title-52•Title 52 Pa. Code — Public Utilities
Part I Public Utility Commission
Subpart B Carriers of Passengers or Property
Chapter 21 General Provisions
52 Pa. Code § 21.1 Definitions.
The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise: Certificate—A certificate of public convenience as issued by the Commission. Commission—The Pennsylvania Public Utility Commission. Common carrier of property—A motor common carrier who or which transports property, other than household goods in use. Corporation—A body corporate, joint stock company or association, domestic or foreign, its lessee, assignee, trustee, receiver or other successor in interest, having the powers or privileges of corporations not possessed by individuals or partnerships, but not including a municipal corporation except as otherwise expressly provided in the act. Household goods in use—
(i) As used in connection with transportation, the term means personal effects and property used or to be used in a dwelling, when a part of the equipment or supply of the dwelling, and similar property if the transportation of the effects or property is arranged and paid for by either the householder or by another party.
(ii) The term does not include:
(A) A motor carrier when the motor carrier provides transportation of household goods in containers or trailers that are entirely packed, loaded, unloaded or unpacked by an individual other than an employee or agent of the motor carrier.
(B) Transportation of property from a factory or store when the property is purchased by the householder with the intent to use it in the householder’s dwelling. Household goods in use carrier—A motor common or contract carrier that transports household goods in use. Motor carrier—A common or contract carrier by motor vehicle. Passenger carrier—A motor common or contract carrier that transports passengers.
The provisions of this § 21.1 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 21.1 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647; amended October 23, 2009, effective October 24, 2009, 39 Pa.B. 6236. Immediately preceding text appears at serial pages (293971) to (293972).
This section cited in 52 Pa. Code § 31.1 (relating to definitions).
History
- Authority: The provisions of this § 21.
- Source: The provisions of this § 21.
52 Pa. Code § 21.2 Advertising by common carriers of passengers or household goods in use.
A common carrier of passengers or household goods in use which advertises its services as an intraState carrier within this Commonwealth shall include in the advertisements its certificate number issued by the Commission. A common carrier of passengers or household goods in use which does not comply with this section shall be subject to penalty under 66 Pa.C.S. § § 3301—3315 (relating to violations and penalties).
The provisions of this § 21.2 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1501 and 1504.
The provisions of this § 21.2 adopted as § 41.17 on July 17, 1987, effective July 18, 1987, 17 Pa.B. 3029; renumbered December 3, 1993, effective December 4, 1993, 23 Pa.B. 5715; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial pages (213741) to (213742).
History
- Authority: The provisions of this § 21.
- Source: The provisions of this § 21.
Chapter 23 Tariffs for Common Carriers
52 Pa. Code § 23.1 Definitions and applicability.
(a) Definitions. The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Common carrier or carrier—A person or corporation holding out, offering or undertaking, directly or indirectly, service for compensation to the public for the transportation of passengers or household goods in use, or both, or any class of passengers or household goods in use, between points within this Commonwealth by, through, over, above or under land, water or air, including forwarders, but not motor common carriers of property, group and party carriers of more than 15 passengers, contract carriers, brokers or any bona fide cooperative association transporting property exclusively for the members of the association on a nonprofit basis. Contract carrier—A person or corporation who or which provides or furnishes transportation of passengers or household goods in use, or both, or any class of passengers or household goods in use, between points within this Commonwealth by motor vehicle for compensation, whether or not the owner or operator of the motor vehicle, or who or which provides or furnishes, with or without drivers, any motor vehicle for the transportation, or for use in transportation, other than as a common carrier by motor vehicle, but not including any of the following:
(i) A lessor under a lease given on a bona fide sale of a motor vehicle where the lessor retains or assumes no responsibility for maintenance, supervision or control of the motor vehicle sold.
(ii) A bona fide agricultural, cooperative association transporting property exclusively for the members of the association on a nonprofit basis or any independent contractor hauling exclusively for the association.
(iii) An owner or operator of a farm transporting agricultural products from, or farm supplies to, the farm, or an independent contractor hauling agricultural products or farm supplies, exclusively, for one or more owners or operators of farms.
(iv) Transportation of school children in any motor vehicle owned by any school district, or operated under contract with any school district, for which transportation is lawfully paid by the school district from district funds.
(v) A person or corporation who or which uses, or furnishes for use, dump trucks for the transportation of ashes, rubbish, excavated or road construction materials.
(vi) Transportation of voting machines to and from polling places by any person or corporation for or on behalf of any political subdivision of this Commonwealth for use in any primary, general or special election. Operating ratio—The operating ratio at present rates shall be calculated as a ratio of intrastate operating expenses to intrastate operating revenues, where the numerator includes operations and maintenance expense, annual depreciation, applicable taxes, and the denominator consists of the utility’s intrastate operating revenues at present rates, including all surcharges. Rate—An individual or joint fare, toll, charge, rental or other compensation of a public utility, other than a motor common carrier of property in its transportation of property, or contract carrier by motor vehicle, made, demanded or received for jurisdictional service, offered, rendered or furnished by the public utility, other than a motor carrier of property in its transportation of property, or contract carrier by motor vehicle, whether in currency, legal tender or evidence thereof, in kind, in services or in another medium or manner, and whether received directly or indirectly, and rules, regulations, practices, classifications or contracts affecting the compensation, charge, fare, toll or rental. Tariff—Schedules of rates, rules, regulations, practices or contracts involving any rate, including contracts for interchange of service and, in the case of a common carrier, other than a common carrier of property in the transportation of property, schedules showing the method of distribution of the facilities of the common carrier.
(b) Applicability. This chapter applies to motor carriers except common carriers of property and group and party carriers of more than 15 passengers.
The provisions of this § 23.1 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.1 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647; amended July 29, 2011, effective July 30, 2011, 41 Pa.B. 4100; amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial pages (359659) to (359660) and (357897).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.11 Filing of rates.
(a) Before any carrier furnishes or offers to furnish any service, it shall file with the Commission tariffs showing the rates or other compensation demanded for such service, including COD services, and all rules governing the furnishing of the service or the application of the rates demanded therefor, if the filing of a tariff with the Commission is not construed as an approval by it of the rates or rules contained therein, or as a waiver of any other requirement of 66 Pa.C.S. § § 101—3315.
(b) The tariffs of carriers also subject to the jurisdiction of a Federal regulatory body shall correspond, so far as practicable, to the form of those prescribed by such Federal agency.
This section cited in 52 Pa. Code § 3.381 (relating to applications for transportation of property and persons).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.12 Format for tariffs and supplements.
(a) All tariffs, and all supplements to tariffs, shall be printed or typewritten on hard-calendered paper of good quality 8 inches by 11 inches in size, from type of size not less than eight point full face and shall not contain alterations or erasures.
(b) Tariffs prepared by a reproduction process resulting in a permanent record are acceptable, but tariffs or supplements prepared in hectograph impression, or by other means which do not result in a permanent record, shall not be accepted.
(c) A looseleaf form may be used so that changes may be made by the issuance of revised or additional original pages. Each revised page shall refer to the page canceled thereby.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.13 Tariff supplements.
(a) A change in, or addition to, a bound tariff shall be known as a supple- ment. A supplement shall refer to the page or item of the tariff or tariff supplement thereby amended.
(b) Unless otherwise provided by the Commission, a tariff of four pages or less may not be supplemented, but shall be reissued when amended. Any tariff consisting of more than four pages may be supplemented to the extent of not more than 50% of the number of pages contained in the original tariff. Looseleaf tariffs may be amended without limitation, if the revised check sheets are also submitted.
(c) Unless otherwise permitted by the Commission, if a carrier changes its name or is acquired by or absorbed by another carrier, the predecessor shall unite with the survivor in common supplements to existing tariffs, the predecessor withdrawing and the survivor accepting and establishing existing tariffs. The common supplements shall be executed jointly by both predecessor withdrawing and the survivor accepting and establishing existing tariffs. The common supplements shall be executed jointly by both predecessor and survivor carriers and numbered as supplements. New tariffs or schedules shall be numbered in series as of the surviving carrier. The same procedure shall be followed by a receiver, trustee, or any successor in interest in the course of law.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.14 Numbering of tariffs and supplements.
(a) Tariffs shall be numbered consecutively with the prefix ‘‘Pa. P.U.C. No.’’ and a separate series of numbers shall be used for tariffs pertaining to each kind of service furnished.
(b) The designation on tariffs of motor carriers shall show the kind of service and serial number as follows:
The provisions of this § 23.14 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.14 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial pages (213540) to (213541).
This section cited in 52 Pa. Code § 23.21 (relating to title page).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.15 Tariff indexes.
If a carrier has five or more tariffs on file with the Commission, an index of such tariffs shall be filed consisting of two sections, the first section listing the kinds of service alphabetically and showing the numbers of the applicable tariffs and the second listing the tariffs numerically. The index shall be supplemented each month in which changes are made in order to bring the information to date, and shall be reissued within a period not to exceed one year.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.16 Filing in numerical order.
(a) Tariffs and supplements should be filed in numerical order insofar as possible and when this cannot be done suitable explanation shall be made concerning missing numbers.
(b) Each tariff or supplement filed with the Commission shall be accompanied by a separate letter of transmittal, in duplicate if receipt is desired, prepared on paper not larger than 8 1/2 by 11 inches in size. Specific reference shall be made thereon to all of the following:
(1) The tariff or supplement being filed.
(2) The effective date of the tariff or supplement.
(3) Supporting data required by § § 23.63—23.66 (relating to data required in filing proposed rate changes; data required in filing increases in operating revenues; exemptions from filing; filings as public record), unless the supporting data has been previously filed.
(c) If the tariff transmitted is a joint one, a statement should be included to the effect that it is concurred in by all participants, under appropriate authorization on file with the Commission or attached to the tariff.
(d) The original letter of transmittal will be retained by the Commission. The duplicate, when accompanied by an addressed, stamped envelope or postage sufficient to cover return mailing, will be stamped and returned to the carrier to evidence receipt of the tariff matters filed.
(e) If a number of tariffs or supplements pertaining to one kind of service are filed simultaneously, they may be included in one transmittal letter.
(f) Separate letters shall be used for tariffs or supplements filed for different classes of service. Tariffs tendered for filing shall be addressed to:
Bureau of Transportation and Safety Pennsylvania Public Utility Commission Post Office Box 3265 Harrisburg, Pennsylvania 17105-3265.
The provisions of this § 23.16 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.16 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (213541).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.21 Title page.
Each tariff shall contain a title page showing the following information in the sequence specified:
(1) The Commission (Pa. P.U.C.) number of tariff or supplement, as indicated in § 23.14 (relating to numbering of tariffs and supplements). The designation shall be placed in the upper right corner, and immediately under it the numbers of tariffs or supplements cancelled thereby. Motor carriers shall place in the upper left corner their certificate or permit and folder numbers.
(2) The name of the issuing carrier or publishing agent. The names of motor carriers shall be exactly as they appear in the certificates or permits.
(3) The kind of service to which the tariff applies. Motor carriers shall describe exactly the right authorized. If the rights are extensive they may be described in the body of the tariff or in a separate issue with appropriate reference to it on the title page.
(4) Reference by title and Commission number to any other tariff which may apply in connection with the tariff or schedule. If not practical to show, this information may be included in the body of the tariff under rules and regulations. When a carrier proposes to apply the rates named in agency tariffs for all or part of its services, it is necessary to submit a tariff in the name of the individual, as prescribed in paragraphs (1)—(3), and to make proper reference to the agency issues naming the applicable rates.
(5) The date of issue (left) and date effective (right). A tariff or supplement filed to comply with an order of the Commission may be made effective on 1 day’s notice unless otherwise specified. The date of issue, which shall be inserted before the tariff is submitted for filing, should be at least 1 day after the date on which the schedule is mailed. The effective date should be 1 day later than the date of issue. Neither of these dates refers to the date of action by the Commission in authorizing service.
(6) On each tariff or supplement issued to become effective on short notice by special permission of the Commission, the following notation shall be made:
‘‘Issued under special permission of Pennsylvania Public Utility Commission No.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.22 List of changes made by tariff.
(a) Except as to railroad companies, page two of the tariff or supplement shall begin with the following:
LIST OF CHANGES MADE BY THIS TARIFF(or supplement)
(b) The exact nature of the changes made by the tariff or supplement shall be shown under an appropriate subcaption.
The provisions of this § 23.22 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.22 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (213543).
This section cited in 52 Pa. Code § 23.23 (relating to omissions); 52 Pa. Code § 23.24 (relating to increases); 52 Pa. Code § 23.25 (relating to decreases); 52 Pa. Code § 23.26 (relating to changes); and 52 Pa. Code § 23.27 (relating to symbols used in tariff body).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.23 Omissions.
When a tariff cancelling a previous tariff omits rates or rules which were contained in such previous tariff, the new tariff shall contain, under the subcaption described in § 23.22 (relating to list of changes made by tariff), a brief statement of all such omissions, including reference to the page or pages in the previous tariff upon which such rates or rules were shown, and if such omissions effect increases or decreases in charges, that fact shall be stated.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.24 Increases.
When any changes in the rates or rules result in increases, a brief statement of such changes, together with a reference to the page or pages upon which they appear, shall be made under the subcaption described in § 23.22 (relating to list of changes made by tariff).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.25 Decreases.
When any changes in the rates or rules result in decreases, a brief statement of such changes, together with a reference to the page or pages upon which they appear, shall be made under the subcaption described in § 23.22 (relating to list of changes made by tariff).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.26 Changes.
When changes made by additions or corrections do not result in increases or decreases in the rates or charges, a brief statement of the changes, together with a reference to the page or pages upon which they appear shall be made under the subcaption described in § 23.22 (relating to list of changes made by tariff).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.27 Symbols used in tariff body.
(a) In addition to the notice placed upon the title page set forth in § 23.21 (relating to title page) and the list of changes prescribed by the provisions of § 23.22 (relating to list of changes made by tariff) the following symbols shall be shown in the body of the tariff immediately in connection with the rate or rule affected, unless the tariffs are likewise filed with a Federal agency, where the Federal symbol may be used with explanation.
(b) On the bottom of each of the pages upon which symbols are shown, or in a list of abbreviations referred to, the following explanation shall be made:
(c) In cases where a change of the same character is made throughout an entire schedule or supplement or on a page thereof, that fact and the nature of such change may be indicated in distinctive type at the top of the title page or at the top of each page.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.28 Table of contents.
A tabulation, by page sequence or alphabetically by subject, of the contents of the tariff, setting forth the subject matter and the pages on which located, shall be made. This table may be omitted in tariffs consisting of six pages or less.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.29 Naming of carriers in joint tariffs.
If a joint tariff, the names of the carriers participating shall be alphabetically arranged and the point or points of interchange shall be shown. If the number of participating carriers is not more than ten, their names may be shown on the title page of the tariff. The form, designation and number of concurrences of participating carriers shall be shown.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.30 Reference marks and technical abbreviations.
Reference marks and technical abbreviations used shall be explained.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.31 Explanatory statements.
An explanatory statement shall be presented in such clear and explicit terms regarding the rates, charges and the like, contained in the tariff, as may be necessary to define their proper application.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.32 Inclusion of all rules affecting rates.
(a) Tariffs and supplements shall contain all rules or a proper reference to them, which govern or in any manner affect the rates named therein.
(b) Rates and charges shall be stated in cents, or in dollars and cents, per unit.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.41 Notice requirements for filing changes in rates.
(a) To establish uniformity in the rules, regulations and practices of common carriers subject both to the jurisdiction of the Interstate Commerce Commission and the Commission, and so that common carriers subject to the exclusive jurisdiction of the Commission may not be unreasonably prejudiced or burdened, all common carriers, except as specified in subsection (c), are, unless otherwise directed, permitted to file changes in existing and duly established rates upon 30 days’ notice to the Commission and the public. This subsection is not applicable to group and party carriers of 11 to 15 passengers and limousine carriers, which carriers are permitted to change rates on 1 day’s notice to the Commission.
(b) Except by specific authority of the Commission, no change shall be made in any existing and duly established rate, except as specified in subsection (c), unless the rate has been in operation and effect for at least 30 days. This limitation does not, however, apply to tariffs on schedules containing rates for excursions limited to certain designated periods under authority of § 23.43 (relating to excursion fares). This subsection is not applicable to group and party carriers of 11 to 15 passengers and limousine carriers.
(c) Railroads and their agents operating in Pennsylvania intrastate transportation are permitted to file decreased rates on 10 days’ notice and increased rates on 20 days’ notice.
The provisions of this § 23.41 issued under the Public Utility Code, 66 Pa.C.S. § § 102, 501, 1302, 1303 and 1308; and the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. § § 1204 and 1205); amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.41 amended May 29, 1981, effective May 30, 1981, 11 Pa.B. 1897; amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial page (386034).
This section cited in 52 Pa. Code § 23.61 (relating to posting of changes in passenger fares); and 52 Pa. Code § 29.316 (relating to tariff requirements).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.42 Establishment of new rates.
