RULES REGULATING GAS UTILITIES
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Department of Regulatory Agencies
Public Utilities Commission
RULES REGULATING GAS UTILITIES
4 CCR 723-4
[Editor’s Notes follow the text of the rules at the end of this CCR Document.]
BASIS, PURPOSE, AND STATUTORY AUTHORITY.
The basis and purpose of these rules is to set forth the manner of regulation over
jurisdictional gas utilities, the services they provide, and their actions to maintain just
and reasonable rates, ensure system safety, reliability, and resiliency, protect
disproportionately impacted communities, and reduce greenhouse gas emissions from
the use of gas by their customers and from leaks in their facilities. These rules also set
forth the manner of regulation over master meter operators. These rules address a wide
variety of subject areas including, but not limited to, planning, expenditure and demand
forecasting, cost and rate impacts, system safety and integrity planning, service
interruption, meter testing and accuracy, safety, customer information, customer
deposits, rate schedules and tariffs, discontinuance of service, master meter operations,
transportation service, flexible regulation, procedures for administering the Low-Income
Energy Assistance Act, gas service low-income programs, cost allocation between
regulated and unregulated operations, recovery of gas costs, appeals regarding local
government land use decisions, demand side management programs, the reduction of
greenhouse gas emissions from the distribution and end-use consumption of gas, and
authority of the Commission to impose civil penalties on public utilities. The statutory
authority for these rules can be found at §§ 29-20-108, 40-1-103.5, 40-2-108, 40-3-102,
40-3-102.5, 40-3-103, 40-3-104.3, 40-3-106, 40-3-111, 40-3-114, 40-3-101, 40-3.2-103,
40-3.2-106, 40-3.2-107, 40-3.2-108, 40-4-101, 40-4-106, 40-4-108, 40-4-109, 40-5-103,
40-7-117, 40-7-113.5, 40-7-116.5; and 40-8.7-105(5), C.R.S.
GENERAL PROVISIONS
4000. Scope and Applicability.
ublic utilities. The statutory
authority for these rules can be found at §§ 29-20-108, 40-1-103.5, 40-2-108, 40-3-102,
40-3-102.5, 40-3-103, 40-3-104.3, 40-3-106, 40-3-111, 40-3-114, 40-3-101, 40-3.2-103,
40-3.2-106, 40-3.2-107, 40-3.2-108, 40-4-101, 40-4-106, 40-4-108, 40-4-109, 40-5-103,
40-7-117, 40-7-113.5, 40-7-116.5; and 40-8.7-105(5), C.R.S.
GENERAL PROVISIONS
4000. Scope and Applicability.
(a)
Absent a specific statute, rule, or Commission order which provides otherwise, all
rules in this Part 4 (the 4000 series) shall apply to all jurisdictional gas utilities,
gas master meter operators, and to all Commission proceedings concerning gas
utilities and gas master meter operators.
(b)
The scope and applicability rules regarding appeals of local government land use
decisions are as stated in rule 4700.
Code of Colorado Regulations
Secretary of State
State of Colorado
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4001. Definitions.
The following definitions apply throughout this Part 4, except where a specific rule or
statute provides otherwise. In addition to the definitions here, the definitions found in the
Public Utilities Law and Part 1 apply to these rules. In the event of a conflict between
these definitions and a statutory definition, the statutory definition shall apply. In the
event of a conflict between these definitions and a definition in Part 1, these definitions
shall apply.
(a)
“Advanced metering infrastructure” means an integrated system of smart electric
or gas utility meters and communication networks that enables two-way
communication between an electric or gas utility’s data systems and the meter’s
internet protocol address and allows the utility to measure usage and/or connect
or disconnect services remotely.
definition in Part 1, these definitions
shall apply.
(a)
“Advanced metering infrastructure” means an integrated system of smart electric
or gas utility meters and communication networks that enables two-way
communication between an electric or gas utility’s data systems and the meter’s
internet protocol address and allows the utility to measure usage and/or connect
or disconnect services remotely.
(b)
“Affiliate” of a utility means a subsidiary of a utility, a parent corporation of a
utility, a joint venture organized as a separate corporation or partnership to the
extent of the individual utility’s involvement with the joint venture, a subsidiary of
a parent corporation of a utility or where the utility or the parent corporation has a
controlling interest over an entity.
(c)
“Aggregated data” means customer data, alone or in combination with non-
customer data, resulting from processing (e.g., average of a group of customers)
or a compilation of customer data of one or more customers from which personal
information has been removed.
(d)
“Applicant for service” means a person who applies for utility service and who
either has taken no previous utility service from that utility or has not taken utility
service from that utility within the most recent 30 days.
(e)
“Air Pollution Control Division” means the Air Pollution Control Division of the
Colorado Department of Public Health and Environment established by § 25-1-
102(2)(a), C.R.S.
(f)
“Air Quality Control Commission” means the decision-making body within the
Colorado Department of Public Health and Environment established by § 25-7-
104, C.R.S., to oversee and promulgate the rules to administer Colorado’s air
quality programs.
(g)
“Base rate” means charges used to recover costs of utility infrastructure and
operations, including a return on capital investment, not otherwise recovered
through a utility rate adjustment mechanism.
-making body within the
Colorado Department of Public Health and Environment established by § 25-7-
104, C.R.S., to oversee and promulgate the rules to administer Colorado’s air
quality programs.
(g)
“Base rate” means charges used to recover costs of utility infrastructure and
operations, including a return on capital investment, not otherwise recovered
through a utility rate adjustment mechanism.
(h)
“Basis Point” means one-hundredth of a percentage point (100 basis points = 1
percent).
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(i)
“Benefit of service” means the use of utility service by each person of legal age
who resides at a premises to which service is delivered and who is not registered
with the utility as the customer of record.
(j)
"Biomethane" means:
(I)
a mixture of carbon dioxide and hydrocarbons released from the biological
decomposition of organic materials that is primarily methane and provides
a net reduction in greenhouse gas emissions; and
(II)
includes biomethane recovered from manure management systems or
anaerobic digesters that has been processed to meet pipeline quality gas
standards.
(k)
"Commission" means the Colorado Public Utilities Commission.
(l)
"Contracted agent" means any person that has contracted with a utility in
compliance with rule 4030 to assist in the provision of regulated utility services
(e.g., an affiliate or vendor).
(m)
“Craft labor certification” means all documentation and certification of payroll
required for an Energy Sector Public Works project.
ards.
(k)
"Commission" means the Colorado Public Utilities Commission.
(l)
"Contracted agent" means any person that has contracted with a utility in
compliance with rule 4030 to assist in the provision of regulated utility services
(e.g., an affiliate or vendor).
(m)
“Craft labor certification” means all documentation and certification of payroll
required for an Energy Sector Public Works project.
(n)
"Cubic foot" means, as the context requires.
(I)
At Local Pressure Conditions. For the purpose of measuring gas to a
customer at local pressure conditions, a cubic foot is that amount of gas
which occupies a volume of one cubic foot under the conditions existing in
the customer’s meter as and where installed. When gas is metered at a
pressure in excess of eight inches of water column gauge pressure, a
suitable correction factor shall be applied to provide for measurement of
gas as if delivered and metered at a pressure of six inches of water
column gauge pressure. A utility may also apply appropriate factors to
correct local pressure measurement to standard conditions.
(II)
At Standard Conditions. For all other purposes, including testing gas, a
standard cubic foot is that amount of gas at standard conditions which
occupies a volume of one cubic foot.
(o)
"Curtailment" means the inability of a transportation customer or a sales
customer to receive gas due to a shortage of gas supply.
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(p)
"Customer" means any person who is currently receiving utility service. Any
person who moves within a utility’s service territory and obtains utility service at a
new location within 30 days shall be considered a "customer." Unless stated in a
particular rule, "customer" applies to any class of customer as defined by the
Commission or by utility tariff.
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(p)
"Customer" means any person who is currently receiving utility service. Any
person who moves within a utility’s service territory and obtains utility service at a
new location within 30 days shall be considered a "customer." Unless stated in a
particular rule, "customer" applies to any class of customer as defined by the
Commission or by utility tariff.
(q)
"Customer data" means customer specific information, excluding personal
information as defined in paragraph 1004(x), that is:
(I)
collected from the gas meter by the utility and stored in its data systems;
(II)
combined with customer-specific energy usage information on bills issued
to the customer for regulated utility service when not publicly or lawfully
available to the general public; or
(III)
about the customer’s participation in regulated utility programs, such as
renewable energy, demand-side management, load management, or
energy efficiency programs.
(r)
"Dekatherm" (Dth) means a measurement of gas commodity heat content. One
Dekatherm is the energy equivalent of 1,000,000 British Thermal Units (1
MMBtu).
(s)
"Dedicated recovered methane pipeline" means a conveyance of recovered
methane that is not a part of a common carrier pipeline system, and which
conveys recovered methane from where it is generated to a common carrier
pipeline or to the end user in Colorado for which the recovered methane was
produced so long as the recovered methane replaces geologic gas supplied by a
gas distribution utility or small gas distribution utility.
(t)
"Design peak demand" refers to the maximum gas flow rate projected for a utility
system, or a portion thereof, which is utilized by a utility for gas infrastructure
capacity planning.
ipeline or to the end user in Colorado for which the recovered methane was
produced so long as the recovered methane replaces geologic gas supplied by a
gas distribution utility or small gas distribution utility.
(t)
"Design peak demand" refers to the maximum gas flow rate projected for a utility
system, or a portion thereof, which is utilized by a utility for gas infrastructure
capacity planning.
(u)
"Disproportionately impacted community" means a geographic area defined
pursuant to § 40-2-108(3)(d), C.R.S., and as may be further modified by
Commission rule or order. Mapping of such geographic areas shall be conducted
in accordance with the best available mapping tool developed by the Colorado
Department of Public Health and Environment, until such time as a different
practice is adopted by Commission rule or order.
(v)
"Distribution system" means the utility-owned piping and associated facilities
used to deliver gas to customers, excluding facilities owned by a utility that are
classified on the books and records of the utility as production, storage, or
transmission facilities.
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(w)
"Emergency or safety event or circumstance" means a manmade or natural
emergency event or safety circumstance:
(I)
that prevents utility staff from being able to safely travel to or work at a
customer's residence or place of business for purposes of reconnecting or
making necessary repairs prior to reconnecting utility service; or
(II)
for which a utility has dispatched utility staff members to help respond to
the emergency or safety event or circumstance and, due to the timing or
number of utility staff dispatched, the utility lacks sufficient trained staff to
reconnect or make necessary repairs prior to reconnecting utility service at
a customer's residence or place of business; and
(III)
includes a severe weather event that one or more reputable weather
forecasting sources forecasts to occur in the following twenty-four hours
and that is more likely than not
he timing or
number of utility staff dispatched, the utility lacks sufficient trained staff to
reconnect or make necessary repairs prior to reconnecting utility service at
a customer's residence or place of business; and
(III)
includes a severe weather event that one or more reputable weather
forecasting sources forecasts to occur in the following twenty-four hours
and that is more likely than not to result in dangerous travel or on-site
outdoor or indoor work conditions for individuals in the path of the weather
event.
(x)
"Energy assistance organization" means the nonprofit corporation established for
low-income energy assistance pursuant to § 40-8.5-104, C.R.S.
(y)
“Energy Sector Public Works (ESPW) project” is a project pursuant to § 24-92-
301, C.R.S., et seq., that for purposes of these rules:
(I)
has the purpose of transmitting or distributing natural gas to provide
energy to Colorado individual consumers and businesses;
(II)
is built by or for a utility;
(III)
has a total project cost of $1,000,000 or greater, of which the utility will
request Commission approval for ratepayers to pay at least $500,000;
(IV)
is included for approval through any proceeding conducted by the
Commission as part of a request for a certificate of public convenience
and necessity pursuant to § 40-5-101, C.R.S., et seq. and the cost
thresholds set forth in rule 4102; and
(V)
includes utility gas transmission and distribution, geothermal systems or
thermal networks, and hydrogen-related infrastructure construction
projects.
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ssion as part of a request for a certificate of public convenience
and necessity pursuant to § 40-5-101, C.R.S., et seq. and the cost
thresholds set forth in rule 4102; and
(V)
includes utility gas transmission and distribution, geothermal systems or
thermal networks, and hydrogen-related infrastructure construction
projects.
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(z)
"Gas" means natural or geological gas; hydrogen, or recovered methane, or any
mixture thereof transported by a common carrier or dedicated pipeline;
flammable gas; manufactured gas; petroleum or other hydrocarbon gases
including propane; or any mixture of gases injected into a pipeline and
transmitted, distributed, or furnished by any utility.
(aa)
"Income-qualified utility customer" or "low-income customer" is a customer
meeting the requirements of § 40-3-106(1)(d)(II), C.R.S.
(bb)
"Informal complaint" means an informal complaint as defined and discussed in
the Commission’s Rules Regulating Practice and Procedure, 4 CCR 723-1.
(cc)
"Interruption" means a utility’s inability to provide transportation to a
transportation customer, or its inability to serve a sales customer, due to
constraints on the utility’s pipeline system.
(dd)
"Intrastate transmission pipeline" or "ITP" means generally any person that
provides gas transportation service for compensation to or for another person in
the State of Colorado using transmission facilities rather than distribution facilities
and is exempt from FERC jurisdiction.
(ee)
"Local distribution company" (LDC) means any person, other than an interstate
pipeline or an intrastate transmission pipeline, engaged in the sale and
distribution of gas for end-user consumption. A LDC may also perform
transportation services for its end-use customers, for another LDC or its end-use
customers, as authorized under its effective Colorado jurisdictional tariffs
RC jurisdiction.
(ee)
"Local distribution company" (LDC) means any person, other than an interstate
pipeline or an intrastate transmission pipeline, engaged in the sale and
distribution of gas for end-user consumption. A LDC may also perform
transportation services for its end-use customers, for another LDC or its end-use
customers, as authorized under its effective Colorado jurisdictional tariffs.
(ff)
"Local government" means any Colorado county, municipality, city and county,
home rule city or town, home rule city and county, or city or town operating under
a territorial charter.
