or failure to provide the Commission with proof of notice may cause the
Commission to deem the application incomplete. The applicant may also be
required by statute, Commission rule, or order to provide additional notice to its
customers of the application by first-class mailing or by hand-delivery. Both the
newspaper notice and any additional customer notice(s) shall include the
following:
(I) the title “Notice of Application by [Name of the Utility] to [Purpose of
Application]”;
(II) state that [Name of Utility] has applied to the Colorado Public Utilities
Commission for approval to [Purpose of Application]. If the utility
commonly uses another name when conducting business with its
customers, the “also known as” name should also be identified in the
notice to customers;
(III) provide a brief description of the proposal and the scope of the proposal,
including an explanation of the possible impact upon persons receiving the
notice;
(IV) identify which customer class(es) will be affected and the monthly
customer rate impact by customer class, if customers’ rates are affected
by the application;
(V) identify the proposed effective date of the application;
(VI) identify that the application was filed on less than statutory notice or if the
applicant requests an expedited Commission decision, as applicable;

(VII) state that the filing is available for inspection in each local office of the
applicant and at the Colorado Public Utilities Commission;
(VIII) identify the proceeding number, if known at the time the customer notice is
provided;
(IX) state that any person may file written comment(s) or objection(s)
concerning the application with the Commission. As part of this statement,
the notice shall identify both the address and e-mail address of the
Commission and shall state that the Commission will consider all written
comments and objections submitted prior to the evidentiary hearing on the
application;
(X) state that if a person desires to participate as a party in any proceeding
before the Commission regarding the filing, such person shall file an
intervention in accordance with the rule 1401 of the Commission’s Rules
of Practice and Procedure or any applicable Commission order;
(XI) state that the Commission may hold a public hearing in addition to an
evidentiary hearing on the application and that if such a hearing is held
members of the public may attend and make statements even if they did
not file comments, objections or an intervention. State that if the
application is uncontested or unopposed, the Commission may determine
the matter without a hearing and without further notice; and
(XII) state that any person desiring information regarding if and when hearings
may be held shall submit a written request to the Commission or,
alternatively, shall contact the External Affairs section of the Commission
at its local or toll-free phone number. Such statement shall also identify
both the local and toll-free phone numbers of the Commission’s External
Affairs section.
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