(a) On newly constructed lines of road and upon the inauguration of newly certificated service, rates and fares may be established in the first instance by posting tariffs or supplements and the filing of these with the Commission one day in advance of the effective date. Such tariffs or supplements shall not propose changes in existing rates, fares, or regulations and shall refer to this section, immediately below the effective date, as follows:
Issued under authority of 52 Pa. Code § 23.42 (relating to establishment of new rates).
(b) Tariffs or supplements issued by other carriers establishing rates or fares in connection with such extended service may be issued only upon 30 days’ notice or under special permission for shorter time. It will be the policy of the Commission to grant such reasonable permissions as are necessary to give carriers and shippers efficient use of such new facilities.
This section cited in 52 Pa. Code § 3.385 (relating to rates, fares, charges for TA and ETA authorities); and 52 Pa. Code § 23.61 (relating to posting of changes in passenger fares).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.43 Excursion fares.
(a) Fares for an excursion limited to a designated period of not more than 3 days may be established, without further notice, upon filing a tariff and posting notice one day in advance of the effective date, in two public and conspicuous places, and in waiting rooms of each station where tickets for such excursion are sold.
(b) Fares for an excursion limited to a designated period of more than 3 days and not more than 30 days, may be established upon like filing and posting notice of three days.
(c) Fares for a series of daily excursions, such series covering a period not exceeding 30 days, may be established upon a similar notice of three days as to the entire series, and separate notice of the excursion on each day covered by the series need not be given.
(d) Fares for an excursion limited to a designated period exceeding 30 days will require 30 days’ notice, unless shorter time is allowed in special cases by the Commission.
This section cited in 52 Pa. Code § 23.41 (relating to notice requirements for filing changes in rates); and 52 Pa. Code § 23.61 (relating to posting of changes in passenger fares).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.51 Tariff files kept by carriers at principal office.
(a) If the principal office of a carrier is located within this Commonwealth, the carrier shall provide and maintain at its principal office and at Philadelphia and Pittsburgh, if its lines reach those cities, a complete file of the tariffs which it issues or to which it is a party. Such files shall be in charge of an employe or agent of the carrier who shall give desired information and assistance to those who may wish to consult the file, which shall be open and accessible to the public on ordinary business days and during ordinary business hours. If the principal office of a carrier is not within this Commonwealth, it shall designate some one place in this Commonwealth, to be approved by the Commission, at which a complete file shall be kept.
(b) A notice, not smaller than 8 by 10 inches and printed in large type shall be provided by each carrier and kept posted in a conspicuous place in the principal office, or the above-mentioned designated office, of the carrier. The notice shall read:
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.52 Tariff files kept by carriers at stations, warehouses and offices.
(a) It shall be the duty of each carrier, with respect to each station, warehouse, or office at which passengers or freight are received for transportation and at which a representative is employed to maintain therein a file containing a copy of each tariff which contains rates and fares applying from that station, or terminal or other charges applicable at that station, including the tariffs issued by such carrier or by its authorized agent and those in which it has concurred, excepting only publications issued by railroads showing the marked capacities, length, dimensions and cubical capacities of cars, which shall be provided at the principal and designated offices already mentioned.
(b) Each carrier shall conform with all of the following:
(1) Provide its representatives with all changes in, cancellations of, additions to, and reissues of such publications in ample time to give the public, in each case, the 30 days’ notice required, or such other notice as may be authorized by the Commission in special cases.
(2) Require its representative, upon receipt of a tariff or supplement to a tariff for filing and posting at that station, immediately to write or stamp upon the title page of such publication the date upon which it was received.
(3) Provide its representative with facilities for keeping such file of tariffs in ready reference order, and require him to keep the file in complete and readily accessible form and lend assistance to seekers for information therefrom, and to accord inquirers opportunity to examine any of the tariffs, without requesting the assignment of any reason for so doing, and with all promptness consistent with proper performance of other duties of the employe.
(4) Check the file of tariffs of each station or office at least once every 12 months.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.53 Notice to public of carriers’ tariff files.
(a) Each carrier shall provide and keep posted in a conspicuous place in each station, waiting room, warehouse or office at which tariffs are so placed in custody of an agent or other representative, notices not smaller than 8 by 10 inches, printed in large type, and reading as follows:
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.54 Discontinuance of tariff posting.
Carriers may discontinue the posting of any tariff (except tariff indices) at stations where investigation shows that the tariff has not been used within a reasonable period of time, in which event the following notice shall be conspicuously posted and kept posted in each station or office affected.
A COMPLETE PUBLIC FILE OF THIS COMPANY’S TARIFFS IS LOCATED AT
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.55 Notice of tariffs not posted.
The tariff index of the carrier shall contain a statement in connection with each tariff for which the posting requirements have been modified that, under authority of the Commission, it is not posted at stations (names of stations).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.61 Posting of changes in passenger fares.
(a) Upon the filing and posting of new tariffs or supplements to tariffs making increases in passenger fares by carriers other than railroads and aircraft, notice thereof shall be given to the public by posting in offices, waiting rooms and stations a notice on a poster, which shall be not less than 15 by 20 inches in size, or 300 square inches, printed in bold type of not less than 1 inch in height, as follows:
(b) The notice shall be posted in the offices so that it may be readily seen, and in two conspicuous places in each station and waiting room where tariffs are placed in the custody of a representative. Unless otherwise authorized by this subchapter or by the Commission, the notice shall be posted for a period of not less than 30 days before the increases become effective, and is in addition to the notices prescribed in § § 23.41—23.43 (relating to notice of tariff changes).
(c) Carriers, except railroads and aircraft, shall also post in every car or other means of conveyance employed by them for the transportation of passengers, over the line affected, a notice similar to that prescribed in subsection (a) for the period indicated, the notice to be of a size and type appropriate to the vehicle involved.
(d) Subsections (a)—(c) are not applicable to group and party carriers of 11 to 15 passengers and limousine carriers.
The provisions of this § 23.61 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.61 amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial pages (241212) and (357899).
This section cited in 52 Pa. Code § 23.66 (relating to filings as public record).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.62 Notification to the Commission of proposed rate changes.
In order that the Commission may be concurrently advised of the net effect of a proposed change in rates upon the patrons and the revenues of common carriers of passengers other than railroad and aircraft, as well as the prima facie reasonableness of the proposed rate changes, the data called for in § 23.63 (relating to data required in filing proposed rate changes), as appropriate, shall accompany the filing of the proposed rates, and shall be submitted in triplicate, and under oath of a responsible officer. Tariffs or tariff supplements not accompanied by the data, but required to be so accompanied, will be returned to the sender as not acceptable for filing. This section is not applicable to group and party carriers of 11 to 15 passengers and limousine carriers.
The provisions of this § 23.62 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.62 amended July 17, 1987, effective July 18, 1987, 17 Pa.B. 3028; amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial page (357899).
This section cited in 52 Pa. Code § 23.66 (relating to filings as public record).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.63 Data required in filing proposed rate changes.
(a) If a common carrier of passengers, other than railroad and aircraft, files a tariff or tariff supplement which will increase or decrease fares to any of its patrons, it shall submit to the Commission, with the tariff or tariff supplement, statements showing all of the following:
(1) The changes in rates proposed, stating the effective and proposed fares.
(2) The specific reasons for each increase or decrease.
(3) The estimated effect of each rate increase or decrease on the carrier’s annual revenues.
(4) The calculations by which the estimates in paragraph (3) were determined.
(b) Subsection (a) is not applicable to group and party carriers of 11 to 15 passengers and limousine carriers.
The provisions of this § 23.63 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.63 amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial pages (357899) to (357900).
This section cited in 52 Pa. Code § 23.16 (relating to filing in numerical order); 52 Pa. Code § 23.62 (relating notification to the Commission of proposed rate changes); 52 Pa. Code § 23.65 (relating to exemptions from filing); 52 Pa. Code § 23.66 (relating to filings as public record); and 52 Pa. Code § 23.68 (relating to filing requirements for passenger carriers).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.65 Exemptions from filing.
The filing requirements of § 23.63 (relating to data required in filing proposed rate changes) do not apply to rate changes pertaining solely to temporary or excursion traffic.
The provisions of this § 23.65 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.65 amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial pages (386035) to (386036).
This section cited in 52 Pa. Code § 23.16 (relating to filing in numerical order); and 52 Pa. Code § 23.66 (relating to filings as public record).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.66 Filings as public record.
Information submitted under § § 23.61—23.65 (relating to notice of changes in fares) shall be considered as a public record and will be available for examination by the public upon request.
This section cited in 52 Pa. Code § 23.16 (relating to filing in numerical order).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.67 Financial data.
(a) The Commission will not permit a tariff filing increasing rates by a common carrier of household goods in use or making a general increase in rates published by a rate bureau, conference or similar organization of carriers, which will increase gross annual revenues by more than 1%, unless financial justification in support of the proposed increase is filed with the tariff.
(b) Household goods in use carriers shall be governed by the following procedures in the filing of tariffs or tariff supplements:
(1) A tariff increasing rates shall be published to become effective on no less than 30 days’ notice.
(2) At the time an increase in rates is filed with the Commission, the carrier or rate bureau, conference or similar organization requesting the increase shall submit sufficient evidence under certification by its chief executive, or other responsible officer which will enable the Commission to determine:
(i) The former or existing rate, the new or proposed rate and the percentage increase.
(ii) The dollar amount of the increased revenue which the increase is expected to provide.
(iii) The expected change resulting from the increase in the carrier’s operating revenues together with known changes in operating expenses, and a calculating of operating ratio before income taxes, after the aforesaid changes.
(c) Common carriers of household goods in use with operating ratios of no less than 93%, before income taxes,* need not file substantiating data required by subsection (b)(2), but shall submit a statement with the tariff, or tariff supplement, stating that its operating ratio before income taxes for the same period is no less than 93%. The tariffs, or tariff supplements, shall be published to become effective on no less than 30 days’ notice. Nothing in this subsection precludes the Commission from requiring supporting financial data in instances when increases in rates appear to be excessive.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.68 Filing requirements for passenger carriers.
(a) Passenger carriers shall submit a statement with the tariff or tariff supplement stating the following:
(1) The information required under § 23.63 (relating to data required in filing proposed rate changes).
(2) The total gross annual intrastate revenue for the most recent fiscal year.
(3) The dollar amount of increased annual revenue that the rate increase is expected to produce.
(4) The total projected operating revenue after the revenue increase.
(5) The total projected operating expenses.
(6) The projected operating ratio.
(b) Subsection (a) is not applicable to group and party carriers of 11 to 15 passengers and limousine carriers.
The provisions of this § 23.68 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1308; amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.68 adopted July 29, 2011, effective July 30, 2011, 41 Pa.B. 4100; amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial page (376871).
This section cited in 52 Pa. Code § 23.69 (relating to stay-out provision).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.69 Stay-out provision.
A passenger carrier will not be permitted to request another increase in rates or operating revenues under § 23.68 (relating to filing requirements for passenger carriers) from the Commission for 1 year following a prior Commission-approved rate increase under § 23.68. A passenger carrier with gross intrastate operating revenues of less than $500,000, but with an operating ratio that is 93% or above, shall be excepted from this 1-year stay-out restriction.
The provisions of this § 23.69 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1308; amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103 and 1501.
The provisions of this § 23.69 adopted July 29, 2011, effective July 30, 2011, 41 Pa.B. 4100; amended June 2, 2017, effective June 3, 2017, 47 Pa.B. 3099. Immediately preceding text appears at serial pages (376871) to (376872).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.71 Filing on less than 30 days’ notice.
(a) No carrier may file a tariff or supplement on less than 30 days’ notice, unless it shall have first received special permission from the Commission to do so.
(b) Applications for authority to file tariffs or supplements on less than the prescribed notice shall be made in duplicate under oath by a responsible officer of the applicant in the form set forth in subsection (c).
(c) Short notice authority will be granted only in cases where actual emergency and real merit are shown. A desire to meet the rates of a competing carrier which have been established in the regular manner will not in itself be considered as sufficient cause for permitting changes in rates or other provisions without observance of the usual filing period. (This form to be printed or typewritten on paper 8 by 10 1/2 inches in size)
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.101 Applications to establish rates related to value.
(a) Applications for authority to establish rates for the transportation of household goods in use related to the released value of the shipments shall contain full and complete information concerning the grounds and facts upon which the request is based.
(b) Each application shall show the names of the carriers for and on behalf of which it is made, or if made on behalf of all carriers, parties to a particular tariff or classification may refer by Commission number to the tariff or classification.
(c) The existing and the proposed rules, regulations, rates or ratings shall be plainly set forth. A mere reference to existing rules, regulations, rates or ratings will not suffice.
(d) An original of each application shall be filed and shall be verified.
(e) In referring to existing rules, regulations, rates or ratings, the Commission numbers of the tariffs or classifications in which same are published, shall be shown.
(f) Carriers shall recite fully in their applications all further information in connection with any facts which are presented as justifying the authorization sought.
The provisions of this § 23.101 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504, 523, 1301, 1501 and 1504.
The provisions of this § 23.101 reserved February 6, 1998, effective February 7, 1998, 28 Pa.B. 647; amended January 10, 2014, effective January 11, 2014, 44 Pa.B. 249. Immediately preceding text appears at serial page (252991).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.102 Rates based on limitation of liability.
Rates based upon a limitation of liability for loss or damage to baggage may be published without the approval of the Commission.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.103 Applications based on special circumstances.
When applications are based upon special circumstances and conditions, or upon rules, regulations, rates or ratings applying in other localities or territories, or applicable over the lines of other carriers, full information respecting these special circumstances and conditions or existing rules, regulations, rates or ratings shall be given.
The provisions of this § 23.103 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.103 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (213561).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.104 Changes where declared value and routes or destinations remain unchanged.
If authority has been granted under 66 Pa.C.S. § 2304 (relating to liability of common carriers for damages to property in transit; bills of lading), to establish and maintain rules, regulations, rates or ratings dependent upon the value declared in writing by the shipper, or agreed upon in writing as the released value of household goods in use, changes in rates, ratings or carload minimum weights may be established thereafter and filed under authority of the original order without securing new released rate orders, if the rules or regulations, or the declared or agreed values on which same are dependent are not changed, and, if additional routes or points of origin or destination are not added.
The provisions of this § 23.104 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.104 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (213561).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.111 Payment of rates in advance.
Common carriers may demand payment of rates and fares in advance of service rendered.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.112 Advance sale of commutation and term tickets.
(a) In order that all purchasers of monthly, quarterly, or other forms of commutation and term tickets, not including 500 and 1,000 mile tickets, may obtain the full benefit of the period during which such tickets are valid, and for the further convenience of passengers using such forms of tickets to or from nonagency stations, they shall be sold, upon application, at least one day in advance of the date the initial trip is to be made.
(b) If the initial trip is to be made on a Monday, tickets may be purchased on the preceding Saturday or Sunday.
(c) In applying for a term ticket, the purchaser shall declare the date upon which such initial trip is to be made, which date should be prominently shown on the ticket, accompanied by a statement indicating that the ticket will not be valid prior to the date of the initial trip indicated.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.113 Interest on overcharge claims.
(a) In the settlement of an overcharge claim, that is, the refund of the amount collected in excess of the legally published rate, and, in the Reparation Docket, of the reasonable rate as therein determined, the claimant is entitled to interest upon the amount refunded at the rate of 6.0% per annum from the date of the improper collection.
(b) The Commission does not regard it unlawful for a claimant to accept in satisfaction of his claim the ascertained amount of an overcharge without interest, the Commission is of the opinion that if such refund is made within 30 days after the improper collection of the overcharge, it may be regarded, in accordance with well-established usage, as a cash transaction, upon which interest does not accrue.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.114 Suspension supplements.
(a) If the Commission, under 66 Pa.C.S. § 1308(b) (relating to voluntary changes in rates), suspends any proposed rates, charges or regulations contained in any tariff, the previous rates, charges or regulations shall remain in effect during the period of suspension or until lawfully cancelled, reissued or otherwise ordered by the Commission.
(b) If an order of suspension is received by a carrier against whose tariffs the order of suspension is directed, it is the duty of the carrier immediately to post in its offices and file with the Commission a supplement, which shall bear no effective date, announcing that the rates, charges or regulations are suspended by order of the Commission until the date stated in the order of suspension. Reference shall also be made in this supplement to the tariffs where the rates, charges or regulations remaining in effect during the period of suspension will be found.
(c) If the order directs the suspension of a part of a tariff which, except as to that part, is allowed to become effective, the supplement announcing the suspension shall also contain the rates, charges and regulations applicable during the period of suspension or shall make specific reference by Commission number to the tariff or supplement where they will be found.
(d) The regulations limiting the number of supplements which may be issued do not apply with respect to suspension supplements.
(e) If, upon final determination, the matter suspended is found not unlawful and the Commission directs that the order of suspension be vacated or the case be dismissed, the affected carrier shall issue a supplement announcing the vacation of the order of suspension and providing the proper publication of the rates, charges or regulations authorized, and otherwise comply with the orders of the Commission.
(f) The provisions of 66 Pa.C.S. § 1308(d) apply to every public utility described in 66 Pa.C.S. § 102 (relating to definitions), except common carriers of property.