(gg)
"Local office" means any Colorado office operated by a utility at which persons
may make requests to establish or to discontinue utility service. If the utility does
not operate an office in Colorado, "local office" means any office operated by a
utility at which persons may make requests to establish or to discontinue utility
service in Colorado.
(hh)
"Mandatory relocation" means a project to relocate the utility’s gas infrastructure
as required by a federal, tribal, state, county, or local governmental body.
(ii)
"Main" means a distribution line that serves, or is designed to serve, as a
common source of supply for more than one service lateral.
(jj)
"Mcf" means 1,000 standard cubic feet.
(kk)
"MMBtu" means 1,000,000 British Thermal Units, or one Dekatherm.
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as required by a federal, tribal, state, county, or local governmental body.
(ii)
"Main" means a distribution line that serves, or is designed to serve, as a
common source of supply for more than one service lateral.
(jj)
"Mcf" means 1,000 standard cubic feet.
(kk)
"MMBtu" means 1,000,000 British Thermal Units, or one Dekatherm.
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(ll)
"Natural gas" or "geological gas" means methane or other hydrocarbons that
occur underground without human intervention and may be used as fuel.
(mm) "Non-pipeline alternative" means programs, equipment, or actions that avoid,
reduce, or delay the need for investment in certain types of new gas
infrastructure and may include energy efficiency, demand response, and
beneficial electrification.
(nn)
"Non-standard customer data" means all customer data that are not standard
customer data.
(oo)
"Past due" means the point at which a utility can affect a customer’s account for
regulated service due to non-payment of charges for regulated service.
(pp)
"Pipeline system" means the utility-owned piping and associated facilities used in
the transmission or distribution of gas.
(qq)
"Principal place of business" means the place, in or out of the State of Colorado,
where the executive or managing principals who directly oversee the utility's
operations in Colorado are located.
(rr)
"Pressure district" means a localized area within a utility’s service territory
whereby an established minimum and maximum pressure range is intended to
be maintained and is distinct from neighboring regions
l place of business" means the place, in or out of the State of Colorado,
where the executive or managing principals who directly oversee the utility's
operations in Colorado are located.
(rr)
"Pressure district" means a localized area within a utility’s service territory
whereby an established minimum and maximum pressure range is intended to
be maintained and is distinct from neighboring regions.
(ss)
“Project labor agreement,” pursuant to § 24-92-303(9), C.R.S., means a pre-hire
collective bargaining agreement between a lead contractor and construction
labor organization(s) covering the affected trades necessary to perform work on
a project that establishes the terms and conditions of employment of the
construction workforce and includes provisions that:
(I)
set forth effective, immediate, and mutually binding procedures for
resolving jurisdictional labor disputes and grievances arising before the
completion of work;
(II)
contain guarantees against strikes, lockouts, or similar actions;
(III)
ensure a reliable source of trained, skilled, and experienced construction
craft labor;
(IV)
further public policy objectives regarding improved employment
opportunities for minorities, women, or other economically disadvantaged
populations in the construction industry, including persons from
disproportionately impacted communities, to the extent permitted by state
and federal law;
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rienced construction
craft labor;
(IV)
further public policy objectives regarding improved employment
opportunities for minorities, women, or other economically disadvantaged
populations in the construction industry, including persons from
disproportionately impacted communities, to the extent permitted by state
and federal law;
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(V)
permit the selection of the lowest qualified responsible bidder or lowest
qualified responsible offeror without regard to union or non-union status at
other construction sites; and
(VI)
include other terms as the parties deem appropriate.
(tt)
"Property owner" means the legal owner of government record for a parcel of real
property within the service territory of a utility. A utility may rely upon the records
of a county clerk for the county within which a parcel of real property is located to
determine ownership of government record.
(uu)
"Pyrolysis" means the thermochemical decomposition of material at elevated
temperatures without the participation of oxygen.
(vv)
"Qualifying communication" means one of the following methods of
communicating with a utility customer about a possible upcoming disconnection
of service:
(I)
a physical visit to the customer's premises during which a utility
representative speaks with the customer and provides the customer utility
assistance information or, if the customer is not available to speak, leaves
notice of proposed disconnection and utility assistance information for the
customer's review; or
(II)
a telephone call, text, or e-mail to the customer’s last-known telephone
number or email address in which:
(A)
the utility representative provides the customer with notice of the
proposed disconnection and utility assistance information; and
(B)
the utility representative either speaks directly with the customer
over the telephone or the customer receives the utility
representative’s text or email
a telephone call, text, or e-mail to the customer’s last-known telephone
number or email address in which:
(A)
the utility representative provides the customer with notice of the
proposed disconnection and utility assistance information; and
(B)
the utility representative either speaks directly with the customer
over the telephone or the customer receives the utility
representative’s text or email.
(ww) "Rate adjustment mechanism" or "rate rider" means a charge added to a utility
bill to recover a specific cost that is not part of the base rate.
(xx)
"Recovered methane" means any of the following that are located in the State of
Colorado and meet the recovered methane protocol approved by the Air Quality
Control Commission: biomethane; methane derived from municipal solid waste,
the pyrolysis of municipal solid waste, biomass pyrolysis or enzymatic biomass,
or wastewater treatment; coal mine methane as defined in § 40-2-124(1)(a)(II),
C.R.S, the capture of which is not otherwise required by law; or methane that
would have leaked without repairs of the gas distribution or service pipelines from
the city gate to customer end use.
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(yy)
"Regulated charges" means charges billed by a utility to a customer if such
charges are approved by the Commission, presented on a tariff sheet, or
contained in a tariff of the utility.
(zz)
"Sales customer" or “full service customer” means a customer who receives
sales service from a utility and is not served under a utility’s gas transportation
service at that same meter.
(aaa) "Sales service" means a bundled gas utility service in which the utility both
purchases gas commodity for resale to the customer and delivers the gas to the
customer.
(bbb) "Security" includes any stock, bond, note, or other evidence of indebtedness.
(ccc) "Service lateral" means that part of a distribution system from the utility’s main to
the entrance to a customer’s physical location
ter.
(aaa) "Sales service" means a bundled gas utility service in which the utility both
purchases gas commodity for resale to the customer and delivers the gas to the
customer.
(bbb) "Security" includes any stock, bond, note, or other evidence of indebtedness.
(ccc) "Service lateral" means that part of a distribution system from the utility’s main to
the entrance to a customer’s physical location.
(ddd) "Standard conditions" means gas at a temperature of 60 degrees Fahrenheit and
subject to an absolute pressure equal to 14.73 pounds per square inch absolute.
(eee) "Standard customer data" means customer data maintained by a utility in its
systems in the ordinary course of business.
(fff)
"Standby capacity" means the maximum daily volumetric amount of capacity
reserved in the utility's system for use by a transportation customer, if the
customer purchased optional standby service.
(ggg) "Standby supply" means the daily volumetric amount of gas reserved by a utility
for the use by a transportation customer should that customer's supply fail, if the
customer purchased optional standby service.
(hhh) “Test year” means a twelve-month period that is examined to determine a utility's
costs of service in a rate case.
(iii)
"Third party" means a person who is not the customer, an agent of the customer
who has been designated by the customer with the utility and is acting on the
customer’s behalf, a regulated utility serving the customer, or a contracted agent
of the utility.
(jjj)
"Transportation" means the exchange, forward-haul, backhaul, flow reversal, or
displacement of gas between a utility and a transportation customer through a
pipeline system.
(kkk) "Transportation customer" means a person who, by signing a gas transportation
agreement, elects to subscribe to gas transportation service offered by a utility.
(lll)
"Unique identifier" means customer’s name, mailing address, telephone number,
or email address that is displayed on a bill.
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stomer through a
pipeline system.
(kkk) "Transportation customer" means a person who, by signing a gas transportation
agreement, elects to subscribe to gas transportation service offered by a utility.
(lll)
"Unique identifier" means customer’s name, mailing address, telephone number,
or email address that is displayed on a bill.
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(mmm)
"Unregulated charges" means charges that are billed by a utility to a
customer and that are not regulated or approved by the Commission, are not
contained in a tariff, and are for service or merchandise not required as a
condition of receiving regulated utility service.
(nnn) "Utility" means a public utility as defined in § 40-1-103, C.R.S., providing sales
service or transportation service (or both) in Colorado. This term includes both an
ITP and a LDC.
(ooo) "Utility assistance information" means information that a utility representative
provides a customer informing the customer that the customer may contact 1-
866-HEAT-HELP (1-866-432-8435) to determine if the customer qualifies for
utility bill payment assistance.
(ppp) "Utility service" or "service" means a service offering of a utility, which service
offering is by the Commission.
(qqq) "Whole building data" means the sum of the monthly gas use for either all service
connections at a building on a parcel of real property or all buildings on a parcel
of real property.
4002. Applications.
ermine if the customer qualifies for
utility bill payment assistance.
(ppp) "Utility service" or "service" means a service offering of a utility, which service
offering is by the Commission.
(qqq) "Whole building data" means the sum of the monthly gas use for either all service
connections at a building on a parcel of real property or all buildings on a parcel
of real property.
4002. Applications.
(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;
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y, 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;
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(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.
h 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;
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(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
cation 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
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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
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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
h 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;
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ffected 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;
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(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
at 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.
4003. [Reserved].
4004. Disputes and Informal Complaints.
(a)
For purposes of this rule, “dispute” means a concern, difficulty, or problem which
needs resolution and which a customer or a person applying for service brings
directly to the attention of the utility without the involvement of the Commission or
Commission staff.
(b)
A dispute may be initiated orally or in writing. Using the procedures found in rule
1301, a utility shall conduct a full and prompt investigation of all disputes
concerning utility service.
(c)
In accordance with the procedures in rule 1301, a utility shall conduct a full and
prompt investigation of all informal complaints concerning utility service.
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(d)
A utility shall comply with all rules regarding the timelines for responding to
informal complaints.
(e)
If a current customer, or an applicant for service that is not a current customer, is
dissatisfied with the utility's proposed adjustment or disposition of a dispute, the
utility shall inform the person, customer or applicant for service of the right to
make an informal complaint to the External Affairs section of the Commission
and shall provide to the person, customer or applicant for service the address
and toll free number of the Commission’s External Affairs section.
tomer, is
dissatisfied with the utility's proposed adjustment or disposition of a dispute, the
utility shall inform the person, customer or applicant for service of the right to
make an informal complaint to the External Affairs section of the Commission
and shall provide to the person, customer or applicant for service the address
and toll free number of the Commission’s External Affairs section.
(f)
A utility shall keep a record of each informal complaint and of each dispute. The
record shall show the name and address of the initiating customer or person
applying for service, the date and character of the issue, and the adjustment or
disposition made. This record shall be open at all times to inspection by the
person who initiated the informal complaint or dispute, by the Commission, and
by Commission staff.
4005. Records.
(a)
Except as a specific rule may require, every utility shall maintain, for a period of
not less than four years, and shall make them available for inspection at its
principal place of business in Colorado during regular business hours, the
following:
(I)
records concerning disputes, which records are created pursuant to rule
4004;
(II)
complete records of tests to determine the heating value of gas, which
records are created pursuant to rule 4202;
(III)
records concerning interruptions and curtailments of service, which
records are created pursuant to rule 4203;
(IV)
transportation request logs, which records are created pursuant to
paragraph 4206(f);
(V)
notices of rejected transportation requests, which records are created
pursuant to paragraph 4206(c);
(VI)
transportation agreements created pursuant to rule 4206;
(VII)
all distribution pressure records, and all records or charts made with
respect to rule 4208, appropriately annotated;
(VIII) meter calibration records created pursuant to under rule 4303;
(IX)
records concerning meters, which records are created pursuant to rules
4305 and 4306;
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ion agreements created pursuant to rule 4206;
(VII)
all distribution pressure records, and all records or charts made with
respect to rule 4208, appropriately annotated;
(VIII) meter calibration records created pursuant to under rule 4303;
(IX)
records concerning meters, which records are created pursuant to rules
4305 and 4306;
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(X)
customer billing records, which records are created pursuant to paragraph
4401(a);
(XI)
customer deposit records, which records are created pursuant to rule
4403;
(XII)
records and supporting documentation concerning its cost assignment and
allocation manual and fully-distributed cost study pursuant to paragraphs
4503(g) and 4504(e), for so long as the manual and study are in effect or
are the subject of a complaint or a proceeding before the Commission;
(XIII) the total gas transported under each transportation service in Mcf or
MMBtu and the associated total revenue;
(XIV) records concerning gas infrastructure plans, pursuant to rules 4550
through 4555;
(XV) records concerning clean heat plans, pursuant to rules 4725 through
4734; and
(XVI) records concerning demand side management, pursuant to rules 4750
through 4761.
(b)
A utility shall maintain at each of its local offices and at its principal place of
business all tariffs filed with the Commission and applying to Colorado rate
areas. Current and complete tariffs shall also be available on a utility’s website in
a section that is easily navigable and clearly marked.
(c)
A utility shall maintain its books of account and records in accordance with the
provisions of 18 C.F.R. Part 201, the Uniform System of Accounts. A utility shall
maintain its books of accounts and records separately and apart from those of its
affiliates.
(d)
A utility shall preserve its records in accordance with the provisions of 18 C.F.R.
Part 225, the Preservation of Records of Public Utilities and Licensees.
4006. Reports.
ks of account and records in accordance with the
provisions of 18 C.F.R. Part 201, the Uniform System of Accounts. A utility shall
maintain its books of accounts and records separately and apart from those of its
affiliates.
(d)
A utility shall preserve its records in accordance with the provisions of 18 C.F.R.
Part 225, the Preservation of Records of Public Utilities and Licensees.
4006. Reports.
(a)
On or before April 30th of each year, a utility shall file with the Commission an
annual report for the preceding calendar year. The utility shall submit the annual
report on forms prescribed by the Commission; shall properly complete the
forms; shall ensure the forms are verified and signed by a person authorized to
act on behalf of the utility; and shall file in accordance with subparagraph
1204(a)(III) of the Commission’s Rules of Practice and Procedure. If the
Commission grants the utility an extension of time to file the annual report, the
utility nevertheless shall file with the Commission, on or before April 30, the
utility's total gross operating revenue from intrastate utility business transacted in
Colorado for the preceding calendar year.