The provisions of this § 23.114 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.114 amended November 18, 1977, 7 Pa.B. 3362; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial pages (213562) to (213563).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.115 Transportation free or at reduced rates.
(a) The granting, without unfair discrimination, by common carriers of free passes to their officers and employes, to be used for the transportation of dependent members of the families of such officers and employes, is not regarded by the Commission as unlawful.
(b) Free transportation, without unfair discrimination, by common carriers, in behalf of this Commonwealth, or on behalf of any municipality thereof, of policemen in the performance of their public duties, and similarly, free transportation without unfair discrimination, by common carriers, on behalf of any such municipality, of firemen in the performance of their public duties, is not regarded by the Commission as unlawful.
(c) All carriers of passengers for hire, except aircraft, authorized to operate within this Commonwealth, shall transport without charge dogs trained for the purpose of guiding blind persons, when accompanying such persons paying regular fare, provided that such guide dogs shall be properly leashed and muzzled and shall not occupy a seat in the conveyance.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.117 Rates charged for passenger transportation when price changes occur after reservations or purchases of service.
(a) Charter service, applicable tariffs. When a passenger carrier accepts a reservation for a charter trip, it shall record the date the reservation is accepted and quote the customer a price for the trip based on the tariff in effect on that date. The tariff in effect when the reservation is accepted shall apply to the trip, unless notice has been provided by the carrier under subsection (b) of this section.
(b) Charter service, price increase. If a new tariff setting a higher rate becomes effective more than 60 days prior to the date the charter trip is to depart, the carrier shall notify the customer in writing not less than 40 days prior to the departure date of the price under the new tariff and the customer’s right to cancel the reservation and receive a refund of any deposit, subject to any tariff forfeiture provision established pursuant to subsection (c). The new tariff shall apply to the trip only if this notice is provided. If a new tariff setting a higher rate become effective within 60 days before the charter trip departs, the carrier shall not apply the new tariff.
(c) Charter service, deposits. The carrier’s tariff may, as a condition of accepting a reservation to charter a vehicle, require a deposit of not more than 20% of the quoted charter price. The tariff may also provide for forfeiture of deposits within the following limitations:
(1) forfeiture of not more than 50% of the deposit if the charter is cancelled by the customer more than 15 but less than 30 days prior to the date the transportation was to depart, and
(2) forfeiture of not more than the total amount of the deposit if the cancellation occurs within 15 days prior to the date the transportation was to depart.
(d) Other service. Whenever any passenger carrier sells a ticket for transportation service, other than charter service, the tariff rate in effect at that time shall apply to any trip taken on that ticket before the ticket expires.
(e) Tariffs. All passenger carrier tariffs shall conform with the provisions of this section.
The provisions of this § 23.117 adopted January 5, 1979, 9 Pa.B. 7.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.121 Filing of tariffs of joint rate.
(a) Tariffs of joint rates need only be filed with the Commission by one of the participant common carriers or its agents. The remaining participant common carriers shall file evidence of concurrence therein or acceptance thereof in accordance with the rules and forms provided in this title.
(b) The forms prescribed shall be on paper 8 by 10 1/2 inches in size, and may be either printed or typewritten. The original of the form shall be filed with the Commission and a copy furnished to the carrier or agent in whose favor the instrument is issued.
(c) One of the following serial designations shall be used for power of attorney:
The provisions of this § 23.121 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504, 523, 1301, 1501 and 1504.
The provisions of this § 23.121 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647; amended January 10, 2014, effective January 11, 2014, 44 Pa.B. 249. Immediately preceding text appears at serial pages (241223) to (241224).
This section cited in 52 Pa. Code § 23.124 (relating to form for giving authority).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.122 Posting of tariffs.
A grant of authority to issue tariffs, under power of attorney or concurrence, does not relieve the carrier conferring the authority from posting tariffs in compliance with the provisions of this subchapter.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.123 Revocation of concurrence.
A concurrence may be revoked by filing with the Commission notice of the revocation, in duplicate, and serving a copy thereof upon the carrier to which such concurrence was given, at least 60 days in advance of the effective date shown on the notice of revocation.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.124 Form for giving authority.
(a) The form in subsection (c) shall be used to give authority to the following:
(1) An attorney and agent to file tariffs and supplements.
(2) An agent to receive concurrences for it.
(3) Another agent to give and receive concurrences.
(b) The authorization may not be given to an association or bureau, except if incorporated and in instances other than covered by § 23.121 (relating to filing of tariffs of joint rate), shall name an alternate agent to act in the event of the death or disability of the principal agent and may not contain authority to delegate to another the power thereby conferred.
(c) The form shall be as follows:
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.125 Form for concurring in rate or fare tariffs.
The following form shall be used in concurring in rate or fare tariffs published by common carriers, or their appointed agents:
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.141 Schedules of charges for contract carrier services.
Each contract carrier shall file with the Commission a schedule of its charges for contract carrier service rendered under each of its contracts pertaining to such service. Such schedule shall be filed within 30 days after the carrier has been notified that the Commission has approved the contract. The permit, or amendment to an existing permit, applicable to such contract will not be issued until such schedule is filed, and failure so to file within 30 days shall terminate the approval of the Commission and the right of the carrier to receive a new permit or amendment to an existing permit.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.142 Unit of time in carrier contracts.
In any contract or renewal contract submitted in support of an application for contract carrier permit or amendment to such a permit where the rate for service is based on time, the unit of time shall be one hour. Any schedule submitted in which the schedule of actual rates is based on any unit of time other than one hour will not be accepted.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.143 Separate schedules.
A separate schedule shall be filed for each contract. The construction and filing of such schedules shall comply with the provisions of this subchapter as to form and content, except that the designation in the upper right corner of the title page shall be ‘‘Contract Pa. P.U.C. No.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.144 Minimum effective date for decreases.
No change effecting a decrease in charges shall bear an effective date less than 60 days after the date it is received by the Commission, unless special permission therefor has been previously obtained from the Commission. Such authority will be granted only upon a showing by the carrier that such reduction in charges is vital to the business of the carrier and that permission therefor will not be injurious to the public interest.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.145 Minimum filing date for other than decreases.
Schedules or supplements to schedules which do not propose decreases in charges formerly filed with the Commission may become effective not earlier than the date following that on which they are received by the Commission.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.146 Amended contracts accompanying proposed revisions.
In cases where the contracts approved by the Commission set forth specific rates for the service to be furnished thereunder, proposed revisions in charges shall be accompanied by an amended contract.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.147 Schedules published and filed in carrier’s name.
Schedules shall be published and filed in the name of the individual carrier performing the transportation service. They shall not be filed in the name of an agent, and a contract carrier shall not participate by concurrence in rates named in any schedule filed by another contract carrier nor in any tariff filed by a common carrier.
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
52 Pa. Code § 23.148 Filing of schedules with the Commission.
(a) Each contract carrier shall file with the Commission one copy of each schedule or supplement accompanied by a letter of transmittal listing the publications enclosed and addressed to the Bureau of Transportation and Safety, Pennsylvania Public Utility Commission, Harrisburg, Pennsylvania 17105-3265.
(b) Postage or other charges shall be prepaid.
The provisions of this § 23.148 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 23.148 amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (213570).
History
- Authority: The provisions of this Chapter 23 issued under the Public Utility Law (66 P.
- Source: The provisions of this Chapter 23 adopted October 1, 1948, unless otherwise noted.
Chapter 27 Air Transportation
52 Pa. Code § 27.1 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Aircraft—A vehicle which travels through the air including but not limited to airplanes, autogiros, helicopters and lighter-than-aircraft, except free balloons. Airport—A landing area approved and licensed by the Bureau of Aviation, Department of Transportation, as suitable and adopted for the landing and taking off of aircraft, and those airports maintained by the Government of the United States or the Commonwealth. Base of operations—An airport or landing area within this Commonwealth at which a charter carrier regularly holds itself out to render charter service. Certificate—A certificate of public convenience as issued by the Commission. Commission—Pennsylvania Public Utility Commission. Common carrier—Any and all persons or corporations holding out, offering or undertaking, directly or indirectly, service for compensation to the public for the transportation of passengers or property, or both, or a class of passengers or property, between points within this Commonwealth by aircraft, and including forwarders, but not contract carriers, or brokers, or a bona fide cooperative association transporting property exclusively for the members of the association on a nonprofit basis. Corporation—Bodies corporate, joint stock companies or associations, domestic or foreign, their lessees, assignees, trustees, receivers or other successors in interest, having any of the powers or privileges of corporations not possessed by individuals or partnerships, but not including municipal corporations, except as otherwise expressly provided in the act, nor bona fide cooperative associations which furnish service on a nonprofit basis only to their stockholders or members. Landing area—A locality, either water or land, licensed by Bureau of Aviation, Department of Transportation, as being adapted for the landing or taking off of aircraft and those landing areas maintained by the Government of the United States or the Commonwealth. Person—Individuals, partnerships or associations, other than corporations, and including their lessees, assignees, trustees, receivers, executors, administrators or other successors in interest. Pilot—A person authorized by the United States Government to operate aircraft used in common carrier service.
The provisions of this § 27.1 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131; amended March 10, 1978, effective March 11, 1978, 8 Pa.B. 717. Immediately preceding text appears at serial page (32847).
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.2 Application of rules.
This chapter applies to common carriers and is subject to amendment, change or modification that the Commission may deem advisable, and to exceptions in individual cases that the Commission may deem proper.
The provisions of this § 27.2 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.3 Classification of common carriers.
(a) Scheduled service. Certificates authorizing scheduled service within this Commonwealth shall, unless otherwise specifically provided in the certificates, authorize a common carrier to operate on schedule between specified airports or landing areas within the limits of this Commonwealth.
(b) Charter service. Certificates authorizing charter service within this Commonwealth shall, unless otherwise specifically provided in the certificates, authorize a common carrier to transport persons or property on call or demand from or to an airport or landing area in this Commonwealth to or from another airport or landing area in this Commonwealth. The certificate shall specify a base of operations or bases of operations which may not be changed except with prior approval of the Commission. At least 80% of the flights of a charter service carrier shall originate or terminate at its base or bases of operations in any year.
The provisions of this § 27.3 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131; amended March 10, 1978, effective March 11, 1978, 8 Pa.B. 717. Immediately preceding text appears at serial page (32848).
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.5 Certificates, limitations and compliance.
Certificates of public convenience approving applications will be issued subject to the limitations and conditions that the Commission may deem proper. Whenever the Commission approves an application, a compliance order will issue notifying the applicant that it shall file with the Commission within 30 days of receipt of the notice, a certificate of insurance or other security, as required by § 27.8 (Reserved), together with a tariff setting forth the proposed rates and charges as required by § 27.12 (relating to time and rate schedules). This compliance order does not grant the applicant the right to operate and a certificate of public convenience, permitting the applicant to operate, will not issue until insurance tariff and other filing requirements have been complied with. If a common carrier shall fail to meet the requirements of the compliance order within the 30-day period in this section, the Commission may rescind approval and dismiss the application.
The provisions of this § 27.5 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.6 Transfer of rights.
(a) Sale or transfer of certificates. Except as otherwise provided in this chapter, no certificate or right thereunder may be sold or transferred by act, or deed, or by operation of law, unless the approval of the Commission be first had and obtained.
(b) Death or incapacity of a certificate holder. Upon the death of a person to whom a certificate has been issued, or upon that person being legally declared insane or otherwise incompetent, the rights conferred by the certificate shall continue with the legal representative of the deceased or legally incompetent holder thereof for a period of 1 year, after which the rights conferred thereby shall terminate unless application has been made to transfer the rights to the heir, guardian, trustee, legatee or others, in which case the rights shall continue with the legal representative until the application is granted or refused. Provided, however, that in the event application is made by the legal representative not less than 30 days prior to the end of the period of 1 year, the Commission may, at its discretion, and for cause shown, permit the transfer of the rights to the executor, administrator, guardian, trustee or other legal representative of the deceased or legally incompetent holder for a period to be fixed by the Commission. In considering petitions, pertinent orders or decrees of the court having jurisdiction over the estate of the decedent or legally incompetent person may be deemed cause for the granting thereof.
(c) Transfer of certificate without hearing. When the individual holder of a certificate dies or is legally declared insane or otherwise incompetent, and an application is made to transfer the rights granted under the certificate to his legal representative, or where the certificate holder is a partnership and the application for a transfer is in effect only to remove or substitute one or more of the partners, the Commission may dispose of the application with or without hearing, and after reasonable notice that the Commission may direct.
(d) Successors by operation of law. If a trustee, receiver, assignee, custodian or similar officer, or officers, shall be appointed by a court of competent jurisdiction, or shall be selected by creditors in accordance with provisions of law, with authority to take or retain possession and to operate the property and business of a certificate holder, the officer shall have authority to perform the service authorized in the certificate of the debtor carrier for a period of 90 days from his appointment or selection. The officer may petition the Commission for authority to conduct the operations for an additional period of time, and the Commission may, for good cause shown, grant authority. If the petition is filed within 90 days of the appointment or selection of the petitioner, he shall have authority to continue the operations pending decisions by the Commission on the petition. In considering the petition, pertinent orders or decrees of the court having jurisdiction may be deemed cause for the granting hereof.
(e) Limitations. Operations covered by subsections (b)—(d) shall be subject to the terms and conditions of the certificate of public convenience and this chapter.
The provisions of this § 27.6 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.7 Modification of certificates and suspension of rules.
Application may be made to the Commission at any time by a holder of a certificate for amendment or modification of the certificate, or for the suspension of a provision of this chapter, or of another regulation affecting the holder, either generally or in a specific case. The application shall be made by formal petition under Chapter 5 (relating to formal proceedings) and the Commission will, after due notice, if it considers the action desirable, schedule the petition for hearing. Applications for amendment or modification of a certificate of public convenience shall be accompanied by the filing fee of $10.
The provisions of this § 27.7 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.9 Beginning or abandonment of service.
(a) Beginning of service. No common carrier may commence a public service unless there is in force a certificate of public convenience issued by the Commission authorizing the common carrier to engage in the service; provided, however, in unusual circumstances on a showing by the common carrier of good cause, the Commission may authorize the commencement of the service by appropriate order.
(b) Abandonment or discontinuance of service. No common carrier may abandon a route or part thereof or discontinue a service required by the carrier’s certificate of public convenience, without first making application to the Commission and obtaining from the Commission a certificate of public convenience or order authorizing such abandonment or discontinuance of service. The application shall be accompanied by a filing fee of $10. Subsequent to the filing of an application seeking approval of the abandonment and discontinuance of service at an airport on a scheduled route, the applicant shall post notice thereof in a conspicuous location at the airport and at other airports involved in the scheduled route service. The application may be considered by the Commission without hearing after 30 days, following the posting of the notice of the proposed change, provided no protest is filed with the Commission within such 30-day period. Each protest shall set forth the reasons which, in the judgment of the protestant, show that the Commission should not approve the application. A copy of the protest shall be served on the applicant at the time the protest is filed with the Commission.
The provisions of this § 27.9 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.10 Accounts, record and reports.
(a) Annual reports. A common carrier shall file annual reports, signed and notarized, and annual statements, under oath or affirmation, of gross intrastate operating revenues for assessment purposes, on the forms furnished and in the manner prescribed, and shall also file other reports as the Commission may order and direct. The annual report for charter carriers shall include a summary showing the percentage of flights which either originated or terminated at the bases of operations of the carrier during the year for which the report is filed.
(b) Accident reports. Accident reports shall be as follows:
(1) Fatal accidents. In the event of an accident resulting in the death of a person, an immediate report of the accident shall be made by telephone or telegraph to the Bureau of Safety and Compliance, Pennsylvania Public Utility Commission, Post Office Box 3265, Harrisburg, Pennsylvania 17120. A detailed written report shall be forwarded to the Secretary of the Commission as soon as practicable in the same manner and form as provided in this section. A copy of the report submitted to Bureau of Aviation, Department of Transportation, will be acceptable.
(2) Other reportable accidents. Immediately following the occurrence of a reportable accident as defined in this paragraph, involving aircraft, or patrons or employes of the carrier, a detailed report shall be mailed to Secretary, Pennsylvania Public Utility Commission, Post Office Box 3265, Harrisburg, Pennsylvania 17120. The Commission may prescribe the form in which a report is to be submitted. A reportable accident is one occurring in this Commonwealth and involving:
(i) The death of a person.
(ii) Personal injuries which require medical attention.
(c) Copies. A copy of the report to the Federal Aviation Administration or a State agency with concurrent jurisdiction, if made out in sufficient detail, will be accepted in lieu of a separate report on a specified Commission form.
The provisions of this § 27.10 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504, 510 and 2508.
The provisions of this § 27.10 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131; amended March 10, 1978, effective March 11, 1978, 8 Pa.B. 717; amended December 22, 1989, effective December 23, 1989, 19 Pa.B. 5424. Immediately preceding text appears at serial pages (122582) and (120411).
This section cited in 52 Pa. Code § 101.2 (relating to definitions); and 52 Pa. Code § 101.4 (relating to reporting requirements).
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.11 Leased equipment.
Common carriers operating leased aircraft shall comply with safety rules and other regulations of the Commission and with the provisions of the laws of the Commonwealth. The leased aircraft shall be operated under the complete supervision and control of the lessee and only in the authorized service of the lessee and shall be covered by the insurance policies of the lessee.
The provisions of this § 27.11 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.12 Time and rate schedules.
(a) Filing tariffs. A common carrier shall comply with a general or special order of the Commission and with regulations that the Commission may formulate governing the filing, publishing and posting of tariffs.
(b) Posting tariffs. At least one complete copy of each tariff covering scheduled service shall be available for public inspection at each place where tickets are sold. At least one complete copy of each tariff covering charter service shall be available at the fixed base or bases of the operator and in each aircraft operated in the service.
(c) Posting and filing schedules. The common carriers operating as scheduled service shall file with the Bureau of Transportation of the Commission two copies of the time schedules, showing airports and times of arrivals and departures, at least 7 days in advance of their effective date. Information regarding the changes in the schedules of the carriers shall be made available by carrier personnel, upon request, at Commonwealth terminals at least 7 days in advance of the effective date.
The provisions of this § 27.12 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131; amended March 10, 1978, effective March 11, 1978, 8 Pa.B. 717. Immediately preceding text appears at serial page (32853).
This section cited in 52 Pa. Code § 27.5 (relating to certificates, limitations and complaints).
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.13 Continuity of service.
(a) Beginning service. A common carrier shall within 90 days from the date of receipt of a certificate, begin operating and furnishing service. If it has not begun operations and furnished the authorized service within 90 days, the rights granted by the certificate shall terminate, unless, upon specific permission granted by the Commission, the time for commencement of service is extended.
(b) Interruptions of service. Interruption of service continued for more than 48 hours shall be reported to the Commission with a statement of the cause of interruption and its probable duration. Suspension of service for a period of 5 consecutive days without notice to and application for approval by the Commission will be deemed sufficient cause for revocation or cancellation of the rights of the carrier, excepting where the suspension is caused by conditions or events which are beyond the control of the carrier, including but not limited to weather conditions, strike or labor difficulties, riot, insurrection, war, governmental action, construction work on airports or landing areas, disaster or act of God, provided, however that no order of revocation may be issued until the carrier has been given opportunity for a public hearing on a rule to show cause why the rights should not be revoked and canceled.
The provisions of this § 27.13 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.14 Aircraft, airports or landing areas and pilots.
Aircraft, airports or landing areas utilized and pilots employed in providing common carrier service authorized by a certificate issued by the Commission shall be limited to those authorized by certificate, license, or permit issued by Federal Aviation Administration or Bureau of Aviation, Department of Transportation, as the case may be, and the service shall be operated in compliance with the regulations of Federal Aviation Administration or Bureau of Aviation, Department of Transportation, respectively, to the extent applicable.
The provisions of this § 27.14 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.15 Safety of operations.
(a) The safety of passengers shall be a matter of primary consideration. Evidence of recklessness, unsafe operation or unsafe equipment will constitute sufficient cause for revocation of a certificate, provided, however, that no order of revocation may be issued until the carrier has been given opportunity for a public hearing on a rule to show cause why the rights should not be revoked and canceled.
(b) No common carrier knowingly may permit the transportation of high explosives, acids, inflammables, loaded guns or other articles which will endanger life or limb in an aircraft used for the transportation of passengers, except in strict accordance with safety regulations promulgated by authorized State and Federal agencies. This section does not apply to firearms carried by police officers or by members of the armed forces while on duty or en route to or from duty.
The provisions of this § 27.15 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
52 Pa. Code § 27.16 Compliance.
Common carriers are required to comply with applicable provisions of the act not specifically referred to in this chapter. Failure of a carrier to comply with this chapter, the terms and conditions of the certificates of public convenience, and Federal or State law, governing operation of aircraft, will be sufficient cause for the Commission to suspend the right and privilege of the carrier, and to proceed according to law to revoke and rescind the rights and privileges.
The provisions of this § 27.16 adopted August 15, 1975, effective August 16, 1975, 5 Pa.B. 2131.
History
- Authority: The provisions of this § 27.
- Source: The provisions of this Chapter 27 adopted August 15, 1975, effective August 16, 1975, 5 Pa.
Chapter 31 Motor Carrier Property Transportation
52 Pa. Code § 31.1 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Common carrier by motor vehicle—A person or corporation holding out or undertaking, directly or indirectly, to transport household goods in use or property between points within this Commonwealth by motor vehicle for compensation, whether or not as the owner or operator of the motor vehicle. The term includes persons or corporations providing or furnishing a motor vehicle with or without a driver for the transportation or for use in the transportation of household goods in use or property; a common carrier by rail, water or air; and express or forwarding public utilities insofar as the common carrier or the public utility is engaged in motor vehicle operation, except as expressly exempted by the act. Contract carrier by motor vehicle—A person or corporation who or which provides or furnishes transportation of household goods in use between points within this Commonwealth by motor vehicle for compensation whether or not as the owner operator of the motor vehicle. The term includes a person or corporation providing or furnishing a motor vehicle with or without a driver for the transportation or for use in the transportation other than as a common carrier by motor vehicle, except as expressly exempted by the act. Corporation—As defined in § 21.1 (relating to definitions), but shall also exclude bona fide corporate associations which furnish service on a nonprofit basis only to their stockholders or members, as expressly exempted by the act. Forwarder—A person or corporation not included in the terms ‘‘common carrier by motor vehicle,’’ ‘‘contract carrier by motor vehicle’’ or ‘‘broker,’’ who or which issues receipts or billings for property received by the person or corporation for transportation, forwarding or consolidating, or for distribution by a medium of transportation or combination of media of transportation other than solely by motor vehicle. Household goods in use. See § 21.1 (relating to definitions). Household goods in use carrier—A motor common or contract carrier who or which holds a certificate or permit to transport household goods in use. Motor common carrier of property—A motor common carrier who or which transports property, other than household goods in use. Permit—A permit issued by the Commission to contract carriers by motor vehicle. Property—Tangible property, other than household goods in use.
The provisions of this § 31.1 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.1 adopted April 11, 1939; amended through April 1, 1967; amended May 25, 1979, effective May 26, 1979, 9 Pa.B. 1670; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial pages (216019) to (216020).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.2 Applicability.
This chapter applies to common carriers by motor vehicle, contract carriers by motor vehicle and forwarders operating at the time of the adoption of this chapter; and also to those to whom a certificate or permit may be issued.
The provisions of this § 31.2 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.2 adopted April 11, 1939; amended through April 1, 1967; amended May 25, 1979, effective May 26, 1979, 9 Pa.B. 1670; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (216020).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.4 Transfer of certificates and permits.
(a) A certificate or permit or the rights thereunder may not be sold or transferred by act, deed or operation of law, unless the approval of the Commission is first obtained. The approval may be granted with or without hearing and after reasonable notice in the Pennsylvania Bulletin as the Commission directs.
(b) Certificates issued to motor common carriers of property are nontransferable, except as provided in subsections (c)—(e).
(c) Upon the death of an individual holder of a certificate or permit or upon an individual certificateholder being legally declared incapacitated, the rights conferred by the certificate or permit shall continue with the legal representative of the deceased or incapacitated holder for 1 year. After the expiration of the 1 year period, appropriate proceedings shall be initiated to terminate the certificate unless application has been made to transfer the rights to the heirs, guardian, trustees, legatee or others, in which case the rights shall continue with the legal representative until the application is granted or refused. If application is made by the legal representative at least 30 days prior to the end of the period of 1 year, the Commission may, for cause shown, permit the transfer of rights to the executors, administrators, guardians, trustees or other legal representatives of the deceased or incapacitated holder for a period to be fixed by the Commission. Pertinent orders or decrees of the court having jurisdiction over the estate of the decedent or incapacitated person may be deemed cause for the granting of the application by the Commission.
(d) If the individual holder of a certificate of permit dies or is legally declared incompetent and an application is made to transfer the rights granted under the certificate to his legal representative or if the certificateholder is a copartnership and the application for transfer is in effect to change one or more of the partners, the Commission may dispose of the application without a hearing.
(e) If a trustee, receiver, assignee, custodian or similar officer is appointed by a court of competent jurisdiction or is selected by creditors in accordance with provisions of law, with authority to take or retain possession and to operate the property and business of a certificateholder, the officer shall have authority to perform the service authorized in the certificates of the debtor carrier for 90 days from his appointment or selection. The officer may petition the Commission for authority to conduct the operations for an additional period of time, and the Commission may, for good cause shown, grant the authority. If the petition is filed within 90 days of the appointment or selection of the petitioner, the petitioner shall have the authority to continue operations pending decision by the Commission on the petition. Pertinent orders or decrees of the court having jurisdiction may be deemed a basis for action on the petitions by the Commission.
The provisions of this § 31.4 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.4 adopted April 11, 1939; amended through April 1, 1967; amended July 20, 1979, effective July 21, 1979, 9 Pa.B. 2396; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial pages (241238) and (311893).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.10 Assessment reports.
Each common carrier and forwarder of property shall file with the Commission each year an assessment report, on Form MT—(year) provided by the Commission, showing gross Commonwealth intrastate revenues for assessment purposes. The assessment report shall be filed by March 31, covering the preceding calendar year.
The provisions of this § 31.10 adopted April 11, 1939; amended through April 1, 1967.
This section cited in 52 Pa. Code § 101.2 (relating to definitions); and 52 Pa. Code § 101.4 (relating to reporting requirements).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.11 Reports of accidents and damage.
(a) Accidents involving death of a person. Motor carriers of property and household goods shall telephonically notify the Bureau of Transportation and Safety of any accident resulting in the death of a person within 24 hours of the accident. Carriers shall maintain a copy of the police report for 1 year from the date of the accident.
(b) Other accidents. For accidents resulting in the filing of a police report, the carrier shall maintain a copy of that report for 1 year from the date of the accident.
The provisions of this § 31.11 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.11 adopted April 11, 1939; amended through April 1, 1967; amended June 8, 1984, effective June 9, 1984, 14 Pa.B. 1939; amended May 29, 1987, effective May 30, 1987, 17 Pa.B. 2068; amended December 22, 1989, effective December 23, 1989, 19 Pa.B. 5424; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial page (311894).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.12 Compliance.
Common carriers by motor vehicle, contract carriers by motor vehicle and forwarders shall comply with all applicable provisions of the act not specifically referred to in this chapter. Failure to comply with this chapter or the terms and conditions of the certificates of public convenience or permit issued will be sufficient cause for the Commission to suspend, revoke or rescind the rights and privileges conferred by the certificate of public convenience or permit and to invoke a forfeiture or other penalty provisions of the act. No revocation or penalty will be finally ordered until the common carrier, contract carrier or forwarder has first been given opportunity to be heard as to why the certificate permit should not be revoked or penalty imposed.
The provisions of this § 31.12 adopted April 11, 1939; amended through April 1, 1967; amended May 25, 1979, effective May 26, 1979, 9 Pa.B. 1670. Immediately preceding text appears at serial page (28782).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.13 Transportation of hazardous materials.
(a) A common carrier by motor vehicle, and forwarder, when transporting an article or commodity now classified, or which may be classified as a hazardous material under the regulations of the United States Department of Transportation shall transport the material as provided by the laws of the Commonwealth and the regulations of the Department of Transportation not inconsistent with those laws.
(b) Subsection (a) is subject to changes and modifications that the laws of the Commonwealth or the regulations of the Department of Transportation may provide.
The provisions of this § 31.13 adopted April 11, 1939; amended through April 1, 1967; amended May 25, 1979, effective May 26, 1979, 9 Pa.B. 1670; amended July 25, 1997, effective August 25, 1997, 27 Pa.B. 3676. Immediately preceding text appears at serial pages (216024) to (216025).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.15 Transportation of radioactive material.
No certificate or permit may be considered as granting authority to transport material or combination of materials that spontaneously emits ionizing radiation, unless the certificate or permit specifically provides the authority.
The provisions of this § 31.15 adopted April 11, 1939; amended through April 1, 1967.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.16 Mileage description in certificates.
A certificate of public convenience issued by the Commission for the transportation of household goods in use to common carriers by motor vehicle, in which mileage distances are provided without being described in terms of ‘‘airline distance,’’ ‘‘statute miles,’’ ‘‘usually traveled highways’’ or other comprehensive definition, shall be construed to mean airline distance measured in statute miles.
The provisions of this § 31.16 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.16 adopted April 11, 1939; amended through April 1, 1967; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (233145).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.27 Rate schedules and tariffs.
(a) Each common carrier of household goods in use shall comply with regulations the Commission may formulate governing the filing, publishing and posting of tariffs by common carriers of household goods in use as set forth in Chapter 23 (relating to tariffs for common carriers of passengers and household goods in use).
(b) No rate based upon a limitation of liability may be published in the tariff and no limitation of liability may be prescribed in a bill of lading, unless approval has been obtained from the Commission for the publication of tariffs providing rates limited to value of the commodity, in the form and manner of the petition and proceedings as the Commission may provide in its rules governing filing, publishing and posting of tariffs by common carriers of household goods in use as set forth in Chapter 23.
The provisions of this § 31.27 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.27 adopted April 11, 1939; amended through April 1, 1967; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (216028).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.32 Equipment leasing.
(a) Applicability. This section applies to the leasing of equipment by motor carriers engaged in transporting property and household goods by motor vehicle between points in this Commonwealth.
(b) Definitions. The following words and terms, when used in this section, have the following meanings, unless the context clearly indicates otherwise:
Authorized employee or agent—A person authorized to act for and on behalf of a motor carrier or owner of equipment and subject to the supervision, direction and control of the motor carrier in whose service he is acting.
Equipment—A motor vehicle, straight truck, tractor, semitrailer, full trailer, combination tractor-and-semitrailer, combination straight truck and full trailer and other types of equipment used in the transportation of property for-hire.
Motor carrier—A person or corporation authorized to engage in the transportation of property or household goods as a common or contract carrier by motor vehicle under 66 Pa.C.S. § 1101—3315 (relating to Public Utility Code).
(c) Leasing equipment. Equipment leasing by a motor carrier must conform with the following:
(1) General. A motor vehicle may not be operated between points in this Commonwealth in intraState commerce by a motor carrier, unless the vehicle is either owned by the motor carrier or is leased to the motor carrier under the conditions in paragraphs (2)—(4).
(2) Contract requirements. A contract is subject to the following:
(i) Parties. The contract, lease or other arrangement for the use of equipment shall be between the motor carrier and the owner of equipment.
(ii) Written. The agreement must be in writing and signed by the parties thereto or their drivers, employees or agents authorized in writing.
(iii) Exclusive possession, control and responsibility.
(A) Lease. A lease shall provide for and be carried out so that the possession, control and use of the equipment is the complete and exclusive responsibility of the lessee for the full term of the lease, except during the period provided for in clause (B).
(B) Sublease. The lease agreement may contain a provision permitting the lessee to sublease equipment to other motor carriers for a period not exceeding the duration thereof, if the sublessee assumes full responsibility in the manner set forth in clause (A).
(iv) Compensation. The lease agreement must specify the amount of compensation to be paid by the lessee for the rental of the leased equipment.
(v) Duration. The lease agreement must specify the time and date or the circumstances on which the contract, lease or other arrangement begins and the time or the circumstances on which it ends.
(vi) Documentation. A lease shall be executed in triplicate. The original shall be retained by the motor carrier in whose service the equipment is to be operated, one copy shall be retained by the owner of the equipment and one copy shall be carried on the equipment specified therein during the entire period of the contract, lease or other arrangement, unless a certificate is carried on the equipment in lieu thereof, certifying that the equipment is being operated by lessee, the name of the owner, the date of the lease, contract or other arrangement, the period thereof and the location where the original of the lease, contract or other arrangement is retained by the motor carrier. The certificateholder shall retain leases for 2 years following their expiration date.
(3) Safety inspection of equipment. It is the duty of the motor carrier, before taking possession of equipment, to ensure that the equipment has a valid State inspection decal or complies with the periodic inspection requirements in § 37.204(7) (relating to adoption of portions of 49 CFR by reference), or to inspect or to have the equipment inspected by a person who is competent and qualified to make an inspection and who has been authorized by the carrier to make the inspection as a representative of the carrier, to ensure that the equipment is in a safe condition to be operated on the highways. The person making the inspection shall certify the results thereof, which certification shall be retained by the motor carrier for at least 1 year. If the inspection discloses that the equipment is not in a safe condition to be operated on the highways, possession thereof may not be taken by the motor carrier.
(d) Leasing equipment to shippers. A motor carrier is prohibited from leasing equipment with or without drivers to shippers or private carriers.
The provisions of this § 31.32 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.32 adopted April 11, 1939; amended through April 1, 1967; amended September 22, 1972, effective September 23, 1972, 2 Pa.B. 1773; amended February 1, 1980, effective May 2, 1980, 10 Pa.B. 464; amended May 29, 1987, effective May 30, 1987, 17 Pa.B. 2069; amended July 25, 1997, effective August 25, 1997, 27 Pa.B. 3676; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial pages (241243) to (241248).