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(b)
If a certified public accountant prepares an annual report for a utility, the utility
shall file, within 30 days after the report is final, either two paper copies of the
report with the Commission or an electronic copy through the Commission’s E-
Filing System.
(c)
On an annual basis, a utility shall file a report stating the average time taken for
service personnel to respond to gas odor calls from customers for the following:
(I)
the entire area served by the utility within Colorado; and
(II)
each division of the utility assigned to serve a region or portion of the
utility’s entire service area.
4007. [Reserved]
4008. Incorporation by Reference.
ystem.
(c)
On an annual basis, a utility shall file a report stating the average time taken for
service personnel to respond to gas odor calls from customers for the following:
(I)
the entire area served by the utility within Colorado; and
(II)
each division of the utility assigned to serve a region or portion of the
utility’s entire service area.
4007. [Reserved]
4008. Incorporation by Reference.
(a)
The Commission incorporates by reference 18 C.F.R. Part 201 (as published on
April 1, 2012) regarding the Uniform System of Accounts Prescribed for Natural
Gas Companies Subject to the Provisions of the Natural Gas Act. No later
amendments to or editions of 18 C.F.R. Part 201 are incorporated into these
rules.
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(b)
The Commission incorporates by reference 18 C.F.R. Part 225 (as published on
April 1, 2012) regarding the Preservation of Records of Natural Gas Companies.
No later amendments to or editions of 18 C.F.R. Part 225 are incorporated into
these rules.
(c)
Any material incorporated by reference in this Part 4 may be examined at the
offices of the Commission, 1560 Broadway, Suite 250, Denver, Colorado 80202,
during normal business hours, Monday through Friday, except when such days
are state holidays. . Incorporated standards shall be available electronically and
provided in certified copies, at cost, upon request. Restrictions on the provision of
physical copies due to copyright protections may apply. The Director or the
Director’s designee will provide information regarding how the incorporated
standards may be examined at any state public depository library. The standards
and regulations are also available from the agency, organization or association
originally issuing the code, standard, guideline or rule as follows: Code of Federal
Regulations: www.govinfo.gov/help/cfr.
CIVIL PENALTIES
4009. Definitions.
The following definitions apply to rules 4009, 4010, and 4976, unless a specific statute
or rule provides otherwise
tate public depository library. The standards
and regulations are also available from the agency, organization or association
originally issuing the code, standard, guideline or rule as follows: Code of Federal
Regulations: www.govinfo.gov/help/cfr.
CIVIL PENALTIES
4009. Definitions.
The following definitions apply to rules 4009, 4010, and 4976, unless a specific statute
or rule provides otherwise. In the event of a conflict between these definitions and a
statutory definition, the statutory definition shall apply.
(a)
“Civil penalty” means any monetary penalty levied against a public utility because
of intentional violations of statutes in Articles 1 to 7 and 15 of Title 40, C.R.S.,
Commission rules, or Commission orders.
(b)
“Civil penalty assessment” means the act by the Commission of imposing a civil
penalty against a public utility after the public utility has admitted liability or has
been adjudicated by the Commission to be liable for intentional violations of
statutes in Articles 1 to 7 and 15 of Title 40, C.R.S., Commission rules, or
Commission orders.
(c)
“Civil penalty assessment notice” means the written document by which a public
utility is given notice of an alleged intentional violation of statutes in Articles 1 to 7
and 15 of Title 40, C.R.S., Commission rules, or Commission orders and of a
proposed civil penalty.
(d)
“Intentional violation.” A person acts “intentionally” or “with intent” when his
conscious objective is to cause the specific result proscribed by the statute, rule,
or order defining the violation.
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4010. Regulated Gas Utility Violations, Civil Enforcement, and Enhancement of
Civil Penalties.
of a
proposed civil penalty.
(d)
“Intentional violation.” A person acts “intentionally” or “with intent” when his
conscious objective is to cause the specific result proscribed by the statute, rule,
or order defining the violation.
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4010. Regulated Gas Utility Violations, Civil Enforcement, and Enhancement of
Civil Penalties.
(a)
The Commission may impose a civil penalty in accordance with the requirements
and procedures contained in § 40-7-113.5, C.R.S., § 40-7-116.5, C.R.S., and
paragraph 1302(b), 4 Code of Colorado Regulations 723-1, for intentional
violations of statutes in Articles 1 to 7 and 15 of Title 40, C.R.S., Commission
rules, or Commission orders as specified in §§ 40-7-113.5 and 40-7-116.5,
C.R.S., and in these rules.
(b)
The Director of the Commission or his or her designee shall have the authority to
issue civil penalty assessments for the violations enumerated in § 40-7-113.5,
C.R.S., subject to hearing before the Commission. When a public utility is cited
for an alleged intentional violation, the public utility shall be given notice of the
alleged violation in the form of a civil penalty assessment notice.
(c)
The public utility cited for an alleged intentional violation may either admit liability
for the violation pursuant to § 40-7-116.5(1)(c) or the public utility may contest
the alleged violation pursuant to § 40-7-116.5(1)(d), C.R.S. At any hearing
contesting an alleged violation, trial staff shall have the burden of demonstrating
a violation by a preponderance of the evidence.
sessment notice.
(c)
The public utility cited for an alleged intentional violation may either admit liability
for the violation pursuant to § 40-7-116.5(1)(c) or the public utility may contest
the alleged violation pursuant to § 40-7-116.5(1)(d), C.R.S. At any hearing
contesting an alleged violation, trial staff shall have the burden of demonstrating
a violation by a preponderance of the evidence.
(d)
In any written decision entered by the Commission pursuant to § 40-6-109,
C.R.S., adjudicating a public utility liable for an intentional violation of a statute in
Articles 1 to 7 and 15 of Title 40, C.R.S., a Commission rule, or a Commission
order, the Commission may impose a civil penalty of not more than two thousand
dollars, pursuant to § 40-7-113.5(1), C.R.S. In imposing any civil penalty
pursuant to § 40-7-113.5(1), C.R.S., the Commission shall consider the factors
set forth in Rule 1302(b).
(e)
The Commission may assess doubled or tripled civil penalties against any public
utility, as provided by § 40-7-113.5(3), C.R.S., § 40-7-113.5(4), C.R.S., and this
rule.
(f)
The Commission may assess any public utility a civil penalty containing doubled
penalties only if:
(I)
the public utility has admitted liability by paying the civil penalty
assessment for, or has been adjudicated by the Commission in an
administratively final written decision to be liable for, engaging in prior
conduct that constituted an intentional violation of a statute in Articles 1 to
7 and 15 of Title 40, C.R.S., a Commission rule, or a Commission order;
(II)
the conduct for which doubled civil penalties are sought violates the same
statute, rule, or order as conduct for which the public utility has admitted
liability by paying the civil penalty assessment, or conduct for which the
public utility has been adjudicated by the Commission in an
administratively final written decision to be liable; and
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r which doubled civil penalties are sought violates the same
statute, rule, or order as conduct for which the public utility has admitted
liability by paying the civil penalty assessment, or conduct for which the
public utility has been adjudicated by the Commission in an
administratively final written decision to be liable; and
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(III)
the conduct for which doubled civil penalties are sought occurred within
one year after conduct for which the public utility has admitted liability by
paying the civil penalty assessment, or conduct for which the public utility
has been adjudicated by the Commission in an administratively final
written decision to be liable
(g)
The Commission may assess any public utility a civil penalty containing tripled
penalties only if:
(I)
the public utility has admitted liability by paying the civil penalty
assessment for, or has been adjudicated by the Commission in an
administratively final written decision to be liable for, engaging in prior
conduct that constituted two or more prior intentional violations of a statute
in Articles 1 to 7 and 15 of Title 40, C.R.S., a Commission rule, or a
Commission order;
(II)
the conduct for which tripled civil penalties are sought violates the same
statute, rule, or order as conduct for which the public utility has either
admitted liability by paying the civil penalty assessment or been
adjudicated by the Commission in an administratively final written decision
to be liable, in at least two prior instances; and
(III)
the conduct for which tripled civil penalties are sought occurred within one
year after the two most recent prior instances of conduct for which the
public utility has either admitted liability by paying the civil penalty
assessment, or been adjudicated by the Commission in an
administratively final written decision to be liable.
en decision
to be liable, in at least two prior instances; and
(III)
the conduct for which tripled civil penalties are sought occurred within one
year after the two most recent prior instances of conduct for which the
public utility has either admitted liability by paying the civil penalty
assessment, or been adjudicated by the Commission in an
administratively final written decision to be liable.
(h)
When more than two instances of prior conduct exist, the Commission shall only
consider those instances occurring within one year prior to the date of such
alleged conduct for which tripled civil penalties are sought.
(i)
Nothing in this rule shall preclude the assessment of tripled penalties when
doubled and tripled penalties are sought in the same civil penalty assessment
notice.
(j)
The Commission shall not issue a decision on doubled or tripled penalties until
after the effective date of the administratively final Commission decision upon
which the single civil penalty was based.
(k)
The civil penalty assessment notice shall contain the maximum penalty amount
provided by rule for each individual violation noted, with a separate provision for
a reduced penalty of 50 percent of the penalty amount sought if paid within ten
days of the public utility’s receipt of the civil penalty assessment notice.
(l)
The civil penalty assessment notice shall contain the maximum amount of the
penalty surcharge pursuant to § 24-34-108(2), C.R.S., if any.
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(m)
A penalty surcharge referred to in paragraph (l) of this rule shall be equal to the
percentage set by the Department of Regulatory Agencies on an annual basis.
The surcharge shall not be included in the calculation of the statutory limits set in
§ 40-7-113.5(5), C.R.S.
(n)
Nothing in these rules shall affect the Commission’s ability to pursue other
remedies in lieu of issuing civil penalties.
4011. – 4024.
[Reserved].
CUSTOMER DATA ACCESS AND PRIVACY
4025. Scope and Applicability.
ercentage set by the Department of Regulatory Agencies on an annual basis.
The surcharge shall not be included in the calculation of the statutory limits set in
§ 40-7-113.5(5), C.R.S.
(n)
Nothing in these rules shall affect the Commission’s ability to pursue other
remedies in lieu of issuing civil penalties.
4011. – 4024.
[Reserved].
CUSTOMER DATA ACCESS AND PRIVACY
4025. Scope and Applicability.
(a)
The basis and purpose of these rules is to describe the protection of and limited
access to customer data for gas utilities over which the Commission has
jurisdiction. These rules are applicable to all utilities except for certain provisions
as defined in the rule.
(b)
For the purpose of the Customer Data Access and Privacy Rules, gas utilities are
classed into three tiers: a Tier I utility serves more than 150,000 gas customers;
a Tier II utility serves between 50,000 and 150,000 gas customers. A Tier III
utility serves fewer than 50,000 gas customers.
(c)
No Tier III utility is required to:
(I)
include in its tariffs a description of standard and non-standard customer
data that the utility is able to provide to the customer or to any third party
recipient (see paragraph 4027(c));
(II)
provide customer notice each year regarding customer data (see rule
4028);
(III)
make customer consent forms for the disclosure of customer data
available to customers or third parties (see rule 4029);
(IV)
disclose aggregated data (see rule 4033); or
(V)
provide a community energy report (see rule 4035).
However, a Tier III utility may include a description of standard and non-standard
customer data that the utility is able to provide to the customer or to any third-
party recipient in its tariffs (in accordance with paragraph 4027(c)). Commencing
upon the effective date of such description, the Tier III utility shall be deemed to
be a Tier II utility for purposes of these Customer Data Access and Privacy Rules
for so long as such tariff provisions remain in effect.
non-standard
customer data that the utility is able to provide to the customer or to any third-
party recipient in its tariffs (in accordance with paragraph 4027(c)). Commencing
upon the effective date of such description, the Tier III utility shall be deemed to
be a Tier II utility for purposes of these Customer Data Access and Privacy Rules
for so long as such tariff provisions remain in effect.
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4026. Customer Data.
(a)
A utility shall maintain standard customer data sufficient to allow a customer to
understand his or her energy usage at a level of detail commensurate with the
metering technology used to serve the customer.
4027. Privacy, Access, and Disclosure.
(a)
A utility shall protect customer data in the utility’s possession or control to
maintain the privacy of customers, while providing reasonable access to that
data. A utility is only authorized to use customer data to provide regulated utility
service in the ordinary course of business.
(b)
A utility shall not disclose customer data unless such disclosure conforms to
these rules, except as required by law or to comply with Commission rule.
Illustratively, this includes responses to requests of the Commission, warrants,
subpoenas, court orders, or as authorized by § 16-15.5-102, C.R.S.
(c)
A utility shall include in its tariffs a description of customer data that the utility is
able to provide to the customer or to any third party recipient to whom the
customer has authorized disclosure of the customer’s data within the utility’s
technological and data capabilities
sponses to requests of the Commission, warrants,
subpoenas, court orders, or as authorized by § 16-15.5-102, C.R.S.
(c)
A utility shall include in its tariffs a description of customer data that the utility is
able to provide to the customer or to any third party recipient to whom the
customer has authorized disclosure of the customer’s data within the utility’s
technological and data capabilities. At a minimum, the utility’s tariff must provide
the following:
(I)
a description of standard customer data and non-standard customer data
and the frequency of customer data updates that will be available (annual,
monthly, daily, etc.);
(II)
the method and frequency of customer data transmittal and access
available (electronic, paper, etc.) as well as the security protections or
requirements for such transmittal;
(III)
a timeframe for processing requests;
(IV)
any rate associated with processing a request for non-standard customer
data; and
(V)
any charges associated with obtaining non-standard customer data.