Documentation
Taxpayer insisted that the company leased its equipment to other Public Utility Commission entities for use in public utility service, and that such leases would be found in the boxes of documents. However, the taxpayer was unable to identify which boxes, among the many piled in the back of the courtroom, contained these leases and after allowing the taxpayer time to select several boxes as possible sites for these leases and marking these boxes for identification, no leases were identified in the subsequent inventory. Therefore, the taxpayer failed to prove that the assessed equipment was leased to a Commission licensed entity. Fiore v. Commonwealth, 668 A.2d 1210 (Pa. Cmwlth. 1995).
A licensed common carrier could not enter into an agency agreement thereby making an unlicensed owner of a leased vehicle its agent in order to exercise control and management over leased vehicles, because the regulated carriers could, therefore, provide public services without the required certificates of public convenience and regulation from the Commission. McQuaide v. Pennsylvania Public Utility Commission, 629 A.2d 272, 277 (Pa. Commw. 1993).
This section cited in 52 Pa. Code § 31.42 (relating to equipment); and 52 Pa. Code § 31.63 (relating to equipment).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.33 Identification of equipment.
(a) Every motor vehicle operated by a motor carrier shall be marked on each side, in letters at least 2 inches in height, and at least 1/2 inch in width, the name and address of the motor carrier and the number of the certificate of public convenience or permit as follows: ‘‘PA. P.U.C. NO. A
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.35 Maintenance of equipment lists.
(a) A motor carrier engaged in transporting property or household goods in use by motor vehicle between points in this Commonwealth shall maintain at its principal place of business in this Commonwealth a current list of equipment owned and leased which is used in the transportation of property or household goods in use for-hire, containing the following information:
(1) Year.
(2) Make.
(3) Type.
(4) Manufacturer’s serial number.
(5) State and license number.
(6) Name and address of the owner-lessor.
(b) The information shall be made available during regular business hours to authorized representatives of the Commission.
The provisions of this § 31.35 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.35 adopted May 12, 1972, effective May 13, 1972, 2 Pa.B. 842; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial pages (216037) to (216038).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.41 Classification.
The classification of contract carriers of household goods in use is as described in the permit.
The provisions of this § 31.41 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.41 adopted April 11, 1939; amended through April 1, 1967; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (216038).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.42 Equipment.
Equipment regulations applicable to common carriers, the provisions of which are set forth in § 31.32 (relating to equipment), also apply to contract carriers.
The provisions of this § 31.42 adopted April 11, 1939; amended through April 1, 1967.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.43 Identification of equipment.
Identification of equipment regulations applicable to common carriers, the provisions of which are set forth in § 31.33 (relating to identification of equipment), except that markings shall specify the classification of contract carriers as follows:
‘‘Pa. P.U.C. No. P.’’
The provisions of this § 31.43 adopted April 11, 1939; amended through April 1, 1967.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.45 Contracts.
(a) Form. The special or individual agreements entered into by a contract carrier of household goods in use with shippers shall be in writing, shall provide for transportation for a particular shipper, shall be bilateral and impose specific obligations upon both carrier and shipper.
(b) Filing. Each contact carrier of household goods in use shall file and keep on file with the Commission copies or abstracts of contracts in a manner the Commission may by regulation from time to time prescribe. The contracts shall be certified by the carrier and the shipper.
(c) Cancellation or expiration. Notice of cancellation or expiration of every contract shall be given to the Commission within 10 days following the cancellation or expiration of the contract. Upon receipt of the notice, the Commission may, without further hearing or notice, revoke or rescind the authorization to operate under the provisions of the contract.
(d) Addition or substitution. Contracts may be added to or substituted for those named in the permit only upon the issuance of an amendment to the permit obtained upon the approval of the Commission and only after compliance with the following:
(1) Application to the Commission showing the name and address of the proposed customer, route or area sought to be served, extent to which the route or area differs from or conforms to the provisions of the existing permit, commodity to be hauled and the extent to which they exceed or are covered by existing permit, duration of proposed contract or arrangement, and, if substitution, the contract or customer for which to be substituted.
(2) Publication of notice of the application in the Pennsylvania Bulletin.
(3) If no protests to the application are filed on or before the date prescribed in the Pennsylvania Bulletin for protest, the Commission may issue an amended permit upon consideration of the application and without hearing. If protest is filed, a hearing will be held. Further, the applications may, in the discretion of the Commission, be scheduled for hearing before protests are filed.
(4) If the application is for substitution of a contract or customer covering the same commodities and route or territory as for the customer or contract covered by the permit and for which the substitution is to be made, the Commission may grant the same without notice but subject to protest, upon issuance of the amended permit.
The provisions of this § 31.45 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.45 adopted April 11, 1939; amended through April 1, 1967; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial pages (216039) to (216040).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.46 Tariff regulations.
Tariff regulations applicable to carriers are set forth in Chapters 23 and 53 (relating to tariffs for common carriers; and tariffs for noncommon carriers).
The provisions of this § 31.46 adopted April 11, 1939; amended through April 1, 1967.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.62 Use of or interchange with carriers.
(a) No forwarder in intrastate commerce may use or interchange with a motor or water common carrier which does not have a certificate of public convenience issued by the Commission, if the certificate is required.
(b) No forwarder may accept freight from, or deliver freight to, a motor, air or water contract carrier which does not have a permit issued by the Commission, if the permit is required. A forwarder may accept freight from, or deliver freight to, a contract carrier with the permit for the customers the contract carrier is authorized to serve, and only to the extent the contract carrier is authorized to serve the customer. The forwarder shall neither receive allowance nor participate in joint rates with a contract carrier.
The provisions of this § 31.62 amended under the Public Utility Code, 66 Pa.C.S. § 501.
The provisions of this § 31.62 adopted April 11, 1939; amended through April 1, 1967; amended February 6, 1998, effective February 7, 1998, 28 Pa.B. 647. Immediately preceding text appears at serial page (216041).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.63 Equipment.
Equipment regulations applicable to common carriers, the provisions of which are set forth in § 31.32 (relating to equipment), also apply to forwarders.
The provisions of this § 31.63 adopted April 11, 1939; amended through April 1, 1967.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.64 Identification of equipment.
Identification of equipment regulations applicable to common carriers, the provisions of which are set forth in § 31.33 (relating to identification of equipment), also apply to motor vehicles operated by forwarders, except that the classification shall be shown as follows:
‘‘Pa. P.U.C. No. F’’
The provisions of this § 31.64 adopted April 11, 1939; amended through April 1, 1967.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.121 Information for shippers.
(a) When a prospective shipper requests moving service and before an order for service is prepared, the household goods carrier shall furnish the prospective shipper with the following Commission supplied form entitled ‘‘Information for Shippers’’:
ESTIMATE
The carrier must give you a written estimate 48 hours prior to the move, unless the shipper agrees, in writing, to a shorter period. The estimate will approximate the amount he believes it will cost you to move your household furnishings. It is important that you inform the estimator of everything you intend to move. The actual charges may be more or less than the estimate.
RATES
If the move is 40 miles or less, the charge will be based on an hourly rate. If the move is over 40 miles, the charge will be based on weight and mileage. You will be required to pay any increase in charges resulting from changes to the carrier’s rates between the time of the estimate and the actual move.
INVENTORY
The carrier must complete a detailed inventory listing all items to be moved and their condition. You may waive this requirement, in writing, for moves 40 miles or less. All items must be given an identification number. The inventory must be completed before loading. You should observe and verify the inventory, noting the condition of all items. The carrier must provide you with a copy of the completed inventory before loading and it must be signed by you and the carrier. Upon delivery, you should verify all items in the inventory were delivered and their condition. You should note on the inventory any missing or damaged items. Retain your copy of the inventory until all disputes are settled.
BILL/RECEIPT
The carrier must give you a bill/receipt for the move within 15 days after the delivery date. The bill/receipt must detail all charges for the move. It must also contain copies of the Inventory and the Estimated Cost of Services.
PAYMENT
You will be required to pay the mover’s tariff charges. If the mover has not informed you prior to delivery that he will extend credit, the mover will expect you to make payment of the charges at time of delivery in cash, cashier’s check or certified check.
If the actual charges do not exceed the estimate by more than 10 percent, you must pay all of the actual charges prior to the mover unloading your goods. If the total actual charges exceed the estimate by more than 10 percent, the mover is required to deliver the full and complete shipment upon payment of the estimated charges plus an additional $25, or 10 percent of the estimate, whichever is greater. You may defer paying the balance for 15 days after delivery.
LOSS AND DAMAGE COVERAGE
If you sustain a loss or damage to your goods, you are protected only up to but not exceeding 60 cents per pound, per article. This minimum coverage may not be adequate protection. If you desire protection greater than 60 cents per pound, per article, you may secure increased coverage by paying a higher tariff rate applicable to the coverage you desire. You may also protect yourself to the full valuation of your goods by taking out a policy of transit insurance with an insurance agent.
PROOF OF DAMAGE/RECEIPT
Upon completion of the delivery, the driver will ask you to sign the delivery receipt. Do not sign any delivery papers until delivery is completed. Before signing, be sure all damage and any lost articles are noted on the receipt or inventory. If the driver will not make such notations, make them yourself before signing. Remember, telling the driver about these things is not enough. Do not sign the delivery receipt if it contains language purporting to release or discharge the carrier from liability otherwise required by agreement or law. Strike this language out before signing or refuse delivery if the mover refuses to provide a proper delivery receipt.
COMPLAINTS
For complaints and information, contact the PA Public Utility Commission at 1-800-782-1110 or at www.state.pa.us. Include the company name and A-# for all complaints.
I hereby certify that a copy of above Information for Shippers was furnished on
DATE
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.122 Estimate cost of services.
(a) A household goods carrier shall prepare an estimated cost of services for the proposed service, on a form. The form shall be supplied to the shipper at least 48 hours prior to the move, unless the shipper agrees, in writing, to a shorter notice period. The estimate must contain the following information:
(1) Unless otherwise permitted by the Commission, across the top of each form there shall be imprinted in letters at least 1/2 inch high the words ‘‘Estimated Cost of Services.’’
(2) The names and addresses of the carrier and shipper.
(3) The origin and destination of the shipment.
(4) The date of the estimate and the date of the proposed move.
(5) A certification that the shipper accepts or rejects the minimum coverage limits for loss or damage.
(6) The applicable rates for handling, packing, container use, vehicles, labor, weight and distance, and excess loss/damage coverage above the minimum.
(7) Notification to the shipper that the shipper will be required to pay any increase in charges resulting from changes to the carrier’s tariff between the time of the estimate and the actual move.
(8) The signature of the carrier representative and the shipper, including the date and time the estimate was provided.
(b) The carrier shall maintain a copy of the estimated cost of services for 2 years from the date of the move.
The provisions of this § 31.122 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.22 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial page (241258).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.123 Delivery when charges exceed estimates.
If actual charges exceed the amount shown in the carrier’s estimate, the carrier, upon request of the shipper or the shipper’s representative, shall relinquish possession of the complete shipment at destination upon payment of the estimated amount plus 10% over the estimate or $25, whichever is greater. The carrier shall defer demand for the remainder of the tariff charges for 15 days following delivery.
The provisions of this § 31.123 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.123 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial page (241258).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.124 Report of underestimates.
(a) A motor common carrier of household goods in use shall file with the Pennsylvania Public Utility Commission, Bureau of Transportation and Safety, Harrisburg, Pennsylvania, 17105-3265, a quarterly report containing instances during the period wherein charges exceeded the estimate by more than 10% with the explanation of the reasons for the variances. The report shall be filed within 30 days after the end of the quarter reported. The carrier shall retain the report for 2 years after the date of filing.
(b) Content. The report must contain the carrier’s name, address and certificate number. The report must also contain the total number of shipments made for the quarter, the total number of reportable underestimates and the reasons for the underestimates.
The provisions of this § 31.124 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.124 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial pages (241258) to (241260).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.125 Obtaining weight tickets.
The carrier shall cause every shipment of household goods in use for distances over 40 miles to be weighed by a public weighmaster. Weight tickets evidencing gross and tare weights shall be obtained from the public weighmaster, which the driver shall identify by recording thereon the bill of lading number of the shipment. True copies of the weight tickets shall be attached to the receipt or bill of lading accompanying the shipment and retained in the carrier’s file. True copies of the weight tickets shall also be furnished to the shipper upon request. Under circumstances when a public weighmaster is not available to the mover at origin or at a point within a radius of 10 miles thereof, a constructive weight based on 7 pounds per cubic foot of properly loaded van space may be used. When constructive weight is used, the mover shall designate same on the bill of lading. Weight tickets shall be maintained by the carrier for 2 years from the date of the move.
The provisions of this § 31.125 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.125 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial pages (241260) to (241261).
This section cited in § 31.126 (relating to reweighing of shipment).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.126 Reweighing of shipment.
The carrier, upon request of shipper made prior to the delivery date, shall reweigh the shipment. The carrier shall inform the person requesting the reweighing of the tariff charges therefor and, without altering or deleting the initial weights, shall cause to be recorded on the bill of lading, the gross, tare and net weight on reweighing in the same manner as set forth in § 31.125 (relating to obtaining weight tickets) for initial weighing. The lower of the two net scale weights shall be used for determining the applicable charges. The carrier shall publish in its tariff a reasonable charge for reweighing, and such charge shall be paid by the shipper requesting reweighing.
The provisions of this § 31.126 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.127 Failure to comply with provisions.
A common carrier by motor vehicle engaged in transporting household goods shall comply with this chapter, and failure to comply may subject the carrier to the penalties provided under 66 Pa.C.S. § § 3301—3316 (relating to violations and penalties). Whenever circumstances are present which in the opinion of the Commission indicate that a common carrier of household goods is persistently in violation of this chapter or 66 Pa.C.S. (relating to public utility code), the Commission may institute appropriate enforcement action.
The provisions of this § 31.127 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.127 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064; amended August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181. Immediately preceding text appears at serial pages (241261) to (241262).
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.128 Fraud or concealment by shipper.
This chapter is not applicable where fraud or concealment has been practiced by the shipper in respect to the movement of household goods.
The provisions of this § 31.128 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.129 Fraud or concealment by carrier.
A shipper who proves to the satisfaction of the Commission that a carrier has committed fraud or deliberate concealment in rendering an estimate shall be entitled to restrict his payment to the amount of the estimate made by the carrier.
The provisions of this § 31.129 adopted September 14, 1973, effective September 15, 1973, 3 Pa.B. 2064.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.131 Notification to shipper of charges.
Whenever the shipper specifically requests notification of the actual weight and charges on a shipment, and supplies the carrier with an address or telephone number, the carrier shall comply with the request immediately upon determining the actual weight and charges. The notification shall be made by telephone, first-class mail, fax, e-mail, or in person at the carrier’s expense unless the carrier provides in its tariff that the actual cost of the notification shall be collected from the shipper.
The provisions of this § 31.131 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.131 adopted August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.132 Bill of lading.
(a) A household goods carrier shall issue a bill of lading (receipt) for each shipment. The bill of lading must contain the following information:
(1) The name, address and telephone number of the carrier.
(2) The carrier’s certificate number.
(3) The name and address of the shipper.
(4) The date of the shipment.
(5) The origin and destination of the shipment.
(6) A detailed account of the charges and applicable rates.
(7) A total of the charges due and acceptable methods of payment.
(b) The carrier shall present the bill of lading to the shipper within 15 days of the delivery date.
(c) The carrier shall attach a copy of the estimated cost of services and inventory to the bill of lading.
(d) A copy of the bill of lading must accompany the shipment at all times.
(e) Carriers shall retain a copy of the bill of lading for 2 years from the date of the move.
(f) The bill of lading may not contain any language purporting to release or discharge the carrier from liability for damage otherwise required by agreement or law. The bill of lading may include a statement that the property was received in apparent good condition except as noted on the inventory.
The provisions of this § 31.132 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.132 adopted August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.133 Inventory.
(a) A household goods carrier shall prepare a written, itemized inventory for each shipment. The inventory shall identify every carton and every uncartoned item shipped. An identification number corresponding to the inventory shall be placed on each article in the shipment.
(b) The inventory shall be prepared before the shipment is loaded for transportation.
(c) The shipper shall be provided the opportunity to observe and verify the accuracy of the inventory.
(d) The carrier shall provide a copy of the inventory, signed by both the shipper and carrier, to the shipper prior to loading.
(e) Upon delivery, a carrier shall provide the shipper with the opportunity to observe and verify that the same articles are being delivered and the condition of the articles. A carrier shall also provide the shipper the opportunity to note, in writing, any missing articles and the condition of any damaged articles. The carrier shall provide the shipper with a copy of all notations.
(f) For moves of 40 miles or less, a shipper may waive the inventory requirement, in writing.
(G) The carrier shall retain an inventory, or waiver thereof, for 2 years from the date of the shipment.
The provisions of this § 31.133 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.133 adopted August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
52 Pa. Code § 31.134 Criminal history.
(a) Criminal history record required. A household goods carrier may not permit a person to provide moving services in a shipper’s dwelling until it has obtained and reviewed a criminal history record from the Pennsylvania State Police and from every other state in which the person resided for the last 12 months. For current employees, carriers must obtain a criminal history record by November 9, 2006.