(d)
As part of basic utility service, a utility shall provide access to the customer’s
standard customer data in electronic machine-readable form, without additional
charge, to the customer or to any third party recipient to whom the customer has
authorized disclosure of the customer’s customer data. Such access shall
conform to nationally recognized open standards and best practices. The utility
shall provide access in a manner that ensures adequate protections for the
utility’s system security and the continued privacy of the customer data during
transmission.
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(e)
Nothing in these rules shall limit a customer’s right to provide his or her customer
data to anyone.
nized open standards and best practices. The utility
shall provide access in a manner that ensures adequate protections for the
utility’s system security and the continued privacy of the customer data during
transmission.
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(e)
Nothing in these rules shall limit a customer’s right to provide his or her customer
data to anyone.
(f)
A utility and each of its directors, officers and employees that discloses customer
data pursuant to a customer’s authorization in accordance with these data
privacy rules shall not be liable or responsible for any claims for loss or damages
resulting from the utility’s disclosure of customer data.
4028. Customer Notice.
(a)
A utility shall provide each year to its customers a written notice complying with
this rule. The utility shall conspicuously post on its website notice of its privacy
and security policies governing access to and disclosure of customer data and
aggregated data to third-parties. This notice shall:
(I)
explain what is available to customers, as standard and/or non-standard
customer data (e.g., daily versus hourly data);
(II)
describe the frequency that the utility can provide customer data based on
a request for standard data (e.g., on a weekly or monthly basis);
(III)
advise customers that their customer data may provide insight into their
activities within the premises receiving service;
(IV)
inform customers that the privacy and security of their customer data will
be protected by the utility while in its possession;
(V)
explain that customers can access their standard customer data, as
identified by the utility’s tariff, without additional charge;
is);
(III)
advise customers that their customer data may provide insight into their
activities within the premises receiving service;
(IV)
inform customers that the privacy and security of their customer data will
be protected by the utility while in its possession;
(V)
explain that customers can access their standard customer data, as
identified by the utility’s tariff, without additional charge;
(VI)
advise customers that their customer data will not be disclosed to third
parties, except:
(A)
as necessary to provide regulated utility services to the customers;
(B)
as otherwise permitted or required by law or Commission rule; or
(C)
pursuant to the authorization given by the customer in accordance
with these rules.
(VII)
describe the utility’s policies regarding how a customer can authorize
access and disclosure of their customer data to third-parties. With regard
to such third party data disclosure, the notice shall:
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(A)
inform customers that declining a request for disclosure of
customer data to a third party will not affect the provision of utility
service that the customer receives from the utility; and
(B)
explain that any customer consent for access to, disclosure of, or
use of a customer’s customer data by a third party may be
terminated or limited by the customer of record at any time and
inform the customers of the process for doing so
g a request for disclosure of
customer data to a third party will not affect the provision of utility
service that the customer receives from the utility; and
(B)
explain that any customer consent for access to, disclosure of, or
use of a customer’s customer data by a third party may be
terminated or limited by the customer of record at any time and
inform the customers of the process for doing so.
(VIII) explain that aggregated data does not contain customer identifying
information and inform customers that customer data may be used to
create aggregated data that will not contain customer identifying
information;
(IX)
explain that the utility may provide aggregated data to third-parties,
subject to its obligation under paragraph 4033(a);
(X)
be viewable on-line and printed in ten point or larger font;
(XI)
be sent either separately or included as an insert in a regular monthly bill,
or, for those customers who have consented to receive e-bills, such notice
may be sent electronically separately from an e-bill, conspicuously marked
and stating clearly that important information on the utility’s privacy
practices is contained therein;
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(XII)
be available in English and Spanish. The customer notice may also be
translated to a language other than English or Spanish by a third party or
the utility. Forms translated to other languages in accordance with this rule
must be accepted by utilities, and may be relied upon, after the English
version of the form, the translated version of the form, and an affidavit
attesting to the accurate and complete translation from the English version
of the form, have been provided to the Commission and the utility
possessing the data. Such affidavit must be executed by an interpreter on
the active roster of interpreters maintained by the Office of Language
Access of the Colorado Judicial Branch
version of the form, the translated version of the form, and an affidavit
attesting to the accurate and complete translation from the English version
of the form, have been provided to the Commission and the utility
possessing the data. Such affidavit must be executed by an interpreter on
the active roster of interpreters maintained by the Office of Language
Access of the Colorado Judicial Branch. If the utility incurs a cost for
translation made at the request of a third party, it may charge the
requestor for such cost and may include a reasonable administrative fee in
addition to the translation cost; and
(XIII) provide a customer service phone number and web address where
customers can direct additional questions or obtain additional information
regarding their customer data, the disclosure of customer data or
aggregated data, or the utility’s privacy policies and procedures with
respect to customer data or aggregated data.
4029. Customer Consent Form for the Disclosure of their Customer Data to Third
Party Recipients by a Utility.
(a)
A utility shall make available to any third party a consent form for the disclosure
of customer data that is maintained by the Commission and available from the
Commission’s website. The form shall be available electronically from the utility.
The consent form shall be provided in a non-electronic format by a utility upon
request from a customer or third party.
(b)
In addition to the Commission supplied form, a utility may create and make
available a consent form that:
(I)
includes the same information contained in the annual notice provided
under subparagraphs 4028(a)(V), (VI), (VII), and (XIII);
(II)
provides spaces for the following required information regarding the third
party recipient of the customer data:
(A)
the name, including trade name if applicable, physical address,
mailing address, e-mail address, and telephone number;
(B)
the uses of the data for which the customer is allowing disclosure;
(C)
the time period (e.g., months, years) for which data are being
request
and (XIII);
(II)
provides spaces for the following required information regarding the third
party recipient of the customer data:
(A)
the name, including trade name if applicable, physical address,
mailing address, e-mail address, and telephone number;
(B)
the uses of the data for which the customer is allowing disclosure;
(C)
the time period (e.g., months, years) for which data are being
requested; and
(D)
the description of the data that are being requested;
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(III)
states that the consent is valid until terminated;
(IV)
states that the customer must notify the utility service provider in writing
(electronically or non-electronically) to terminate the consent including
appropriate utility contact information;
(V)
states any additional terms except an inducement for the customer’s
disclosure;
(VI)
be viewable on-line and printed in ten point or larger font; and
(VII)
provides notice to the customer that the utility shall not be responsible for
monitoring or taking any steps to ensure that the third party to whom the
data is disclosed is maintaining the confidentiality of the data or using the
data as intended by the customer.
(c)
A utility may make available an electronic customer consent process for
disclosure of customer data to a third party (e.g., a utility controlled web portal)
that authenticates the customer identity. The contents of the electronic consent
process must generally follow the format of the model consent to disclose
customer data form, be clear, and include the elements to be provided pursuant
to paragraph (a) of this rule. No utility is required to provide an electronic consent
process in a language other than English.
(d)
A utility may make available an in-person consent process for disclosure of
customer data.
(e)
A consent form may be submitted to the utility through electronic or non-
electronic methods.
customer data form, be clear, and include the elements to be provided pursuant
to paragraph (a) of this rule. No utility is required to provide an electronic consent
process in a language other than English.
(d)
A utility may make available an in-person consent process for disclosure of
customer data.
(e)
A consent form may be submitted to the utility through electronic or non-
electronic methods.
(f)
The scope of consent given shall be defined by the terms of the consent form,
except that changes of contact names for an organization, trade name, or utility
over time do not invalidate consent as to the respective organization, trade
name, or utility. Because the contact named for an organization, trade name, or
utility is a representative of the respective organization, trade name, or utility,
consent terminates as to such contact when the relationship with the
organization, trade name, or utility terminates. Modifications to the consent form
over time do not invalidate previous consent. Consent need not be provided on a
new form so long as the data provided remains within the scope of consent.
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(g)
Customer consent forms shall be available in English and Spanish. Customer
consent forms may be translated to into languages other than English or Spanish
by a third party or the utility. Forms translated to other languages in accordance
with this rule must be accepted by utilities, and may be relied upon, after the
English version of the form, the translated version of the form, and an affidavit
attesting to the accurate and complete translation from the English version of the
form, have been provided to the Commission and the utility possessing the data.
Such affidavit must be signed by an interpreter on the active roster of interpreters
maintained by the Office of Language Access of the Colorado Judicial Branch
sh version of the form, the translated version of the form, and an affidavit
attesting to the accurate and complete translation from the English version of the
form, have been provided to the Commission and the utility possessing the data.
Such affidavit must be signed by an interpreter on the active roster of interpreters
maintained by the Office of Language Access of the Colorado Judicial Branch. If
a utility incurs a cost for a translation at the request of a third party, it may charge
the requestor for such cost and may include a reasonable administrative fee in
addition to the translation cost.
(h)
Any customer consent forms available from the Commission’s website shall be
presumed to comply with these rules.
4030. Access to Customer Data for the Provision of Regulated Utility Service.
(a)
A utility may disclose customer data to a contracted agent provided that the
contract requires the agent to:
(I)
implement and maintain data security procedures and practices to protect
the customer data from unauthorized access, destruction, use,
modification, or disclosure that are equal to or greater than the data
privacy and security policies and procedures used by the utility internally
to protect customer data;
(II)
use customer data solely for the purpose of the contract and prohibits the
use of customer data for a secondary commercial purpose not related to
the purpose of the contract without first obtaining the customer’s consent
as provided for in these rules;
(III)
return to the utility or destroy any customer data that is no longer
necessary for the purpose for which it was transferred; and
(IV)
execute a non-disclosure agreement with the utility.
he contract and prohibits the
use of customer data for a secondary commercial purpose not related to
the purpose of the contract without first obtaining the customer’s consent
as provided for in these rules;
(III)
return to the utility or destroy any customer data that is no longer
necessary for the purpose for which it was transferred; and
(IV)
execute a non-disclosure agreement with the utility.
(b)
The utility shall maintain records of the disclosure of customer data to contracted
agents for a minimum of three years. Such records shall include all contracts with
the contracted agent and executed non-disclosure agreements.
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4031. Local Government Access to Customer Data from a Utility for Audit.
(a)
A utility may disclose customer data to a local government either with an audit
required to be provided pursuant to a final Commission decision (e.g., a decision
approving a franchise agreement) or as reasonably necessary for an audit
conducted by a governmental entity of franchise fees paid to them by the utility,
provided that:
(I)
disclosure is not otherwise prohibited by a final Commission decision (e.g.,
Commission-approved franchise between the utility and the local
government);
(II)
disclosure is made to a designated auditor or auditor’s office, who is either
an employee or agent of the local government;
(III)
the auditor collects and uses the customer data solely for the purpose of
reviewing or conducting the audit and is prohibited from disclosing or
using the customer data for a purpose not related to the audit;
(IV)
the local government implements and maintains data security procedures
and practices to protect the customer data from unauthorized access,
destruction, use, or modification;
(V)
the local government destroys or returns to the utility of any customer data
no longer necessary for the purpose for which it was transferred unless
state law or the municipality’s state-mandated retention schedule requires
otherwise;
(VI)
the lo
ements and maintains data security procedures
and practices to protect the customer data from unauthorized access,
destruction, use, or modification;
(V)
the local government destroys or returns to the utility of any customer data
no longer necessary for the purpose for which it was transferred unless
state law or the municipality’s state-mandated retention schedule requires
otherwise;
(VI)
the local government agrees not to permit access to the data by anyone
that has not agreed to abide by the terms pursuant to which the data was
provided by the utility. This includes, but is not limited to, all interns,
subcontractors, staff, other workforce members, and consultants;
(VII)
the local government agrees that any recipient of the data pursuant to this
rule does not obtain any right, title or interest in any of the data provided
by the utility;
(VIII) governing law or a non-disclosure agreement executed with the utility
requires that the local government, at a minimum, comply with the
requirements of this rule; and
(IX)
the data requested is for utility customers served in the boundaries of the
local government.
(b)
The utility shall maintain records of all disclosures of customer data to local
government requestors for a minimum of three years.
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(c)
Availability of customer data pursuant to this rule does not preclude a local
government from requesting other data reports.
4032. Third Party Access to Customer Data from a Utility.
(a)
Except as provided in this rule, paragraph 4027(b), rule 4030, and rule 4031, a
utility shall not disclose customer data to any third party unless the customer or a
third party acting on behalf of a customer submits a paper or electronic signed
consent to disclose customer data form that has been executed by the customer
of record.
(b)
Incomplete or non-compliant consent to disclose customer data forms are not
valid and shall be rejected by the utility.
4030, and rule 4031, a
utility shall not disclose customer data to any third party unless the customer or a
third party acting on behalf of a customer submits a paper or electronic signed
consent to disclose customer data form that has been executed by the customer
of record.
(b)
Incomplete or non-compliant consent to disclose customer data forms are not
valid and shall be rejected by the utility.
(c)
The utility shall maintain records of all of the disclosures of customer data to third
party requestors. Such records shall include a copy of the customer’s signed
consent to disclose customer data form, all identifying documentation produced
by the third party requestor, the customer's agreed upon terms of use, the date(s)
and frequency of disclosure, and a description of the customer data disclosed.
(d)
The utility shall maintain records of customer data disclosures for a minimum of
three years and shall make the records of the disclosure of a customer’s
customer data available for review by the customer within five business days of
receiving a paper or electronic request from the customer, or at such greater time
as is mutually agreed between the utility and the customer.
4033. Requests for Aggregated Data Reports from a Utility.
(a)
A utility shall not disclose aggregated data unless the recipient is authorized to
receive all customer data within the aggregated data, and the disclosure
otherwise conforms to this rule and rules 4031, 4034, and 4035. In aggregating
customer data to create an aggregated data report, a utility must ensure that the
data do not include any personal information or a unique identifier.
a Utility.
(a)
A utility shall not disclose aggregated data unless the recipient is authorized to
receive all customer data within the aggregated data, and the disclosure
otherwise conforms to this rule and rules 4031, 4034, and 4035. In aggregating
customer data to create an aggregated data report, a utility must ensure that the
data do not include any personal information or a unique identifier.
(b)
At a minimum, a particular aggregation must contain at least fifteen customers;
and, within any customer class no single customer’s customer data or premise
associated with a single customer’s customer data may comprise 15 percent or
more of the total customer data aggregated per customer class to generate the
aggregated data report (the “15/15 Rule”).
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(c)
If an aggregated data report cannot be generated in compliance with paragraph
4033(b), the utility shall notify the requestor that the aggregated data, as
requested, cannot be disclosed and identify the reason(s) the request was
denied. The requestor shall be given an opportunity to revise its aggregated data
request in order to address the identified reason(s). An aggregated data request
may be revised by expanding the number of customers or premise accounts in
the request, expanding the geographic area included in the request, combining
different customer classes or rate categories, or other applicable means of
aggregating.
ed. The requestor shall be given an opportunity to revise its aggregated data
request in order to address the identified reason(s). An aggregated data request
may be revised by expanding the number of customers or premise accounts in
the request, expanding the geographic area included in the request, combining
different customer classes or rate categories, or other applicable means of
aggregating.
(d)
A utility shall include in its tariffs a description of standard and non-standard
aggregated data reports available from the utility to any requestor. At a minimum,
the utility’s tariff shall provide the following:
(I)
a description of standard and non-standard aggregated data reports
available from the utility including all available selection parameters
(customer data or other data);
(II)
the frequency of data collection (annual, monthly, daily, etc.);
(III)
the method of transmittal available (electronic, paper, etc.) and the
security protections or requirements for such transmittal;
(IV)
the charge for providing a standard aggregated data report or the hourly
charge for compiling a non-standard aggregated data report;
(V)
the timeframe for processing requests; and
(VI)
a request form for submitting a data request for aggregated data reports to
the utility identifying any information necessary from the requestor in order
for the utility to process the request.
(e)
If a utility is unable to fulfill a non-standard aggregated data report request
because it does not have and/or does not elect to or cannot obtain all of the data
the requestor wishes to include in the aggregated data report, then the utility may
contract with a contracted agent to include the additional data and process it
along with the customer data in the utility’s possession, to generate a non-
standard aggregated data report.
non-standard aggregated data report request
because it does not have and/or does not elect to or cannot obtain all of the data
the requestor wishes to include in the aggregated data report, then the utility may
contract with a contracted agent to include the additional data and process it
along with the customer data in the utility’s possession, to generate a non-
standard aggregated data report.
(f)
A utility and each of its directors, officers and employees that discloses
aggregated data as provided in these data privacy rules shall not be liable or
responsible for any claims for loss or damages resulting from the utility’s
disclosure of aggregated data.
(g)
A utility shall not provide aggregated customer data in response to multiple
overlapping requests from or on behalf of the same requestor that have the
potential to identify customer data.
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4034. Property Owner Request for Whole Building Energy Use Data from a Utility.
(a)
If requested by a property owner or its authorized agent, a Tier I utility shall
provide whole building energy use data to the property owner or its authorized
agent so long as:
(I)
the whole building energy use data contains at least four customers or
tenants, which may include the property owner’s own account; and no
single customer’s customer data, unless it is the property owner’s,
comprises more than 50 percent of the whole building energy use data
used to generate the whole building energy use data report;
(II)
the property owner or its authorized agent agrees to not disclose the
whole building energy use data except for the purposes of building
benchmarking, identifying energy efficiency projects, and energy
management; and
(III)
the property owner or its authorized agent signs a non-disclosure
agreement with the utility requiring the property owner, at a minimum to:
(A)
take appropriate administrative, technical, and physical safeguards
to protect the whole building data from any unauthorized use or
disclosu
for the purposes of building
benchmarking, identifying energy efficiency projects, and energy
management; and
(III)
the property owner or its authorized agent signs a non-disclosure
agreement with the utility requiring the property owner, at a minimum to:
(A)
take appropriate administrative, technical, and physical safeguards
to protect the whole building data from any unauthorized use or
disclosure to protect the data from unauthorized access,
destruction, use, modification, or disclosure;
(B)
only use the whole building data only for the purposes of building
benchmarking, identifying energy efficiency projects, energy
management, and complying with laws or ordinances;
(C)
agree not to attempt to determine an individual utility customer’s
energy use from the whole building data and not to use the
information to contact the subject of the information;
(D)
agree not to use the whole building energy use data for a
secondary commercial purpose not related to the authorized
purpose without first obtaining the customer’s consent as provided
for in these rules;
(E)
destroy any whole building energy use data that is no longer
necessary for the purpose for which it was transferred;
(F)
agree not to permit access to the whole building data by anyone
that has not agreed to abide by the terms pursuant to which the
data was provided by the utility. This includes, but is not limited to,
all interns, subcontractors, staff, other workforce members, and
consultants; and
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(G)
agree that any recipient of the whole building data pursuant to this
rule does not obtain any right, title or interest in any of the data
provided by the utility.
(b)
Upon request by a property owner or its authorized agent, a Tier II utility shall
provide whole building energy use data upon the same conditions to the extent
of, and based upon, information available in the ordinary course of business.
e that any recipient of the whole building data pursuant to this
rule does not obtain any right, title or interest in any of the data
provided by the utility.
(b)
Upon request by a property owner or its authorized agent, a Tier II utility shall
provide whole building energy use data upon the same conditions to the extent
of, and based upon, information available in the ordinary course of business.
(c)
A utility shall provide a requested whole building energy use data report in
electronic, machine readable format that conforms to nationally recognized open
standards and best practices.
(d)
A utility may charge a property owner or its authorized agent for the development
of a whole building energy use data report. Such rate shall be determined in a
utility tariff as a non-standard aggregated data report. Alternatively, the utility
need not charge the customer if the cost to charge a property owner or its
authorized agent is greater than the cost to develop a whole building energy use
data report.
(e)
Availability of whole building energy use data pursuant to this rule does not
preclude a property owner from requesting other data reports.
4035. Community Energy Reports.
(a)
A Tier I utility shall generate a community energy report for each local
government other than a Colorado county included in its service territory with
50,000 or more residents. A Tier I utility shall generate a community energy
report for each Colorado county included in its service territory with 100,000 or
more residents. Any local government with fewer than 50,000 residents and
Colorado county with fewer than 100,000 residents or a minority of whom are
served by a Tier I utility shall be treated as if it had 50,000 or more residents
served by the Tier I upon request from the local government or county. Such
requests shall be made by January 31 of the calendar year following the
reporting year and shall continue in effect until such time as the request is
withdrawn or cancelled by the local government
n 100,000 residents or a minority of whom are
served by a Tier I utility shall be treated as if it had 50,000 or more residents
served by the Tier I upon request from the local government or county. Such
requests shall be made by January 31 of the calendar year following the
reporting year and shall continue in effect until such time as the request is
withdrawn or cancelled by the local government. All population thresholds shall
be based on the most recent population estimate from the Colorado State
Demography Office and where the utility serves the majority of the population.
(b)
On or before June 1 of every year, a Tier I utility shall make publicly available for
download all community energy reports generated for the prior year. Reports
shall be available in an electronic machine-readable form that conforms to
nationally recognized open standards and best practices.
(c)
The community energy report shall include the following information and
aggregated data for the utility and its customers and specific to the local
government for the prior calendar year:
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(I)
the annual dekatherms consumed by customers, provided by residential,
commercial, and industrial classes;
(II)
the average number of customers in the residential, commercial, and
industrial class; and
(III)
the total annual energy saved (in dekatherms) from energy efficiency
measures installed.
(d)
A local government may submit, or have another local government submit on its
behalf, a GIS data to define its jurisdictional boundaries prior to the issuance of
the community energy report.
strial classes;
(II)
the average number of customers in the residential, commercial, and
industrial class; and
(III)
the total annual energy saved (in dekatherms) from energy efficiency
measures installed.
(d)
A local government may submit, or have another local government submit on its
behalf, a GIS data to define its jurisdictional boundaries prior to the issuance of
the community energy report.
(e)
Upon request by a local government, a Tier II utility shall generate a community
energy report, in accordance with this rule, consistent with the utility’s meter,
network, or data capabilities. Such requests shall be made by January 31 of the
calendar year following the reporting year and shall continue in effect until such
time as the request is withdrawn or cancelled by the local government. On or
before June 1 of every year, the utility shall make publicly available for download
all community energy reports generated for the prior year. Reports shall be
available in an electronic machine-readable form that conforms to nationally
recognized open standards and best practices.
(f)
Availability of the community energy report pursuant to this rule does not
preclude a local government from requesting other data reports.
4036.– 4099. [Reserved].
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OPERATING AUTHORITY
4100. Certificate of Public Convenience and Necessity for a Franchise.
(a)
A utility seeking authority to provide service pursuant to a franchise shall file an
application pursuant to this rule. When a utility enters into a franchise agreement
with a municipality for the first time, it shall obtain authority from the Commission
pursuant to § 40-5-102, C.R.S. prior to providing service under that initial
franchise agreement. A utility maintains the right and obligation to serve a
municipality within its service territory after the expiration of any franchise
agreement.
rsuant to this rule. When a utility enters into a franchise agreement
with a municipality for the first time, it shall obtain authority from the Commission
pursuant to § 40-5-102, C.R.S. prior to providing service under that initial
franchise agreement. A utility maintains the right and obligation to serve a
municipality within its service territory after the expiration of any franchise
agreement.
(b)
An application for certificate of public convenience and necessity to exercise
franchise rights shall include, in the following order and specifically identified, the
following information, either in the application or in appropriately identified
attachments:
(I)
the information required in paragraphs 4002(b) and 4002(c);
(II)
a statement of the facts (not conclusory statements) relied upon by the
applying utility to show that the public convenience and necessity require
the granting of the application;
(III)
a statement describing the franchise rights proposed to be exercised. The
statement shall include a description of the type of utility service to be
rendered and a description of the city or town sought to be served;
(IV)
a certified copy of the franchise ordinance; proof of publication, adoption,
and acceptance by the applying utility; a statement as to the number of
customers served or to be served and the population of the city or town;
and any other pertinent information;
(V)
a statement describing in detail the extent to which the applying utility is
an affiliate of any other utility which holds authority duplicating in any
respect the authority sought;
(VI)
the feasibility study for areas previously not served by the applying utility,
which study shall at least include estimated investment, income, and
expense
he city or town;
and any other pertinent information;
(V)
a statement describing in detail the extent to which the applying utility is
an affiliate of any other utility which holds authority duplicating in any
respect the authority sought;
(VI)
the feasibility study for areas previously not served by the applying utility,
which study shall at least include estimated investment, income, and
expense. An applying utility may request that its most recent audited
balance sheet, income statement, statement of retained earnings, and
statement of cash flows be submitted in lieu of a feasibility study; and
(VII)
a statement of the names of public utilities and other entities of like
character providing similar service in or near the area sought to be served.
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4101. Certificate of Public Convenience and Necessity for Service Territory.
(a)
A utility seeking authority to provide service in a new service territory shall file an
application pursuant to this rule. A utility cannot provide service to a new
geographic area without authority from the Commission, unless the utility extends
its facilities and service:
(I)
within a city and county or city or town within which the utility has lawfully
commenced operations;
(II)
into territory contiguous to the utility’s facility, line, plant, or system that is
not served by a public utility providing the same commodity or service; or
(III)
within or to territory already served by the utility and the extension is
necessary in the ordinary course of business.
vice:
(I)
within a city and county or city or town within which the utility has lawfully
commenced operations;
(II)
into territory contiguous to the utility’s facility, line, plant, or system that is
not served by a public utility providing the same commodity or service; or
(III)
within or to territory already served by the utility and the extension is
necessary in the ordinary course of business.
(b)
An application for certificate of public convenience and necessity to provide
service in a new territory shall include, in the following order and specifically
identified, the following information, either in the application or in appropriately
identified attachments:
(I)
the information required in paragraphs 4002(b) and 4002(c);
(II)
a statement of the facts (not conclusory statements) relied upon by the
applying utility to show that the public convenience and necessity require
the granting of the application;
(III)
a description of the type of utility service to be rendered and a description
of the area sought to be served;
(IV)
a map showing the specific geographic area that the applying utility
proposes to serve. If the applying utility intends to phase in service in the
territory over time, specific areas and proposed in-service dates shall be
included. The map shall describe the geographic areas in section,
township, and range convention;
(V)
a statement describing in detail the extent to which the applying utility is
an affiliate of any other utility which holds authority duplicating in any
respect the territory sought;
(VI)
a statement of the names of public utilities and other entities of like
character providing similar service in or near the area involved in the
application;
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escribing in detail the extent to which the applying utility is
an affiliate of any other utility which holds authority duplicating in any
respect the territory sought;
(VI)
a statement of the names of public utilities and other entities of like
character providing similar service in or near the area involved in the
application;
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(VII)
a feasibility study for the proposed area to be served, which shall at least
include estimated investment, income, and expense. An applying utility
may request that its most recent audited balance sheet, income
statement, statement of retained earnings, and statement of cash flows be
submitted in lieu of a feasibility study; and
(VIII) a statement of the names of public utilities and other entities of like
character providing similar service in or near the area sought to be served.
4102. Certificate of Public Convenience and Necessity for Facilities.
(a)
A utility seeking authority to construct and to operate a facility, or an extension or
expansion of a facility, pursuant to § 40-5-101, C.R.S., shall file an application in
accordance with this rule. The utility shall apply to the Commission for issuance
of a certificate of public convenience and necessity for approval of construction
and operation of a facility, or an extension or expansion of a facility, which is not
in the ordinary course of business.
(b)
For a utility with 500,000 full-service customers or more, the utility shall apply to
the Commission for issuance of a certificate of public convenience and necessity
for construction and operation of a facility, or an extension or expansion of a
facility, where the total utility capital investment value is greater than $12 million
in 2020 dollars, unless the utility has already received approval by the
Commission pursuant to paragraph 4555(c).
s or more, the utility shall apply to
the Commission for issuance of a certificate of public convenience and necessity
for construction and operation of a facility, or an extension or expansion of a
facility, where the total utility capital investment value is greater than $12 million
in 2020 dollars, unless the utility has already received approval by the
Commission pursuant to paragraph 4555(c).