(b) Frequency of record check. Following receipt of the initial criminal history record, a household goods carrier shall obtain and review a criminal history record for each employee providing moving services from the Pennsylvania State Police every 2 years from the date of the last criminal history check.
(c) Disqualification. A household goods carrier may not permit a person to provide moving services in a shipper’s dwelling when the person was convicted of a felony or a misdemeanor under the laws of the Commonwealth or under the laws of another jurisdiction, to the extent the conviction relates adversely to that person’s suitability to provide service safely and legally.
(d) Record retention. A copy of the criminal history shall be maintained by the household goods carrier for at least 3 years.
The provisions of this § 31.134 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1102, 1103, 1501, 1502, 1504, 1506, 1508 and Chapters 23 and 25.
The provisions of this § 31.134 adopted August 4, 2006, effective August 5, 2006, 36 Pa.B. 4181.
History
- Authority: The provisions of this Chapter 31 issued under act of May 28, 1937 (P.
- Source: The provisions of this Chapter 31 adopted April 11, 1939, amended through April 1, 1967, unless otherwise noted.
Chapter 39 Brokers
52 Pa. Code § 39.1 Applicability.
This chapter is promulgated under 66 Pa.C.S. § § 2501—2509 (relating to contract by motor vehicle and broker), in respect to the regulation of brokers.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.2 Definitions.
The terms ‘‘broker,’’ ‘‘Commission,’’ ‘‘common carrier by motor vehicle,’’ ‘‘contract carrier by motor vehicle,’’ and ‘‘person’’ is defined in 66 Pa.C.S. § § 102 and 2501 (relating to definitions; and declaration of policy and definitions).
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.3 Records to be kept by property brokers.
A property broker shall keep and maintain for a period of 3 years a record of a transaction in which he participates, which record shall include for a transaction the following information:
(1) Name and address of consignor.
(2) Name, address and the lead or principal docket number of the originating motor carrier.
(3) Bill of lading or freight bill number or both.
(4) Description of commodity or commodities, weight, rate and tariff reference.
(5) Date of shipment.
(6) Origin and destination of shipment.
(7) Information on claims filed.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.4 Records to be kept by passenger brokers.
A passenger broker shall keep and maintain for a period of 3 years a record of transactions participated in as a broker, which records shall include the following information:
(1) The points of origin and destination for a ticket sold.
(2) The name, address and the lead or principal docket number of the carrier for which the ticket is sold.
(3) The amount received from the passenger, including an amount, stated separately, for the transportation of baggage or another service accessorial to the transportation of the passenger.
(4) The payment made to a carrier by motor vehicle served by the broker, referring to date and check number.
(5) The amount of the commissions earned by the broker for sale of transportation, for a carrier and division of payment.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.5 Carrier’s operating authority.
In the execution of a contract, agreement or arrangement to sell, provide, procure, furnish or arrange for a transportation of passengers or property by a carrier, no broker may employ or engage a carrier who or which is unable to lawfully provide the transportation under his contracts, agreements or arrangements therefor.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.6 Charge for services by property brokers.
(a) A property broker shall maintain and keep open for public inspection, at a place of business which he maintains, a schedule stating his maximum charge for a brokerage service which he holds out to perform.
(b) No broker may charge or collect more for a brokerage service than his maximum charge therefor as contained in his schedules maintained under subsection (a).
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.7 Charges for nonbrokerage services by property brokers.
(a) A property broker shall maintain and keep open for public inspection, at a place of business which he maintains, schedules:
(1) Stating his minimum charge for a nonbrokerage service which he holds himself out to perform for shippers, consignors or consignees.
(2) Stating his maximum charge for a nonbrokerage service which he holds himself out to perform for carriers.
(b) No broker may furnish a nonbrokerage service other than those for which the minimum or maximum charge is contained in his schedule, nor may a broker charge or collect from a shipper, consignor or consignee any less or from a carrier any more, for a nonbrokerage service performed, than his minimum or maximum charge for the service as contained in his maintained schedules.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.8 Misrepresentation.
(a) No broker may perform a brokerage service or hold himself out to perform the service, by advertisement or otherwise, in a name other than that in which his license is issued.
(b) No broker may directly or by implication represent himself to be a carrier in respect to a service which he does not hold authority as a carrier to perform.
(c) No broker may advertise an offer of service as a broker without showing in the advertisement his status as a broker in type which is clear and bold and equally as large as the other type in the same advertisement.
Advertisement
Evidence supported the administrative law judge’s determination that common carrier acted as an unlicensed broker where the carrier’s activities included advertising tours and arranging transportation, meals, admission tickets and lodging for points originating outside the scope of the carrier’s certificate going to points in Pennsylvania and returning to points outside the certificated areas. Moreover, all of the carrier’s advertisements promoted common carrier’s company and therefore if the carrier was in fact an agent for another, then the carrier’s advertisements should have promoted that principal. Waddington v. Pennsylvania Public Utility Commission, 670 A.2d 199 (Pa. Cmwlth. 1995); appeal denied 678 A.2d 368 (Pa. 1996).
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.9 Billing by brokers.
(a) No broker may, in a name except that of a carrier, issue a bill of lading, freight bill or other document which is appropriate only for use by a carrier transporting or agreeing to provide transportation service.
(b) No broker may issue an order for service or another document appropriate for use by carriers or other brokers which does not clearly show the name and address of the issuing broker and that it is executed by a broker of transportation, in type which is clear and bold and equally as large as the name of the issuing broker.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.10 Rebating.
(a) No broker may charge or receive compensation from a carrier for brokerage service performed in connection with a shipment which he owns, in which he has a material interest, the routing of which he controls by reason of affiliation with a carrier as defined in the act or nonbrokerage relationship to the traveler, the shipper, consignor or consignee as traffic consultant or otherwise, or which he controls by reason of his performance for the traveler, shipper, consignor or consignee of nonbrokerage services.
(b) No broker may pay, give or offer to pay or give, directly or indirectly, anything of value, except ordinarily used inexpensive advertising specialties, to a traveler, shipper, consignor, consignee or to an officer or employe of a traveler, shipper, consignor or consignee.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.11 Duties and obligations of brokers.
(a) A broker shall fairly protect the interest of a shipper/traveler employing his services, by providing or advising the shipper/traveler of the transportation services which, because of rates, schedules, type of motor carrier, or otherwise, will best meet the needs of the shipper/traveler and no broker may misrepresent or make false promises to a shipper/traveler with respect to the service rendered or to be rendered by a carrier.
(b) No broker may knowingly misrepresent to a carrier the transportation to be provided or otherwise give to a carrier incorrect information which may affect the applicable charges for a particular transportation services.
(c) No broker may charge or accept compensation from both a shipper/traveler and a carrier in connection with the same transportation for brokerage service without first advising both parties in writing of the amount and basis for the charge or payment by the other.
(d) A broker shall exercise diligence to carry out an undertaking to arrange for desired transportation, to carry out the terms of its arrangements with a shipper/traveler or carrier and to pay promptly money received by him for the shipper/traveler or carrier.
(e) A charge collected by a broker of property shall be paid in full to the carrier employed by him, without deduction for an amount due to him from the carrier.
Misrepresentation
Evidence supported the administrative law judge’s determination that common carrier acted as an unlicensed broker where the carrier’s activities included advertising tours and arranging transportation, meals, admission tickets and lodging for points originating outside the scope of the carrier’s certificate going to points in Pennsylvania and returning to points outside the certificated areas. Moreover, all of the carrier’s advertisements promoted common carrier’s company and therefore if the carrier was in fact an agent for another, then the carrier’s advertisements should have promoted that principal. Waddington v. Pennsylvania Public Utility Commission, 670 A.2d 199 (Pa. Cmwlth. 1995); appeal denied 678 A.2d 368 (Pa. 1996).
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.12 Transfer of brokers’ licenses.
A license issued a broker may be transferred, if approved by the Commission, upon application and proof that the transferee is fit, willing and able to perform the duties and that the transfer is not contrary to the public interest.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.14 Accounting.
A property broker who engages in another business, whether as a carrier, warehouseman or otherwise, shall keep and maintain his records in a manner that the revenues and expenses pertaining to his brokerage operations will be separated from those of his other operations. Expenses that are common to his brokerage and other operation shall be allocated to each on an equitable basis, and the broker shall be prepared to show and to report to the Commission when required the allocation of the common expenses and the basis of the allocations.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
52 Pa. Code § 39.15 Security for the protection of the public.
No broker may be issued a broker’s license unless the broker has furnished a bond or other security approved by the Commission, in an amount of not less than $10,000 and in a form as will insure the financial responsibility of a broker and the supplying of a financial responsibility of an authorized transportation under the contract agreement or arrangement therefor.
History
- Authority: The provisions of this Chapter 39 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 39 adopted January 28, 1977, effective February 14, 1977, 7 Pa.
Chapter 41 General Orders, Policy Statement and Guidelines on Transportation Utilities
52 Pa. Code § 41.1 Lavatory facilities at terminals.
(a) A carrier of persons by rail, motor vehicle or aircraft shall provide a minimum of 1/2 of their rest room commodes free of charge to patrons, prospec-tive customers and persons picking up and leaving off patrons and prospective customers. The carrier may restrict the use of rest room facilities to passengers and other persons properly waiting at the terminal, but these carriers shall have on duty and available during hours during which the terminal is open an employe who can allow persons to gain entrance to the facilities. In the event a system of restricted usage is employed, signs shall be posted to acquaint persons with this procedure.
(b) In situations where rest room entry doors are locked, admission keys shall be readily provided without charge when requested, and notice as to the availability of the key shall be posted on the rest room entry door.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.11 Transportation of persons to or from medical locations by paratransit operations utilizing specialized equipment—statement of policy.
(a) The following words and terms, when used in this section, have the following meanings, unless the context clearly indicates otherwise: Health care facility—A general or special hospital, as defined in section 103 of the Health Care Facilities Act (35 P. S. § 448.103). Health care institution—The major categories of health care institutions include: hospitals, nursing care institutions, home health agencies, infirmaries and behavorial health services. Health care provider—A person who operates a health care facility, health care institution or health maintenance organization. Health maintenance organization—An organization which provides health care services as defined in section 103 of the Health Care Facilities Act.
(b) If the following circumstances are present, the Commission will regard that operation as beyond the regulatory jurisdiction of the Commission, under 66 Pa.C.S. § 102(9) (relating to definitions):
(1) The transportation is performed by a carrier providing paratransit service utilizing specialized equipment.
(2) The passengers are persons, including patients, who—because they are injured or ill—require transportation to or from health care providers, as defined in this section.
(c) This policy statement effectuates the Commonwealth Court decision of Chappell v. Pennsylvania Public Utility Commission, 57 Pa. Commw. 17, 425 A.2d 873 (1981).
(d) This policy statement also incorporates the Commonwealth Court decision of Triage, Inc. v. Pennsylvania Public Utility Commission, 69 Pa. Commw. 230, 450 A.2d 790 (1982) and the Commission’s decision of Pennsylvania Public Utility Commission v. National MediVans, Inc., Docket No. C-903059 (Order entered April 18, 1991).
The provisions of this § 41.11 adopted September 11, 1981, effective September 12, 1981, 11 Pa.B. 3108; amended September 11, 1981, effective September 12, 1981, 11 Pa.B. 3553; amended September 6, 1991, effective November 6, 1991, 21 Pa.B. 3998. Immediately preceding text appears at serial page (134474).
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.12 Issuance of certificates of public convenience for taxicab service in Philadelphia—statement of policy.
(a) The act authorizes the Commission to regulate call or demand common carrier service in this Commonwealth. This authority was recently supplemented by the section 1 of the act of June 19, 1980 (P. L. 244, No. 69) which amended 66 Pa.C.S. § 1103 (relating to procedure to obtain certificates of public convenience). Act 1980-69 authorized the Commission to immediately issue a maximum of 1400 certificates of public convenience for taxicab service in the City of Philadelphia. The act further authorized the Commission, as of December 19, 1981, to issue in its discretion a maximum of 1700 certificates for taxicab service in Philadelphia.
(b) As a result of the Commission’s prior finding of necessity for additional taxicab service in Philadelphia in the proceeding at I. D. 171 and the initial authorization of Act 1980-69, 1400 certificates of public convenience for taxicab service in Philadelphia have been issued. Anticipating Act 1980-69’s additional authorization to issue up to 1700 certificates, final orders have been entered issuing a number of these certificates. Moreover, hearings have been scheduled or held on a number of applications requesting taxicab authority in Philadelphia. Consistent with the Commission’s practice with applications for taxicab authority in Philadelphia, these applications have been considered in chronological order on the basis of filing date. As of February 6, 1982, the Commission will suspend the scheduling of hearings on applications for taxicab authority in Philadelphia. Applications in which hearings have been scheduled or in which hearings have already been held will proceed to a final disposition. The Commission believes that a suspension is appropriate in view of the number of certificates of public convenience for taxicab service in Philadelphia which the Commission has issued in the recent past.
(c) The act provides the Commission with the discretion to determine the amount of competition which best serves the public interest. Besides issuing a significant number of new certificates in the last year, the Commission has also approved the transfer of several hundred previously unused certificates held by the Yellow Cab Company to new owners who are bound to operate them in compliance with the act and this title. The result of these activities has been a virtual doubling of the number of issued certificates for taxicab service in Philadelphia in the past 18 months. At this point, the Commission deems it appropriate, as detailed in subsection (b) to suspend the issuance of additional certificates and to investigate anew the adequacy of taxicab service in the city of Philadelphia.
(d) Act 1980-69 requires the Commission to institute a formal investigation on the future need for taxi service in Philadelphia in June of 1982 and to report the findings and conclusions of such investigation to the General Assembly. In view of the rapidly increasing number of vehicles in taxicab service in Philadelphia, the Commission deems it appropriate to begin this investigation earlier and to use the results to guide its discretion in increasing the number of certificates for taxi service in the City. The Commission anticipates beginning this investigation in April of 1982. The investigation will be formally announced in the Pennsylvania Bulletin.
(e) Act 1980-69 ultimately vests the Commission with the discretion to issue a maximum of 2,000 certificates for taxi service in Philadelphia on December 19, 1982. Our discretion to reach this maximum will be guided by the results of the investigation into the adequacy of taxi service in Philadelphia. At the present time, the Commission has received approximately 520 applications for certificates of public convenience to provide taxicab service in the city of Philadelphia. These applications will be considered in chronological order on the basis of filing date. Any additional applications for this authority subsequently filed will be considered in a similar fashion. Should the Commission revoke any certificates for taxicab service in Philadelphia as a result of the holder’s failure to comply with the act and this title, those certificates will be reissued so as to maintain the number of certificates at the level chosen by the Commission.
The provisions of this § 41.12 issued under the Public Utility Code, 66 Pa.C.S. § 1103.
The provisions of this § 41.12 adopted February 5, 1982, effective February 6, 1982, 12 Pa.B. 524.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.14 Evidentiary criteria used to decide motor common carrier applications—statement of policy.
An applicant seeking motor common carrier authority has the burden of demonstrating that it possesses the technical and financial ability to provide the proposed service. In addition, authority may be withheld if the record demonstrates that the applicant lacks a propensity to operate safely and legally. In evaluating whether a motor carrier applicant can satisfy these fitness standards, the Commission will ordinarily examine the following factors, when applicable:
(1) Whether an applicant has sufficient capital, equipment, facilities and other resources necessary to serve the territory requested.
(2) Whether an applicant and its employees have sufficient technical expertise and experience to serve the territory requested.
(3) Whether an applicant has or is able to secure sufficient and continuous insurance coverage for all vehicles to be used or useful in the provision of service to the public.
(4) Whether the applicant has an appropriate plan to comply with the Commission’s driver and vehicle safety regulations and service standards in Chapter 29 (relating to motor carriers of passengers).
(5) An applicant’s record, if any, of compliance with 66 Pa.C.S. (relating to Public Utility Code), this title and the Commission’s orders.
(6) Whether an applicant or its drivers have been convicted of a felony or crime of moral turpitude and remains subject to supervision by a court or correctional institution.
The provisions of this § 41.14 adopted November 19, 1982, effective January 1, 1983, 12 Pa.B. 4282; amended May 4, 2001, effective May 5, 2001, 31 Pa.B. 2385; amended July 23, 2004, effective July 24, 2004, 34 Pa.B. 3912; amended February 9, 2018, effective February 10, 2018, 48 Pa.B. 882. Immediately preceding text appears at serial pages (337331) to (337332).
Applicant’s Burden
Motor common carrier applicants need not show inadequacy in the existing service and protestants assume the burden of showing that the entry of a new carrier endangers the existing carrier’s operation, thus rendering the grant of the application contrary to public policy. Morgan Drive Away, Inc. v. Pennsylvania Public Utility Commission, 512 A.2d 1359 (Pa. Cmwlth. 1986).