(c)
For a utility with more than 50,000 full-service customers but less than 500,000
customers, the utility shall apply to the Commission for issuance of a certificate of
public convenience and necessity for construction and operation of a facility, or
an extension or expansion of a facility where the total utility capital investment
value is greater than $10 million in 2020 dollars, unless the utility has already
received approval by the Commission pursuant to paragraph 4555(c).
(d)
For any utility with less than 50,000 full-service customers, the utility shall apply
to the Commission for issuance of a certificate of public convenience and
necessity for construction and operation of a facility, or an extension or
expansion of a facility where the total utility capital investment value is greater
than $5 million in 2020 dollars, unless the utility has already received approval by
the Commission pursuant to paragraph 4555(c).
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(e)
The cost thresholds set forth in paragraphs (b) through (d) above shall be
adjusted for inflation annually on March 1 of each year, based upon the annual
percentage change in the United States Bureau of Labor Statistics Consumer
Price Index – Denver-Aurora-Lakewood as published by the Colorado
Department of Local Affairs for the immediately preceding calendar year. These
adjustments shall be compounded annually. For reference, the Commission will
post a notice on its website, https://puc.colorado.gov/, by March 15 of each year
reporting the annual inflation adjustments applicable pursuant to this paragraph.
stics Consumer
Price Index – Denver-Aurora-Lakewood as published by the Colorado
Department of Local Affairs for the immediately preceding calendar year. These
adjustments shall be compounded annually. For reference, the Commission will
post a notice on its website, https://puc.colorado.gov/, by March 15 of each year
reporting the annual inflation adjustments applicable pursuant to this paragraph.
(f)
An application for issuance of a certificate of public convenience and necessity to
construct and to operate facilities, or an extension or expansion of a facility,
pursuant to § 40-5-101, C.R.S., shall include, in the following order and
specifically identified, the following information, either in the application or in
appropriately identified attachments:
(I)
the information required in rule 4002;
(II)
a statement of the facts (not conclusory statements) relied upon by the
applying utility to show that the public convenience and necessity require
the granting of the application or citation to any Commission decision that
is relevant to the proposed facilities;
(III)
the project category, consistent with the categories defined in
subparagraph 4553(a)(III), or otherwise identified and justified by the
utility;
(IV)
a description of the general scope of work and an explanation of the need
for the proposed facilities, including any applicable U.S. Department of
Transportation Pipeline and Hazardous Materials Safety Administration
code requirements for the facilities;
(V)
the projected life of the proposed facilities;
(VI)
the anticipated construction start date, construction period, with any
phases indicated, and the expected in-service date for the proposed
facilities;
(VII)
relevant technical details, such as physical equipment characteristics of
the proposed facilities, pipeline length, pipeline diameter, project
material(s), and maximum allowable operating pressure;
(VIII) the estimated total cost and annual incremental revenue requirements of
the proposed facilities, assuming both conventional depreciation and
a
d in-service date for the proposed
facilities;
(VII)
relevant technical details, such as physical equipment characteristics of
the proposed facilities, pipeline length, pipeline diameter, project
material(s), and maximum allowable operating pressure;
(VIII) the estimated total cost and annual incremental revenue requirements of
the proposed facilities, assuming both conventional depreciation and
accelerated depreciation as applicable;
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(IX)
a cost estimate classification using the utility’s or an industry-accepted
cost estimate classification index, and explanation and support of
methodology;
(X)
the project location and an illustrative map of the proposed facilities
(subject to necessary and appropriate confidentiality provisions), which
includes:
(A)
the pressure district or geographic area that requires the proposed
facilities;
(B)
the existing and proposed regulator stations and existing and
proposed distribution piping and higher capacity pipelines served
by or representing the proposed facilities;
(C)
whether the facilities will be located in any disproportionately
impacted community;
(D)
identification of the electric utility service provider(s); and
(E)
any other information necessary to allow the Commission to make
a thorough evaluation of the application.
(XI)
to the extent practicable, the number of customers, annual sales, and
design peak demand requirements, by customer class, directly impacted
or served by the proposed facilities;
(XII)
the application shall include information about Best Value Employment
metrics consistent with paragraph 4211(a) or, in the alternative,
information to demonstrate that the project qualifies for an exemption
under paragraph 4211(e)
practicable, the number of customers, annual sales, and
design peak demand requirements, by customer class, directly impacted
or served by the proposed facilities;
(XII)
the application shall include information about Best Value Employment
metrics consistent with paragraph 4211(a) or, in the alternative,
information to demonstrate that the project qualifies for an exemption
under paragraph 4211(e). If the information required in paragraph 4211(a)
is not available at the time an application is filed because relevant
contracts have not yet been entered into, the applicant shall file a status
report in the proceeding within 45 days after the last contract has been
entered into that identifies how selected contractor(s) meet Best Value
Employment metrics;
(XIII) the application shall address whether it includes one or more projects that
are also ESPW projects, and if so, the applicant shall further attest that
material contract terms that comply with paragraph 4211(b) have been or
will be included in any relevant contracts and that such terms will be
required to be included in any relevant subcontracts;
(XIV) if the proposed facilities are located in a disproportionately impacted
community, a description of:
(A)
the nature of the utility’s outreach to members of that
disproportionately impacted community, as appropriate to the filing;
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(B)
the communications and materials employed; and
(C)
the findings from those outreach efforts
if the proposed facilities are located in a disproportionately impacted
community, a description of:
(A)
the nature of the utility’s outreach to members of that
disproportionately impacted community, as appropriate to the filing;
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(B)
the communications and materials employed; and
(C)
the findings from those outreach efforts.
(XV) identification of any permit(s) required to begin work;
(XVI) a description of the environmental requirements associated with
completion of the proposed facilities, if any;
(XVII) the change in projected utility-wide greenhouse gas emissions due to the
proposed facilities, as calculated relative to the utility’s most recently
approved clean heat plan greenhouse gas emission forecast or
subsequent interim-year update, in accordance with subparagraphs
4731(a)(I) and 4731(c)(I) or 4733(a)(VI), as applicable; and
(XVIII) for proposed facilities meeting the definition of a new business project or a
capacity expansion project, as defined in subparagraphs 4553(a)(III)(B)
and (C), the utility shall also present an analysis of alternatives including
non-pipeline alternatives, costs for those alternatives, and criteria used to
rank or eliminate such alternatives.
(A)
An analysis of alternatives shall consider, at a minimum:
(i)
one or more applicable clean heat resources consistent with
the utility’s most recently approved clean heat plan, pursuant
to rule 4732, demand side management plan, pursuant to
rule 4753, or beneficial electrification plan, as applicable;
(ii)
a cost-benefit analysis including the costs of direct
investment and the social costs of carbon and methane for
emissions due to or avoided by the alternative, and other
costs determined appropriate by the Commission; and
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and side management plan, pursuant to
rule 4753, or beneficial electrification plan, as applicable;
(ii)
a cost-benefit analysis including the costs of direct
investment and the social costs of carbon and methane for
emissions due to or avoided by the alternative, and other
costs determined appropriate by the Commission; and
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(iii)
available Best Value Employment metrics associated with
each alternative, as defined in paragraph 4211(a), including
a projection of gas distribution jobs affected by the
alternative and jobs made available through the alternative,
opportunities to transition any affected gas distribution jobs
to the alternative, pay and benefit levels of the affected gas
distribution jobs and the jobs available through a transition
opportunity, and how employment impacts associated with
each alternative could affect disproportionately impacted
communities.
(B)
An analysis of alternatives shall include, at a minimum:
(i)
the technologies or approaches evaluated;
(ii)
the technologies or approaches proposed, if applicable;
(iii)
the projected timeline and annual implementation rate for the
technology or approaches evaluated;
(iv)
the technical feasibility of the alternative assuming full
adoption of the technologies and approaches evaluated; and
(v)
the utility’s strategy to implement the technologies or
approaches evaluated.
(XIX) For proposed facilities meeting the definition of a system safety and
integrity project, as defined in subparagraph 4553(a)(III)(A), the utility shall
provide the risk ranking and detailed information regarding the utility’s risk
ranking methodology including, but not limited to, the material, age,
maximum allowable operating pressure, density of surrounding residences
and businesses, and any other physical and operating characteristics
relevant to the risk ranking of the proposed facilities and the risk ranking
methodology
A), the utility shall
provide the risk ranking and detailed information regarding the utility’s risk
ranking methodology including, but not limited to, the material, age,
maximum allowable operating pressure, density of surrounding residences
and businesses, and any other physical and operating characteristics
relevant to the risk ranking of the proposed facilities and the risk ranking
methodology. The utility must also identify, explain, and provide the output
to any risk-related models developed or employed by the utility in
conducting risk analyses to support planned system safety and integrity
projects.
(g)
A separate certificate of public convenience and necessity is not required for
mandatory relocations of a utility’s gas infrastructure.
(h)
In accordance with subparagraph 4552(d)(II), the utility may satisfy the
requirements of rule 4102 in an application submitted pursuant to the Gas
Infrastructure Planning Rules.
(i)
Within 30 days of final Commission approval of an application pursuant to this
rule, or after the last contract has been entered into that includes one or more
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ESPW projects, the applicant or its subcontractor(s) shall notify the Department
of Labor Standards and Statistics within the Colorado Department of Labor and
Employment about the project to facilitate the collection of craft labor
certification(s).
4103. Certificate Amendments for Changes in Service, in Service Territory, or in
Facilities.
(a)
A utility seeking authority to do the following shall file an application pursuant to
this rule: amend a certificate of public convenience and necessity in order to
extend, to restrict, to curtail, or to abandon or to discontinue without equivalent
replacement any service, service area, or facility. A utility shall not extend,
restrict, curtail, or abandon or discontinue without equivalent replacement any
service, service area, or facility not in the ordinary course of business without
authority from the Commission.
ublic convenience and necessity in order to
extend, to restrict, to curtail, or to abandon or to discontinue without equivalent
replacement any service, service area, or facility. A utility shall not extend,
restrict, curtail, or abandon or discontinue without equivalent replacement any
service, service area, or facility not in the ordinary course of business without
authority from the Commission.
(b)
An application to amend a certificate of public convenience and necessity in
order to change, to extend, to restrict, to curtail, to abandon, or to discontinue
any service, service area, or facility without equivalent replacement shall include,
in the following order and specifically identified, the following information, either
in the application or in appropriately identified attachments:
(I)
all information required in paragraphs 4002(b) and 4002(c);
(II)
if the application for amendment pertains to a certificate of public
convenience and necessity for facilities, all of the information required in
rule 4102;
(III)
if the application for amendment pertains to a certificate of public
convenience and necessity for franchise rights, all of the information
required in rule 4100;
(IV)
if the application for amendment pertains to a certificate of public
convenience and necessity for service territory, all of the information
required in rule 4101;
(V)
if the application for amendment pertains to a service, the application shall
include:
(A)
the requested effective date for the extension, restriction,
curtailment, or abandonment or discontinuance without equivalent
replacement of the service; and
(B)
a description of the extension, restriction, curtailment, or
abandonment or discontinuance without equivalent replacement
sought. This shall include maps, as applicable. This shall also
include a description of the applying utility's existing operations and
general service area.
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equivalent
replacement of the service; and
(B)
a description of the extension, restriction, curtailment, or
abandonment or discontinuance without equivalent replacement
sought. This shall include maps, as applicable. This shall also
include a description of the applying utility's existing operations and
general service area.
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(c)
Customer notice of application. In addition to complying with the notice
requirements of the Commission’s Rules Regulating Practice and Procedure, a
utility applying to curtail, restrict, abandon or discontinue service without
equivalent replacement shall prepare a written notice as provided in
subparagraphs 4002(d)(I) through (XII) and shall mail or deliver the notice at
least 30 days before the application's requested effective date to each of the
applying utility's affected customers. The customer notice shall include a
statement detailing the requested restriction, curtailment, or abandonment or
discontinuance without equivalent replacement.
(d)
If no customers will be affected by the grant of the application, the notice must
meet the requirements of subparagraphs 4002(d)(I) through (XII) and shall be
mailed to the Board of County Commissioners of each affected county, and to
the mayor of each affected city, town, or municipality.
4104. Transfers, Controlling Interest, and Mergers.
(a)
A utility seeking authority to do any of the following shall file an application
pursuant to this rule: transfer a certificate of public convenience and necessity;
transfer or obtain a controlling interest in a utility, whether the transfer of control
is effected by the transfer of assets, by the transfer of stock, by merger or by
other form of business combination; or transfer assets subject to the jurisdiction
of the Commission outside the normal course of business
plication
pursuant to this rule: transfer a certificate of public convenience and necessity;
transfer or obtain a controlling interest in a utility, whether the transfer of control
is effected by the transfer of assets, by the transfer of stock, by merger or by
other form of business combination; or transfer assets subject to the jurisdiction
of the Commission outside the normal course of business. A utility cannot
transfer a certificate of public convenience and necessity; transfer or obtain a
controlling interest in any utility; or transfer assets outside the normal course of
business without authority from the Commission.
(b)
An application to transfer a certificate of public convenience and necessity, to
transfer or obtain a controlling interest in a utility, or to transfer assets subject to
the jurisdiction of the Commission shall include, in the following order and
specifically identified, the following information, either in the application or in
appropriately identified attachments:
(I)
the information required in paragraphs 4002(b) and 4002(c), as pertinent
to each party to the transaction;
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(II)
a statement showing accounting entries, under the Uniform System of
Accounts, including any plant acquisition adjustment, gain, or loss
proposed on the books by each party before and after the transaction
which is the subject of the application;
(III)
any agreement for merger, sales agreement, or contract of sale pertinent
to the transaction which is the subject of the application;
(IV)
all facts showing that the transaction which is the subject of the application
is not contrary to the public interest;
(V)
an evaluation of the benefits and detriments to the customers of each
party and to all other persons who will be affected by the transaction which
is the subject of the application; and.
(VI)
a comparison of the kinds and costs of service rendered before and after
the transaction which is the subject of the application.
is the subject of the application
is not contrary to the public interest;
(V)
an evaluation of the benefits and detriments to the customers of each
party and to all other persons who will be affected by the transaction which
is the subject of the application; and.
(VI)
a comparison of the kinds and costs of service rendered before and after
the transaction which is the subject of the application.
(c)
An application to transfer a certificate of public convenience and necessity, an
application to transfer assets subject to the jurisdiction of the Commission, or an
application to transfer or obtain control of the utility may be made by joint or
separate application of the transferor and the transferee.
(d)
When control of a utility is transferred to another entity, or the utility’s name is
changed, the utility which will afterwards operate under the certificate of public
convenience and necessity shall file with the Commission a tariff adoption notice,
shall post the tariff adoption notice in a prominent public place in each local office
and principal place of business of the utility, and shall have the tariff adoption
notice available for public inspection at each local office and principal place of
business. Adoption notice forms are available from the Commission. The tariff
adoption notice shall contain all of the following information:
(I)
the name, phone number, and complete address of the adopting utility;
(II)
the name of the previous utility;
(III)
the number of the tariff adopted and the description or title of the tariff
adopted;
(IV)
the number of the tariff after adoption and the description or title of the
tariff after adoption; and
(V)
unless otherwise requested by the applying utility in its application, a
statement that the adopting utility is adopting as its own all rates, rules,
terms, conditions, agreements, concurrences, instruments, and all other
provisions that have been filed or adopted by the previous utility.
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le of the
tariff after adoption; and
(V)
unless otherwise requested by the applying utility in its application, a
statement that the adopting utility is adopting as its own all rates, rules,
terms, conditions, agreements, concurrences, instruments, and all other
provisions that have been filed or adopted by the previous utility.
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4105. Securities and Liens.
(a)
Subject to the exception contained in paragraph (h) of this rule, a utility which
either derives more than five percent of its consolidated gross revenues in
Colorado as a public utility or derives a lesser percentage if its revenues are
earned by supplying an amount of energy which equals five percent or more of
Colorado's consumption shall file an application for Commission approval of any
proposal to issue or to assume any security or to create a lien.
(b)
An application for the issuance or assumption of securities with a maturity of 12
months or more or to create a lien shall include, in the following order and
specifically identified, the following information, either in the application or in
appropriately identified attachments:
(I)
all information required in paragraphs 4002(b) and 4002(c);
(II)
the resolution of the applying utility’s board of directors approving the
issuance, or assumption of the securities or to create a lien, together with,
as applicable and available, the proposed indenture requirements, the
mortgage note, the amendment to the loan contract, and the contract for
sale of securities or creation of a lien;
(III)
a statement describing each short-term and long-term indebtedness
outstanding on the date of the most recent balance sheet;
(IV)
a statement describing the classes and amounts of capital stock
authorized by the articles of incorporation and the amount by each class of
capital stock outstanding on the date of the most recent balance sheet;
(V)
a statement of capital structure showing common equity, long-term debt,
preferred stock, if any, and pro forma
debtedness
outstanding on the date of the most recent balance sheet;
(IV)
a statement describing the classes and amounts of capital stock
authorized by the articles of incorporation and the amount by each class of
capital stock outstanding on the date of the most recent balance sheet;
(V)
a statement of capital structure showing common equity, long-term debt,
preferred stock, if any, and pro forma capital structure on the date of the
most recent balance sheet giving effect to the issuance of the proposed
securities. Debt and equity percentages to total capitalization, actual and
pro forma, shall be shown;
(VI)
a statement of the amount and rate of dividends declared and paid, or the
amount and year of capital credits assigned and capital credits refunded,
during the previous four calendar years including the present year to the
date of the most recent balance sheet;
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(VII)
a statement describing the type and amount of securities to be issued; the
anticipated interest rate or dividend rate; the redemption or sinking fund
provisions, if any; and, within ten days of their filing with the Securities and
Exchange Commission, the registration statement, related forms, and
preliminary prospectus filed with the Securities and Exchange
Commission relating to the proposed issuance;
(VIII) a statement of proposed uses, including construction, to which the funds
will be or have been applied and a concise statement of the need for the
funds; and
(IX)
a statement of the estimated cost of financing.
ies and
Exchange Commission, the registration statement, related forms, and
preliminary prospectus filed with the Securities and Exchange
Commission relating to the proposed issuance;
(VIII) a statement of proposed uses, including construction, to which the funds
will be or have been applied and a concise statement of the need for the
funds; and
(IX)
a statement of the estimated cost of financing.
(c)
For applications for the creation of a lien on the applying utility's property situated
within the State of Colorado where the creation of the lien is not related to the
issuance or assumption of a security, the application shall also include, in the
following order and specifically identified, the following information, either in the
application or in appropriately identified attachments:
(I)
a description of the property which will be subject to the lien;
(II)
the amount of the lien;
(III)
the proposed use of the funds to be received from the lien;
(IV)
the estimated cost for the creation of the lien;
(V)
the anticipated duration of the lien;
(VI)
the anticipated release date of the lien;
(VII)
the retirement payment plan to release the lien;
(VIII) a description of how the applying utility will ensure that neither the creation
of the lien nor the use of the proceeds will violate § 40-3-114, C.R.S.;
(IX)
a statement that, for the duration of the lien, the applying utility will advise
the Commission within ten days of any bankruptcy, foreclosure, or
liquidation proceeding; and
(X)
a statement that the applying utility will advise the Commission within ten
days of any deviation from its lien retirement payment plan;
(d)
The Commission shall issue notice of the application, which shall set a ten-day
intervention period and a hearing date.
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f any bankruptcy, foreclosure, or
liquidation proceeding; and
(X)
a statement that the applying utility will advise the Commission within ten
days of any deviation from its lien retirement payment plan;
(d)
The Commission shall issue notice of the application, which shall set a ten-day
intervention period and a hearing date.
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(e)
Customer notice. Within three days after the filing of an application to issue or to
assume a security, the applying utility shall publish notice of the filing of the
application in a newspaper of general circulation. The notice shall include, in
addition to the information required by subparagraphs 4002(d)(I) – (XII), the
address of the applicant.
(f)
The applying utility shall file with the Commission the published notice and an
affidavit of publication as soon as possible after the filing of the application. The
Commission shall not grant the application without the notice and the affidavit of
publication.
(g)
The Commission shall give priority to an application made pursuant to this rule
and shall grant or deny the application within 30 days after filing, unless the
Commission, for good cause shown, enters an order granting an extension and
stating fully the facts necessitating the extension. The Commission shall approve
or disapprove an application made pursuant to this rule by written order.
(h)
Pursuant to § 40-1-104, C.R.S., a utility may issue, renew, extend or assume
liability on securities, other than stocks, with a maturity date of not more than 12
months after the date of issuance, whether secured or unsecured, without
application to or order of the Commission provided that no such securities so
issued shall be refunded, in whole or in part, by any issue of securities having a
maturity of more than 12 months except on application to and approval of the
Commission.
ty on securities, other than stocks, with a maturity date of not more than 12
months after the date of issuance, whether secured or unsecured, without
application to or order of the Commission provided that no such securities so
issued shall be refunded, in whole or in part, by any issue of securities having a
maturity of more than 12 months except on application to and approval of the
Commission.
(i)
Any security requiring Commission approval, but issued or assumed without such
approval, shall be void.
4106. Flexible Regulation to Provide Jurisdictional Service Without Reference to
Tariffs.
(a)
A utility seeking authority to provide a jurisdictional service without reference to a
tariff shall file an application pursuant to this rule. A utility cannot provide a
jurisdictional service without reference to a tariff without authority from the
Commission.
(b)
An application for flexible regulation to provide jurisdictional service without
reference to tariffs shall include, in the following order and specifically identified,
the following information, either in the application or in appropriately identified
attachments:
(I)
all information required in paragraphs 4002(b) and 4002(c);
(II)
the name of the customer or potential customer;
(III)
a description of the jurisdictional service or services which the applying
utility seeks to provide to a customer or a potential customer;
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(IV)
a description of the manner in which the applying utility will provide the
jurisdictional service or services if it contracts with a customer or potential
customer;
(V)
the facts (not in conclusory form) which the applying utility believes satisfy
the requirements of § 40-3-104.3(1)(a), C.R.S.; and
(VI)
a statement that the applying utility has provided, or will provide when
available, the application and contract as required by paragraph 4106(c) of
this rule.
rovide the
jurisdictional service or services if it contracts with a customer or potential
customer;
(V)
the facts (not in conclusory form) which the applying utility believes satisfy
the requirements of § 40-3-104.3(1)(a), C.R.S.; and
(VI)
a statement that the applying utility has provided, or will provide when
available, the application and contract as required by paragraph 4106(c) of
this rule.
(c)
The contract which is the subject of the application shall be filed when available
with the Commission under seal pursuant to rules 1100 through 1102 and § 40-3-
104.3(1)(b), C.R.S. The applying utility shall furnish the application and, when it
is available, the contract, under seal, to the OCC. Unless the applying utility
requests other treatment, the Commission and the OCC shall treat the contract
as confidential. If the Commission grants a protective order preserving the
confidentiality of the contents of an application, then the applying utility shall also
furnish a non-confidential version of the application without the contract to any
utility then providing service to the customer or potential customer.
(d)
The direct testimony and attachments to be offered at hearing shall accompany
the application unless the applying utility believes that the application will be
uncontested and unopposed. If an attachment is large or cumbersome, the
applying utility shall file the attachment with the Commission; shall provide, for
the benefit of the intervenors, the title of the attachment and a summary of the
information contained in the attachment; and shall state the location (other than
the Commission) at which parties may inspect the attachment.
e application will be
uncontested and unopposed. If an attachment is large or cumbersome, the
applying utility shall file the attachment with the Commission; shall provide, for
the benefit of the intervenors, the title of the attachment and a summary of the
information contained in the attachment; and shall state the location (other than
the Commission) at which parties may inspect the attachment.
(e)
Pre-filed testimony or attachments shall not be modified once filed unless the
modification is to correct typographical errors or misstatements of fact or unless
all parties to the proceeding agree to the modification. In the event a substantive
modification is made without the agreement of all parties, the Commission may
allow the modification only upon a showing of good cause. The Commission may
consider the effect of the substantive modification as a basis for a motion to
continue in order to allow the Commission staff or any other party a reasonable
opportunity to investigate and, if necessary, to address the modification.
(f)
The Commission shall provide notice of the application. Any person desiring to
intervene in a proceeding initiated pursuant to § 40-3-104.3, C.R.S., and this rule
shall move to do so within five days of the date the Commission provides notice.
(g)
Within five days of receiving written notice of an intervention in a proceeding
initiated pursuant to § 40-3-104.3, C.R.S., and this rule, the applying utility shall
hand-deliver or otherwise provide to the intervenor a non-confidential version of
the application and the applying utility’s pre-filed testimony and attachments.
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(h)
Unless the Commission orders otherwise, the applying utility shall publish notice
of the application in a newspaper of general circulation within three days of the
filing of the application.
ide to the intervenor a non-confidential version of
the application and the applying utility’s pre-filed testimony and attachments.
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(h)
Unless the Commission orders otherwise, the applying utility shall publish notice
of the application in a newspaper of general circulation within three days of the
filing of the application.
(i)
In addition to the requirements of subparagraphs 4002(d)(I) – (XII), the notice
provided by the applying utility shall contain the following information:
(I)
the address of the applying utility;
(II)
the name of the customer(s) or potential customer(s) involved;
(III)
a statement that the identified customer(s) or potential customer(s) may
have the ability to provide its/their own service or may have competitive
alternatives available to it/them;
(IV)
a general description of the jurisdictional services to be provided;
(V)
a statement of where affected customers may call to obtain information
concerning the application and;
(VI)
a statement that anyone desiring to participate as a party must file a
petition to intervene within five days from the date of Commission notice of
the application and that the intervention must comport with the
Commission's Rules Regulating Practice and Procedure.
(j)
Within three days of providing notice, the applying utility shall file with the
Commission an affidavit showing proof of publication of notice.
(k)
On a case-by-case basis, the Commission may require the applying utility to
provide additional information.
f Commission notice of
the application and that the intervention must comport with the
Commission's Rules Regulating Practice and Procedure.
(j)
Within three days of providing notice, the applying utility shall file with the
Commission an affidavit showing proof of publication of notice.
(k)
On a case-by-case basis, the Commission may require the applying utility to
provide additional information.
(l)
Should an application be filed which the Commission determines is not complete,
the Commission or Commission staff shall notify the applying utility within seven
days from the date the application is filed of the need for additional information.
The applying utility may then supplement the application so that it is complete.
Once the application is complete, the Commission will process the application,
with all applicable timelines running from the date the application is completed.
(m)
The Commission shall issue an order approving or disapproving the application
within the time permitted under § 40-3-104.3(1)(b), C.R.S.
(n)
At the time of any proceeding in which a utility’s overall rate levels are
determined, the Commission may require the utility to file a fully distributed cost
method which segregates investments, revenues, and expenses associated with
jurisdictional utility service provided pursuant to any contract approved under this
rule 4106 from other regulated utility operations in order to ensure that
jurisdictional utility service provided pursuant to contract is not subsidized by
revenues from other regulated utility operations.
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(o)
The applying utility shall provide final contract or other description of the price
and terms of service as specified in § 40-3-104.3(1)(e), C.R.S.
4107. [Reserved].
4108. Tariffs.
sure that
jurisdictional utility service provided pursuant to contract is not subsidized by
revenues from other regulated utility operations.
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(o)
The applying utility shall provide final contract or other description of the price
and terms of service as specified in § 40-3-104.3(1)(e), C.R.S.
4107. [Reserved].
4108. Tariffs.
(a)
A utility shall keep on file with the Commission the following documents
pertaining to gas sales service and gas transportation service: its current
Colorado tariffs, forms of contracts (including gas sales agreements), and those
gas transportation service agreements which are not the same as the standard
gas transportation service agreement contained in the utility's tariffs. These
documents, unless filed under seal, shall be available for public inspection at the
Commission and at the principal place of business of the utility.
(b)
All tariffs shall comply with rule 1210 of the Commission's Rules of Practice and
Procedure.