Commission Authority
While denying transfer of a certificate of public convenience on the grounds of profiteering and trafficing, the Commission exceeded its authority by applying criteria not specifically provided for by regulation. South Hills Movers, Inc. v. Pennsylvania Public Utility Commission, 601 A.2d 1308 (Pa. Cmwlth. 1992).
The Commission did not exceed its authority in reformulating evidentiary criteria under this section, since the requirement of proving inadequacy of existing service was not statutory but had arisen in a regulatory context. Yellow Cab Company v. Pennsylvania Public Utility Commission, 524 A.2d 1069 (Pa. Cmwlth. 1987).
Evidence
On an application for additional transportation authority, the Commission properly considered the applicant’s unauthorized service as proof of public need where the service was based on a good faith misunderstanding of the scope of its certificate and the revenues generated thereby may be considered in determining the applicant’s financial fitness. W. C. McQuaide, Inc. v. Pennsylvania Public Utility Commission, 585 A.2d 1151 (Pa. Cmwlth. 1991).
The Commission’s regulations promulgating evidentiary criteria are applicable to passenger carrier applications. Yellow Cab Company v. Pennsylvania Public Utility Commission, 524 A.2d 1069 (Pa. Cmwlth. 1987).
Evidence/Sufficient
Although the Pennsylvania Public Utility Commission admonished the taxicab company for its unauthorized operations and the irregularities in it’s past annual reports, the Commission accepted the evidence presented by the company as credible and determined that the company was likely to comply with the regulation in the future. Thus, the Commission’s finding that the company possessed the propensity to operate legally was based upon its credibility determinations and should not be disturbed on appeal. Loma, Inc. v. Pennsylvania Public Utility Commission, 682 A.2d 424 (Pa. Cmwlth. 1996); appeal denied 698 A.2d 597 (Pa. 1992).
Although the primary shareholder of the corporation filing an application for common carrier had some previous legal problems, these incidents were not sufficient to justify piercing the corporate veil and thereby deny common carrier status for these incidents failed to show that the corporation lacked the ability to operate safely and legally. Yellow Cab Co. v. Pennsylvania Public Utility Commission, 673 A.2d 1015 (Pa. Cmwlth. 1996).
Public Utility Commission erred in concluding that testimony of witness, even if credible, was not sufficiently definite to serve as basis for finding that applicant assaulted witness. Limelight Limousine, Inc. v. Pennsylvania Public Utility Commission, 580 A.2d 472 (Pa. Cmwlth. 1990).
Evidence of record supported Commission’s finding that application for Certificate of Public Convenience satisfied the Commission’s established criteria and standard. Limelight Limousine, Inc. v. Pennsylvania Public Utility Commission, 570 A.2d 1378 (Pa. Cmwlth. 1990).
Court may not make independent judgment and substitute the Commission’s findings under the evidentiary criteria promulgated by the Commission, where the findings are adequately supported by the evidence. Yellow Cab Company v. Pennsylvania Public Utility Commission, 524 A.2d 1069 (Pa. Cmwlth. 1987).
Prior Unlawful Operations
It is well established that a motor carrier authority applicant’s prior unlawful operations do not preclude the Commission from granting authority in a subsequent proceeding. Loma, Inc. v. Pennsylvania Public Utility Commission, 682 A.2d 424 (Pa. Cmwlth. 1996).
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.15 Policy statement regarding transfer of call or demand certificates to the vehicle’s drivers when the certificate holder does not control the operations under the certificate—statement of policy.
When the Commission becomes aware that a certificated holder is not controlling the operation of a taxicab and, therefore, the drivers are, in fact, providing the utility service, the Commission will consider actions against the certificate holder which could include, inter alia, fines, suspension, revocation of the certificate, or the forced transfer of the certificate to the driver who is actually controlling the certificate, if that person is shown fit to provide dependable taxicab service.
The provisions of this § 41.15 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1103.
The provisions of this § 41.15 adopted January 27, 1984, effective January 28, 1984, 14 Pa.B. 337.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.16 Transportation of waste for disposal—statement of policy.
(a) In Pennsylvania Public Utility Commission v. Edward Armstrong & Sons, Inc., C-850073 (Order entered April 28, 1986), the Commission ruled that the transportation of waste water sludge which has little or no intrinsic value does not involve the transportation of property under 66 Pa.C.S. § § 102 and 2501 (relating to definitions); and declaration of policy and definitions), and therefore is not subject to the Commission’s jurisdiction.
(b) The Commission has no jurisdiction over the transportation by motor vehicle of waste, including but not limited to rubbish, garbage, sludge, sewage and hazardous waste, in solid, liquid or semiliquid state, for disposal.
(c) This exemption does not alter Commission regulation of fixed utility sewage companies or the transportation of scrap materials, such as metal and glass, which have commercial value.
The provisions of this § 41.16 adopted December 5, 1986, effective December 6, 1986, 16 Pa.B. 4721.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.18 Evidentiary criteria used to decide property broker applications—statement of policy.
In cases controlled by 66 Pa.C.S. § § 2501 and 2505(b) (relating to declaration of policy and definitions; and licenses and financial responsibility required of brokers) it is the policy of this Commission that an applicant seeking a license to provide property broker services has the burden of demonstrating that it is fit, willing and able to provide the proposed service and to conform to 66 Pa.C.S. and this title.
The provisions of this § 41.18 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 2501.
The provisions of this § 41.18 adopted April 22, 1988, effective April 23, 1988, 18 Pa.B. 1933.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.19 Evidentiary criteria used to decide passenger broker applications—statement of policy.
In cases controlled by 66 Pa.C.S. § § 2501 and 2505(b) (relating to declaration of policy and definitions; and licenses and financial responsibility required of brokers) it is the policy of this Commission that an applicant seeking a license to provide passenger broker services has the burden of demonstrating that it is fit, willing and able to provide the proposed service and to conform to 66 Pa.C.S. and this title.
The provisions of this § 41.19 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 2501.
The provisions of this § 41.19 adopted April 22, 1988, effective April 23, 1988, 18 Pa.B. 1933.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.20 Horse and carriage services—statement of policy.
A provider of horse and carriage services is not a ‘‘common carrier’’ under 66 Pa.C.S. § 102 (relating to definitions), and is not subject to the Commission’s jurisdiction.
The provisions of this § 41.20 adopted March 10, 1989, effective March 11, 1989, 19 Pa.B. 1093.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.21 Insurance coverage for common or contract carriers of less than 16 passengers—statement of policy.
Common or contract carriers of passengers transporting fewer than 16 passengers maintain insurance as required by § 32.11(b) (relating to passenger carrier insurance) of not less than $35,000 to cover liability for bodily injury, death or property damages incurred in an accident from authorized service. The Commission considers this $35,000 minimum coverage as split coverage in the amounts of $15,000 bodily injury per person, $30,000 bodily injury per accident and $5,000 property damage per accident.
The provisions of this § 41.21 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 512.
The provisions of this § 41.21 adopted February 24, 1995, effective February 25, 1995, 25 Pa.B. 681.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.22 Motor carrier passenger transportation services by municipal corporations or State instrumentalities—statement of policy.
(a) General rule. As a general rule, passenger transportation services are not subject to Commission jurisdiction when provided by any of the following:
(1) State instrumentalities.
(2) Municipal authorities.
(3) Municipal corporations within their corporate limits. The geographic limitation applicable to municipal corporations will be satisfied as long as the passenger transportation service provided by a municipal corporation is restricted to residents of the municipality, regardless of whether the actual service is provided within the corporate limits of the municipality.
(b) Definitions. The following words and terms, when used in this section, have the following meanings, unless the context clearly indicates otherwise: Municipal authority—An authority created or organized by a municipality in accordance with the laws of the Commonwealth for the purpose of rendering service similar to that of a public utility. Municipal corporation—The term as defined in 66 Pa.C.S. § 102 (relating to definitions). Public transportation authority—An authority created or organized under the laws of the Commonwealth for the purpose of rendering public transportation service. State instrumentality—
(i) The Commonwealth, its agencies, boards, offices, commissions, councils, departments, bureaus and authorities.
(ii) The term includes independent agencies of the Commonwealth and State affiliated entities such as the State System of Higher Education. Substantial ongoing control—The act of setting or affirmatively approving the rates, routes, schedules, terms and conditions of service, and the monitoring and enforcement of a contractor’s compliance with them.
(c) Evidence of substantial ongoing control. Substantial ongoing control is evidenced through:
(1) The terms of a written contract between the third party and the contracting entity.
(2) A statute, regulation, ordinance or other provision of law that the third party contractor must comply with in the provision of the transportation services.
(3) Written audits or inspection reports of the contractor’s compliance with the contract and relevant provisions of law.
(d) Exemptions.
(1) State instrumentalities. Passenger transportation services provided by third parties under contract to State instrumentalities, and their subcontractors, are not subject to Commission jurisdiction when the following conditions are present:
(i) The State instrumentality’s enabling legislation does not expressly require the third party to obtain a certificate of public convenience from the Commission when providing the service.
(ii) The service is subject to substantial ongoing control by the State instrumentality as to the following:
(A) The rates charged to passengers for the service.
(B) The routes for the service.
(C) The schedule of the service.
(D) The terms and conditions of the service, including who is eligible to be a passenger.
(2) Municipal authorities. Passenger transportation services provided by third parties under contract to municipal authorities, and their subcontractors, are not subject to Commission jurisdiction when the following conditions are present:
(i) The service would be nonjurisdictional if provided by the municipal authority itself.
(ii) The service is subject to substantial ongoing control by the municipal authority as to the following:
(A) The rates charged to passengers for the service.
(B) The routes for the service.
(C) The schedule of the service.
(D) The terms and conditions of the service, including who is eligible to be a passenger.
(3) Municipal corporations. Passenger transportation service provided by third parties under contract to municipal corporations, and their subcontractors, are not subject to Commission jurisdiction when the following conditions are present:
(i) The service would be nonjurisdictional if provided by the municipal corporation itself.
(ii) The service is subject to substantial ongoing control by the municipal corporation as to the following:
(A) The rates charged to passengers for the service.
(B) The routes for the service.
(C) The schedule of the service.
(D) The terms and conditions of the service, including who is eligible to be a passenger.
(4) Public transportation authorities. When a public transportation authority’s enabling legislation exempts it from Commission jurisdiction, passenger transportation services provided by third parties under contract to the public transportation authority are not subject to the Commission’s jurisdiction when the following conditions are present:
(i) The public transportation authority’s enabling legislation expressly authorizes it to contract with third parties to provide passenger transportation services.
(ii) The service is subject to substantial ongoing control by the public transportation authority as to the following:
(A) The rates charged to passengers for the service.
(B) The routes for the service.
(C) The schedule of the service.
(D) The terms and conditions of the service, including who is eligible to be a passenger.
(5) Cooperative agreements. Passenger transportation services provided under a cooperative agreement between municipal corporations or authorities, which permit them to operate in each other’s geographic service areas, are not subject to Commission jurisdiction. Passenger transportation services provided by third parties under contract to the contracting municipal corporation or authority are not subject to Commission jurisdiction so long as the services are subject to the substantial ongoing control of the contracting municipal corporation or authority, or both, as to the following:
(i) The rates charged to passengers for the service.
(ii) The routes for the service.
(iii) The schedule of the service.
(iv) The terms and conditions of the service, including who is eligible to be a passenger.
The provisions of this § 41.22 adopted May 24, 2013, effective May 25, 2013, 43 Pa.B. 2852.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.31 General.
The Commission encourages parties to seek negotiated settlements of contested proceedings in lieu of incurring the time, expense and uncertainty of litigation. To further promote the goal of obtaining negotiated settlements in the public interest, the Commission has adopted guidelines that offer the parties, in certain contested proceedings, the option of mediation.
The provisions of this § 41.31 adopted October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
52 Pa. Code § 41.32 Availability of mediation process.
The mediation process is intended to be a flexible program designed to facilitate the amicable resolution of disputes between parties. The Office of Administrative Law Judge manages the mediation program. The mediation process administered by the Commission follows the procedures in Chapter 69 (relating to general orders, policy statements and guidelines on fixed utilities) regarding mediation process for fixed service utilities.
The provisions of this § 41.32 adopted October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616.
History
- Authority: The provisions of this § 41.
- Source: The provisions of this Chapter 41 adopted October 14, 1977, effective October 15, 1977, 7 Pa.
Subpart C Fixed Services Public Utilities
Chapter 51 General Provisions
52 Pa. Code § 51.1 Definition of Commission.
As used in this subpart, the term Commission means the Pennsylvania Public Utility Commission, or as appropriate, its predecessor, the Public Service Commission of the Commonwealth of Pennsylvania.
History
- Authority: The provisions of this § 51.
- Source: The provisions of this § 51.
52 Pa. Code § 51.11 General.
The Commission’s Diversity Policy Statement at 52 Pa. Code § § 69.801—69.809 (relating to diversity at major jurisdictional utility companies—statement of policy) provides recommendations for addressing diversity issues. While the means by which a major jurisdictional utility addresses diversity in its workforce and vendor supply chains should be utility-specific, the results of such efforts shall be reported in accordance with this chapter annually by each major jurisdictional utility. Failure to conform with this chapter may result in civil penalties under 66 Pa.C.S. § 3301 (relating to civil penalties for violations).
The provisions of this § 51.11 added under 66 Pa.C.S. § § 501 and 504.
The provisions of this § 51.11 added September 16, 2022, effective September 17, 2022, 52 Pa.B. 5934.
This section cited in 52 Pa. Code § 51.12 (relating to definitions); and 52 Pa. Code § 69.801 (relating to general).
History
- Authority: The provisions of this § 51.
- Source: The provisions of this § 51.
52 Pa. Code § 51.12 Definitions.
(a) The following words and terms, when used in § § 51.11 and 51.13 (relating to general; and diversity reporting requirement) and in the Commission’s Diversity Policy Statement at 52 Pa. Code § § 69.801—69.809 (relating to diversity at major jurisdictional utility companies—statement of policy), in the context of major jurisdictional utility employees and vendors have the following meanings: Diversity—The attainment of organizational objectives by maximizing the contributions of individuals from every segment of the population including minorities, women, persons with disabilities, LGBTQ and veterans. LGBTQ—Lesbian, gay, bisexual, transgender, queer and questioning—This term also includes gender non-conforming individuals. Major jurisdictional utility—An electric, natural gas, water or wastewater utility whose net plant in service is valued at $10 million or more. Person with disabilities—A person who has a disability as defined in the Americans With Disabilities Act (ADA) (42 U.S.C.A. § 12102—12213). Veteran—A person who meets any veteran category defined in 41 CFR 61-300.2 (relating to what definitions apply to this part?)
(b) The following words and terms, when used in § § 51.11 and 51.13 in the context of major jurisdictional utility employees have the following meanings: Black or African American (not Hispanic or Latino)—A person having origins in any of the black racial groups of Africa. Asian (not Hispanic or Latino)—A person having origins in any of the original peoples of the Far East, southeast Asia, or the Indian subcontinent, including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand and Vietnam. Hispanic or Latino—A person of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin regardless of race. Native American or Alaska Native (not Hispanic or Latino)—A person having origins in any of the original peoples of North and South America (including Central America) and who maintain tribal affiliation or community attachment. Native Hawaiian or Pacific Islander (not Hispanic or Latino)—A person having origins in any of the peoples of Hawaii, Guam, Samoa or other Pacific Islands. Two or more races (not Hispanic or Latino)—A person who identifies with more than one of the five races identified in this section. White (not Hispanic or Latino)—A person having origins in any of the original peoples of Europe, the Middle East or North Africa.
(c) The following words and terms, when used in § § 51.11 and 51.13 and in the Commission’s Diversity Policy Statement at 52 Pa. Code § § 69.801—69.809, in the context of a vendor with whom a major jurisdictional utility does business, have the following meanings, unless the context clearly indicates otherwise: Exempt procurement—A product or service which may be removed from the dollar base used to establish minimum improvement levels, because of the demonstrated unavailability of a minority/women/people with disabilities/LGBTQ/veteran-owned business currently capable of supplying a product or service. the term may also include one or more of the following situations:
(i) The vendor is the original equipment manufacturer.
(ii) The vendor is the only known source of the product or service.
(iii) A plant emergency situation dictates use of a specific vendor.
(iv) The purchase is from an affiliate, corporate parent, or a subsidiary.
(v) Default service procurement and implementation plans under 52 Pa. Code § 54.186 (relating to default service procurement and implementation plans). MBE—Minority-owned business enterprise—A business enterprise that is at least 51% owned by a minority individual or group or individuals; or a publicly-owned business that has at least 51% of its stock owned by one or more minority individuals, and whose management and daily business operations are controlled by these individuals. Minority—Black American, Hispanic American, Native American, Asian-Pacific American or any other socially disadvantaged individual as defined in 13 CFR 124.103 (relating to who is socially disadvantaged?). WBE—Women-owned business enterprise—A business enterprise that is at least 51% owned by a woman or women; or a publicly owned business that has at least 51% of its stock owned by one or more women, and whose management and daily business operations are controlled by one or more women.
The provisions of this § 51.12 added under 66 Pa.C.S. § § 501 and 504.