(c)
Filing and contents of tariff.
(I)
In addition to the requirements and contents in rule 1210, the following
shall be included in a utility's tariff as applicable:
(A)
a description of the minimum heating value for gas service as
required by paragraph 4202(a);
(B)
a description of testing methods for gas quality as required by
paragraph 4202(f);
(C)
interruption and curtailment criteria, policies, and implementation
priorities, as required by rule 4203;
(D)
transportation service rates, terms, and conditions, as required by
rule 4205;
(E)
the utility’s transportation service request form as required by
paragraph 4206(a);
(F)
information regarding the utility’s meter testing equipment and
facilities, scheduled meter testing, meter testing records, fees for
meter testing upon request, and meter reading, as required by rules
4303, 4304, 4305, 4306, and 4309;
(G)
information regarding benefit of service transfer policies as required
by paragraph 4401(c);
(H)
information regarding installment paym
by
paragraph 4206(a);
(F)
information regarding the utility’s meter testing equipment and
facilities, scheduled meter testing, meter testing records, fees for
meter testing upon request, and meter reading, as required by rules
4303, 4304, 4305, 4306, and 4309;
(G)
information regarding benefit of service transfer policies as required
by paragraph 4401(c);
(H)
information regarding installment payment plans and other plans,
as required by rule 4404;
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(I)
information regarding collection fees or miscellaneous service
charges, as required by subparagraph 4404(c)(VI) and (c)(VIII).
(J)
information regarding any after-hour restoration fees, as required
by paragraph 4409(b); and
(K)
all other rules, regulations, and policies covering the relations
between the customer and the utility.
4109. New or Changed Tariffs.
(a)
A utility shall file with the Commission any new or changed tariffs. No new or
changed tariff shall be effective unless it is filed with the Commission and either
is allowed to go into effect by operation of law or is approved by the Commission.
(b)
A utility may use one of the following filing processes to add a new tariff or to
change an existing tariff.
(I)
The utility may file the proposed tariff, including the proposed effective
date, accompanied by an advice letter pursuant to rule 1210. The utility
shall provide notice in accordance with rule 1207. If the Commission does
not suspend the proposed tariff in accordance with rule 1305 prior to the
tariff’s proposed effective date, the proposed tariff shall take effect on the
proposed effective date.
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date, accompanied by an advice letter pursuant to rule 1210. The utility
shall provide notice in accordance with rule 1207. If the Commission does
not suspend the proposed tariff in accordance with rule 1305 prior to the
tariff’s proposed effective date, the proposed tariff shall take effect on the
proposed effective date.
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(II)
The utility may file an application to implement a proposed tariff on less
than 30-days’ notice, accompanied by the proposed tariff, including the
proposed effective date. The application shall include the information
required in paragraphs 4002(b) and 4002(c); shall explain the details of
the proposed tariff, including financial data if applicable; shall state the
facts which are the basis for the request that the proposed tariff become
effective on less than 30 days’ notice; and shall identify any prior
Commission action, in any proceeding, pertaining to the present or
proposed tariff. If the application is approved by the Commission, the utility
shall file a compliance advice letter and tariff which tariff shall be the same
in substance as was approved by decision. The advice letter and tariff
shall be filed in a new proceeding with the prescribed notice period either
in the decision or pursuant to paragraph 1207(g).
(c)
A utility tariff filing, either by an advice letter or an application, that introduces or
increases any rate, charge, fee, fare, toll, rental, or classification shall include a
rate trend report
same
in substance as was approved by decision. The advice letter and tariff
shall be filed in a new proceeding with the prescribed notice period either
in the decision or pursuant to paragraph 1207(g).
(c)
A utility tariff filing, either by an advice letter or an application, that introduces or
increases any rate, charge, fee, fare, toll, rental, or classification shall include a
rate trend report. The rate trend report shall include:
(I)
the amount of increase and percentage change in the rate, charge, fee,
fare, toll, rental, or classification relative to the amount in effect on the date
of the utility’s filing;
(II)
the amount of increase and percentage change in annual revenues
collected by the utility as a result of the utility’s filing;
(III)
a chart, graph, or other visualization demonstrating each of the utility’s
rates, charges, fees, fares, tolls, rentals, or classifications, including base
rates and rate adjustment mechanisms, for the ten years prior to the date
of the utility filing;
(IV)
a chart, graph, or other visualization demonstrating all of the utility bill line
items, including subtotal summary lines, for the ten years prior to the date
of the utility filing for each of the utility’s customer classes;
(V)
a representation in the chart, graph, or other visualization required by
subparagraphs 4109(c)(III) and (IV) of the total of the rates, charges, fees,
fares, tolls, rentals, or classifications in effect ten years prior to the date of
the utility filing, escalated over the ten years using the United States
Bureau of Labor Statistics Consumer Price Index –Denver-Aurora-
Lakewood; and
(VI)
for the same rate, charge, fee, fare, toll, rental, or classification as the
utility’s filing over the ten years prior to the date of the utility’s filing:
(A)
the dates when a previous increase or decrease went into effect;
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Bureau of Labor Statistics Consumer Price Index –Denver-Aurora-
Lakewood; and
(VI)
for the same rate, charge, fee, fare, toll, rental, or classification as the
utility’s filing over the ten years prior to the date of the utility’s filing:
(A)
the dates when a previous increase or decrease went into effect;
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(B)
the amount of the rate, charge, fee, fare, toll, rental, or classification
before a previous increase or decrease went into effect;
(C)
the amount of increase or decrease relative to the amount before
the previous increase or decrease went into effect;
(D)
the change in annual revenues collected by the utility as a result of
the utility’s filing; and
(E)
the proceeding number for the tariff filing where the rate, charge,
fee, fare, toll, rental, or classification either was allowed to go into
effect by operation of law or was approved by the Commission and,
in the event a compliance filing resulted in the tariff going into effect
by operation of law, the proceeding number of the original
proceeding where the rate, charge, fee, fare, toll, rental, or
classification was introduced or where an increase in the existing
rate, charge, fee, fare, toll, rental, or classification was proposed.
(d)
If the utility files an application to add a new base rate tariff or to change an
existing base rate tariff, the Commission shall deem the application complete
pursuant to rule 1303 upon certifying by written decision that the filing includes
sufficient information , including a comprehensive cost and revenue requirement
analysis based on actual, auditable, historical data, which analysis must be
accompanied by appropriate workpapers and other supporting materials, to
compare test years and to satisfy other purposes as determined by the
Commission.
4110. Advice Letters.
(a)
All advice letter filings shall comply with rule 1210 of the Commission's Rules of
Practice and Procedure.
ensive cost and revenue requirement
analysis based on actual, auditable, historical data, which analysis must be
accompanied by appropriate workpapers and other supporting materials, to
compare test years and to satisfy other purposes as determined by the
Commission.
4110. Advice Letters.
(a)
All advice letter filings shall comply with rule 1210 of the Commission's Rules of
Practice and Procedure.
(b)
In addition to the requirements and contents in rule 1210, the advice letter shall
include the estimated amounts, if any, by which the utility’s revenues will be
affected, calculated on an annual basis.
(c)
Customer notice of advice letter. If the utility is required by statute, Commission
rule or order to provide notice to its customers of the advice letter, such notice
shall include the requirements of subparagraphs 4002(d)(I) – (XII).
4111. – 4199.
[Reserved]
FACILITIES
4200. Construction, Installation, Maintenance, and Operation.
The gas plant, equipment, and facilities of a utility shall be constructed, installed,
inspected, maintained, and operated in accordance with accepted engineering and gas
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industry practices to assure continuity of service, uniformity in the quality of service, and
the safety of persons and property.
4201. Instrumentation.
A utility purchasing or receiving gas for transportation services shall install, or shall
require the interconnecting pipeline to provide, such instruments or meters as may be
necessary to furnish information detailing the quantity and quality of gas received into its
system as necessary to maintain measurement accuracy and acceptable gas quality.
4202. Heating Value, Purity, and Pressure.
tation.
A utility purchasing or receiving gas for transportation services shall install, or shall
require the interconnecting pipeline to provide, such instruments or meters as may be
necessary to furnish information detailing the quantity and quality of gas received into its
system as necessary to maintain measurement accuracy and acceptable gas quality.
4202. Heating Value, Purity, and Pressure.
(a)
A utility shall establish and maintain in its tariffs a minimum heating value for its
gas, expressed in British Thermal Units per standard cubic foot. The minimum
heating value shall be no less than the monthly average gross heating value of
gas supplied by the utility in any given service area. No deviation below this
minimum shall be permitted. The utility shall determine the heating value of gas
by testing gas taken from such points on the utility’s system and at such test
frequencies as are reasonably necessary for a proper determination. The utility
shall maintain records of tests conducted to determine the heating value of gas.
The results of these tests shall be stated in terms of standard conditions.
(b)
A change in minimum heating value shall require an appropriate adjustment, if
any, to rates.
(c)
The utility shall ensure that the gas it supplies, if from multiple sources or if the
supply from a single source changes in composition, is interchangeable for safe
and efficient use. The utility shall ensure that gas from new supply sources or
from supply sources which the gas composition has changed is interchangeable
with the gas it currently supplies. The utility shall evaluate interchangeability by
means of one of the following:
(I)
use of test results which establish that the gas supplied to the end-user
falls within an acceptable range and which take into account the heating
value, specific gravity, and composition of the gas;
(II)
use of actual appliances to determine acceptability; or
(III)
use of a standard in the natural gas industry.
s. The utility shall evaluate interchangeability by
means of one of the following:
(I)
use of test results which establish that the gas supplied to the end-user
falls within an acceptable range and which take into account the heating
value, specific gravity, and composition of the gas;
(II)
use of actual appliances to determine acceptability; or
(III)
use of a standard in the natural gas industry.
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(d)
A utility shall promptly readjust its customers' appliances and devices as
necessary to render proper service if the readjustment is required for safe and
efficient use in accordance with paragraph (c) of this rule. Unless otherwise
ordered by the Commission, a readjustment made pursuant to this paragraph
shall be done at no charge to the customer. If a utility determines that a
readjustment pursuant to this paragraph is necessary, the utility shall notify the
Commission, in writing, of the readjustment and of the reason for the
readjustment.
(e)
A utility whose gas delivery exceeds 20 million cubic feet per annum shall test
the heating value of gas at least once each week, unless the utility purchases or
receives gas on a heat value basis or unless the interconnecting pipeline
provides the utility with a record of the heating value of the gas delivered and the
interconnecting pipeline’s tests are made at least once each week.
(f)
All gas supplied to customers shall be substantially free of impurities which may
cause corrosion of facilities or which may form corrosive or harmful fumes when
burned in a properly-designed and properly-adjusted burner.
(g)
A LDC shall deliver gas at a pressure of six inches water column, plus or minus
two inches water column, measured at the meter outlet, unless operating
conditions require a higher delivery pressure. If a higher pressure is required, the
utility shall require the customer to install appropriate pressure regulating
equipment in the customer's lines, if necessary.
ed and properly-adjusted burner.
(g)
A LDC shall deliver gas at a pressure of six inches water column, plus or minus
two inches water column, measured at the meter outlet, unless operating
conditions require a higher delivery pressure. If a higher pressure is required, the
utility shall require the customer to install appropriate pressure regulating
equipment in the customer's lines, if necessary.
(h)
A utility shall monitor distribution pressure as follows:
(I)
In a distribution system serving 100 or fewer customers, the utility shall
semi-annually check distribution pressures by indicating gauges at the
district regulator station or other appropriate point in the distribution
system.
(II)
In distribution system serving more than 100 and fewer than 500
customers, the utility shall provide at least one recording pressure gauge
or telemetering pressure device at the pressure regulating station or at
some other appropriate point in the distribution system.
(III)
In a distribution system serving 500 or more customers, the utility shall
maintain one or more additional recording pressure gauges or
telemetering pressure devices and shall make frequent 24-hour records of
the gas pressure prevailing at appropriate points in the system.
(i)
In its tariff, a utility shall include a description of test methods, equipment, and
frequency of testing used to determine the quality and pressure of gas service
furnished.
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4203. Interruptions and Curtailments of Service.
(a)
A utility shall keep a record of all interruptions and curtailments of service on its
entire system or on major divisions of its system, including a statement of the
time, duration, and cause of each interruption or curtailment. A utility shall also
keep a record of the time of starting up or shutting down of the compressing
equipment and the period of operation of all regulators used for the maintenance
of constant gas pressure.
all interruptions and curtailments of service on its
entire system or on major divisions of its system, including a statement of the
time, duration, and cause of each interruption or curtailment. A utility shall also
keep a record of the time of starting up or shutting down of the compressing
equipment and the period of operation of all regulators used for the maintenance
of constant gas pressure.
(b)
In its tariff a utility shall establish specific terms and conditions for interruptions
and curtailments of service. The utility shall establish, and adhere to, interruption
and curtailment priorities for sales service and for transportation service by
customer class. These priorities shall be consistent with the requirements of this
rule.
(c)
A utility shall interrupt service within each class on an equitable basis, consistent
with system constraints and its tariff. A utility shall interrupt service within a locale
on a fair and reasonable basis, consistent with local conditions.
(d)
A utility shall not make up any shortage by using the transportation customer’s
supplies without the transportation customer’s consent.
(e)
A utility shall curtail standby supply service to transportation customers who have
contracted for standby supply service in accordance with the same system of
class-by-class priorities as is applicable to sales customers established by the
utility’s tariffs.
(f)
A utility may provide, under applicable sales tariffs, available supply service to
gas transportation customers who have not purchased standby supply service
from the utility and are experiencing supply shortages.
4204. [Reserved].
4205. Gas Transportation Service Requirements.
he same system of
class-by-class priorities as is applicable to sales customers established by the
utility’s tariffs.
(f)
A utility may provide, under applicable sales tariffs, available supply service to
gas transportation customers who have not purchased standby supply service
from the utility and are experiencing supply shortages.
4204. [Reserved].
4205. Gas Transportation Service Requirements.
(a)
In its tariffs, a utility shall establish maxim
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