The provisions of this § 51.1 added September 16, 2022, effective September 17, 2022, 52 Pa.B. 5934.
This section cited in 52 Pa. Code § 69.801 (relating to general); 52 Pa. Code § 69.802 (relating to definitions); and 52 Pa. Code § 69.807 (relating to subcontracting program).
History
- Authority: The provisions of this § 51.
- Source: The provisions of this § 51.
52 Pa. Code § 51.13 Diversity reporting requirement.
(a) Each major jurisdictional utility shall file with the Secretary of the Commission by March 31 of each year, an annual report describing its diversity program activity for the prior year starting January 1 and ending December 31. The annual report shall contain the following elements:
(1) A copy of corporate policy committed to improving diversity in the workplace and in the procurement process.
(2) A description of training implemented on diversity initiatives in employment and in the contract of goods and services.
(3) The demographic composition of the major jurisdictional utility’s workforce, reporting the number of employees by gender, race and ethnicity, LGBTQ, persons with disabilities and veterans, on a form, Demographics of Utility Workforce, to be provided by the Commission.
(4) A description of diversity recruiting strategies.
(5) A description of diversity promotion efforts.
(6) A description of diversity retention efforts.
(7) A brief description of involvement with organizations promoting diversity.
(8) A brief summary of MBEs/WBEs that the major jurisdictional utility contracts with for goods and services. Includes percentage of dollars spent with MBEs/WBEs versus businesses that are not MBEs/WBEs. Exempt procurements are excluded from this summary.
(b) This information and form shall be filed confidentially in conformance with the filing specifications at § 1.32 (relating to filing specifications), at a major jurisdictional utility’s A-docket.
(c) The Commission will use all available remedies to ensure reporting compliance including fines.
(d) Reporting of persons with disability and LGBTQ status shall be confidential and voluntary on the part of the employee.
(e) The information and form filed shall be confidential.
The provisions of this § 51.13 added under 66 Pa.C.S. § § 501 and 504.
The provisions of this § 51.13 added September 16, 2022, effective September 17, 2022, 52 Pa.B. 5934.
This section cited in 52 Pa. Code § 51.12 (relating to definitions); and 52 Pa. Code § 69.801 (relating to general).
History
- Authority: The provisions of this § 51.
- Source: The provisions of this § 51.
Chapter 58 Residential Low-Income Usage Reduction Programs
52 Pa. Code § 58.1 Statement of purpose.
The purpose of this chapter is to require a public utility, as defined in § 58.2 (relating to definitions), to establish a fair, effective and efficient Low-Income Usage Reduction Program (LIURP) for its residential eligible customers. A LIURP that meets the requirements of this chapter is intended to decrease a LIURP participant’s energy usage and public utility bills or to improve health, safety and comfort levels of household members, or both. A reduction in energy usage creates the opportunity for cost savings, which can lessen the incidence and risk of customer payment delinquencies and the attendant public utility costs associated with uncollectible accounts expense, collection costs and arrearage carrying costs. A reduction in the residential demand for energy can also result in cost reductions related to the purchase of fuel or of power for all customers.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.2 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Administrative costs—Expenses not directly related to the provision of program services. The term may include salaries, fringe benefits and related personnel costs for administration, secretarial and clerical support involved in fiscal activities, planning, personnel administration, and the like; office expenses, such as rents, postage, copying and equipment; and other expenses, such as quality control and evaluation expenses, advertising, training and insurance. BCS—Bureau of Consumer Services—The Commission’s bureau with the responsibility to advise the Commission regarding universal service matters including the oversight of the review process of a public utility’s universal service programs. CAP—Customer Assistance Program—A universal service program, as approved by the Commission, that provides payment assistance or pre-program arrearage forgiveness, or both, to a low-income residential customer. CAP shortfall—The difference between the actual tariff rate for jurisdictional residential energy service and the amount charged on a CAP participant’s bill. This term is synonymous with ‘‘CAP credits.’’ CARES—Customer assistance and referral evaluation services—A universal service program, as approved by the Commission, that provides a referral-based approach or a casework approach, or both, to help a payment-troubled customer secure energy assistance funds and other needed services to maximize the customer’s ability to pay utility bills. CBO—Community-based organization—A public or private nonprofit organization that is representative of a community or a significant segment of a community and that works to meet community needs. CNGDO—City natural gas distribution operation—A collection of real and personal assets used for distributing natural gas to retail gas customers owned by a city or a municipal authority, nonprofit corporation or public corporation formed under 66 Pa.C.S. § 2212(m) (relating to city natural gas distribution operations). Under 66 Pa.C.S. § 2212(c), for the purposes of universal service and energy conservation, a CNGDO is subject to the same requirements, policies and provisions applicable to a NGDC. Commission—The Pennsylvania Public Utility Commission. De facto heating—Use of an alternative heating source as the primary heating source when the primary or central heating system is nonfunctioning or public utility service has been terminated. Dwelling—A structure being supplied with residential utility service such as a house, apartment, mobile home or single-metered multiunit under § 56.2 (relating to definitions). EDC—Electric distribution company—A public utility providing jurisdictional electric distribution service as defined in 66 Pa.C.S. § 2803 (relating to definitions). This term is synonymous with ‘‘electronic distribution utility’’ as defined in § 56.2. ESP—Energy service provider—An organization, contractor, subcontractor or public utility representative responsible for providing program services on behalf of a public utility. Eligible customer—A space-heating, space-cooling, water-heating or high-use electric baseload low-income or special needs residential customer who meets the criteria for a public utility’s LIURP, as specified in its approved USECP. Energy audit—An initial assessment of a dwelling performed by an ESP to determine the energy usage and appropriate program services. Energy conservation education—A presentation, workshop, training or instruction in which energy conservation objectives and techniques are explained or presented to a group or an individual. Energy savings—An amount of saved energy determined by comparing the energy usage before the provision of program services and after the provision of program services. FPIG—Federal Poverty Income Guidelines—The income levels published annually in the Federal Register by the United States Department of Health and Human Services. This term is synonymous with ‘‘Federal poverty level.’’ Hardship fund—A universal service program, as approved by the Commission, that provides cash assistance to help eligible customers address energy needs, which may include paying energy bills, restoring public utility service or stopping a termination of public utility service. Health and safety measure—A program measure or repair necessary to maintain and protect the physical well-being and comfort of an occupant of a dwelling or an ESP while performing a LIURP job, or both. Impact evaluation—An evaluation that focuses on the degree to which a universal service program achieves the continuation of utility service to program participants at a reasonable cost level and otherwise meets program goals. Incidental repair—Work necessary to permit the installation of a program measure including a repair to an existing measure to make it operate more effectively. LIHEAP—Low-Income Home Energy Assistance Program—A Federally funded program, administered in this Commonwealth by the Department of Human Services, which provides financial assistance grants to low-income households for home energy bills. LIURP—Low-Income Usage Reduction Program—A universal service program, as approved by the Commission, that provides energy usage reduction services, health, safety and comfort services, conservation education services or a combination of these services for an eligible customer. LIURP budget—The expected cost of providing program services in a given program year, as approved by the Commission. LIURP costs—The amount of LIURP funds spent by the public utility on LIURP under this chapter. LIURP funding mechanism—The process and method by which the public utility recovers its costs of providing approved program services. LIURP funds—The proceeds recovered through a public utility’s LIURP funding mechanism to recover LIURP costs. LIURP job—The act of providing program services to a dwelling by an ESP, which can include an energy audit, installation or modification of program measures, energy conservation education and inspecting the dwelling for efficiency upon completion. Low-income customer—A residential public utility customer whose annual gross household income is at or below 150% of the FPIG. NGDC—Natural gas distribution company—A public utility providing jurisdictional natural gas distribution service as defined in 66 Pa.C.S. § 2202 (relating to definitions). This term is synonymous with ‘‘natural gas distribution utility (NGDU),’’ as defined in § 56.2. This term includes a regulated CNGDO for universal service and energy conservation purposes under 66 Pa.C.S. § 2212(c). Payment-troubled customer—A customer who has an arrearage or has failed to maintain one or more payment arrangements in a 1-year period. Pilot program—A program, as approved by the Commission, to operate within the public utility’s LIURP, to develop, implement and evaluate new or innovative methods for achieving the purposes of this chapter. Post-installation inspection—An assessment performed by an ESP to determine the efficacy of program measures installed at a dwelling. Program measure—An installation and other work performed on a dwelling under this chapter. Program service—A service offered or work performed by a public utility or its ESP under this chapter. Program year—The calendar year period beginning January 1 and ending on December 31. Public utility—
(i) An EDC with at least 60,000 residential customers.
(ii) An NGDC with at least 100,000 residential customers. Residential high-use electric baseload customer—A residential customer using electric service from the EDC for purposes other than space-heating, space-cooling or water-heating. Residential space-heating or space-cooling customer—A residential customer using the electric or natural gas service provided by the public utility as the primary heating source or primary cooling source for the dwelling. Residential water-heating customer—A residential customer using the electric or natural gas service provided by the public utility to provide water-heating as the primary heating source for the dwelling. Special needs customer—A customer with household income between 151% and 200% of the FPIG who meets additional criteria specified in a public utility’s approved USECP. The additional criteria may include requiring that one or more household members meet any of the following criteria:
(i) Are 62 years of age and over or 5 years of age and under.
(ii) Have a disability.
(iii) Are under a protection from abuse order or other court order that contains clear evidence of domestic violence. USAC—Universal service advisory committee—A group of stakeholders who meet at least semiannually, receive universal service program updates and provide feedback on proposed public utility USECP initiatives. USECP—Universal service and energy conservation plan—A documented and Commission-approved plan assessing the need for assistance in a public utility’s service territory and describing the benefits, policies, procedures and budgets related to the public utility’s universal service and energy conservation programs under § § 54.74(b) and 62.4(b) (relating to universal service and energy conservation plans). Universal service programs—The policies, protections and services that a public utility is required to offer under 66 Pa.C.S. § § 2203(8) and 2804(9) (relating to standards for restructuring of natural gas utility industry; and standards for restructuring of electric industry) to help low-income customers maintain public utility service and conserve energy. This term is synonymous with ‘‘universal service and energy conservation programs’’ and includes payment assistance programs, termination of service protections, energy usage reduction programs and consumer education programs. LIURP, CAP, CARES and hardship fund are the four mandatory universal service program components of a public utility’s USECP; other programs are permissible if approved in a Commission proceeding. Weatherization—The process of modifying a dwelling to reduce energy consumption and improve energy efficiency.
This section cited in 52 Pa. Code § 58.1 (relating to statement of purpose); 52 Pa. Code § 58.4 (relating to LIURP budgets); 52 Pa. Code § 58.5 (relating to administrative costs); 52 Pa. Code § 58.7 (relating to integration); and 52 Pa. Code § 58.8 (relating to tenant household eligibility).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.3 Establishment and maintenance of a residential LIURP.
A public utility shall establish and maintain a LIURP for its eligible customers.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.4 LIURP budgets.
(a) {Reserved}.
(a.1) General.
(1) A public utility shall include proposed annual LIURP budgets for the term of a proposed USECP that is filed with the Commission for review and approval.
(2) Upon approval of the USECP by the Commission, the public utility shall continue providing program services at the LIURP budget levels approved in the USECP until the LIURP budget is revised in a future Commission proceeding.
(a.2) Special needs customers. A public utility may spend up to 25% of its annual LIURP budget on eligible special needs customers as defined in § 58.2 (relating to definitions).
(b) {Reserved}.
(c) Guidelines for establishing or revising a LIURP budget. A public utility’s LIURP funding level shall be computed based upon the following factors:
(1) The estimated number of customers by FPIG levels identified through census data:
(i) 0%—50%.
(ii) 51%—100%.
(iii) 101%—150%.
(iv) 151%—200%.
(2) The number of confirmed low-income customers by FPIG levels:
(i) 0%—50%.
(ii) 51%—100%.
(iii) 101%—150%.
(iv) 151%—200%.
(3) The number of special needs customers.
(4) The number of eligible confirmed low-income customers that could be provided program services. The calculation shall take into consideration the number of customer dwellings that have already received, or are not otherwise in need of, program services.
(5) The number of eligible special needs customers that could be provided program services. The calculation shall take into consideration the number of customer dwellings that have already received, or are not otherwise in need of, program services.
(6) The expected customer participation rates for eligible customers. Expected participation rates shall be based on the number of eligible confirmed low-income customers and historical participation rates.
(7) The total expense of providing program services, including costs of program measures, energy conservation education and training expenses and prorated expenses for LIURP administration.
(8) A plan for providing program services to eligible customers within a reasonable period of time, with consideration given to ESP capacity necessary for provision of services, including time and materials, and the impact on public utility rates.
(d) {Reserved}.
(d.1) Unspent LIURP funds. A public utility shall annually reallocate unspent LIURP funds to the LIURP budget for the following program year unless an alternate use is approved by the Commission. An alternate use may include using unspent LIURP funds to provide program services to eligible customers with household income up to 250% of the FPIG.
(e) Recovery of LIURP costs.
(1) LIURP costs incurred by a public utility are to be funded by a nonbypassable, competitively neutral cost mechanism under 66 Pa.C.S. § 2203 (relating to standards for restructuring of natural gas utility industry) or under 66 Pa.C.S. § 2804 (relating to standards for restructuring of electric industry) allotted among ratepayers. The precise method of allocation between capital and expense accounts shall be determined in future rate proceedings.
(2) Recovery of LIURP costs will be subject to Commission review of the prudence and effectiveness of a public utility’s administration of its LIURP.
(3) The LIURP funding mechanism and the allocation between capital and expense accounts will be determined in a public utility’s rate proceeding.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.5 Administrative costs.
(a) LIURP administrative costs. A public utility may not spend more than 15% of its annual LIURP budget on administrative costs, as defined in § 58.2 (relating to definitions).
(b) LIURP pilot program administrative costs. The administrative costs associated with an approved pilot program are exempt from the 15% cap on LIURP administrative costs. A public utility shall track the administrative costs of a pilot program separately from the other costs of the pilot program.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.6 Consultation.
A public utility, when developing a proposal to modify its LIURP design or developing a pilot program, shall consult with its USAC and persons and entities with experience in the design or administration of usage reduction, energy efficiency and weatherization programs. Persons and entities consulted may also include past recipients of weatherization services, social service agencies and community groups.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.7 Integration.
(a) {Reserved}.
(b) A LIURP shall be designed to operate in conjunction with the public utility’s other universal service programs as defined in § 58.2 (relating to definitions) and other relevant public or private programs that provide energy assistance or similar assistance to the community. The public utility shall provide direct assistance or arrange third-party assistance for LIURP participants applying for LIHEAP as defined in § 58.2 and other energy assistance programs, based on income-eligibility.
(c) {Reserved}.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.8 Tenant household eligibility.
(a) Tenant household. An eligible customer who is a tenant that resides at a dwelling, as defined in § 58.2 (relating to definitions), shall have an equal opportunity to receive program services.
(1) A tenant household may be eligible for the installation of program measures if the landlord has granted permission to the public utility by verbal, written or electronic means and the public utility documents the landlord’s consent for the ESP to perform work on the dwelling. A public utility shall provide a copy of the landlord’s documented consent form to the landlord and to the tenant household.
(2) If the landlord does not grant permission for the installation of program measures, the tenant household remains eligible for baseload measures and energy conservation education that do not require landlord permission.
(b) Landlord contributions. A public utility may seek landlord contributions. A public utility may not refuse to provide program services to an eligible tenant household because the landlord refuses to make a contribution. Contributions from landlords shall be used by the public utility to supplement its approved LIURP budget. The public utility shall report landlord contributions under § 58.15a (relating to LIURP reporting and evaluation).
(c) Tenant household protections. A public utility shall require a landlord to agree that rent for the dwelling unit that receives program measures will not be raised unless the increase in rent is solely related to matters other than the installation of the program measures and that the tenant household will not be evicted for a stated period of time of at least 12 months after the installation of the program measures unless the tenant household fails to comply with ongoing obligations and responsibilities owed the landlord.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.9 LIURP outreach.
(a) A public utility shall, at least annually, review its customer records to identify customers who appear to be eligible for LIURP and provide a targeted communication with a description of program services and eligibility rules to each customer identified through this procedure so as to solicit applications for consideration of program services. A copy of this notice shall also be provided to its USAC. A public utility shall additionally make this notice available in a language other than English when census data indicates that 5% or more of the residents in the public utility’s service territory are using the other language. A public utility shall consult with its USAC at least annually to identify other language needs and consider providing public service announcements regarding its LIURP in media outlet sources, such as print, broadcast and social media platforms.
(1) {Reserved}.
(2) {Reserved}.
(3) {Reserved}.
(b) If, after implementing notice requirements of subsection (a), additional funding resources remain, the public utility shall attempt to make additional contact with eligible customers who have not responded to earlier LIURP outreach announcements.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.10 Prioritization of program services.
(a) A public utility shall prioritize the offering of program services to eligible customers in the following order:
(1) Among eligible customers, those with the largest energy usage and greatest opportunities for public utility bill reductions relative to the cost of providing program services, including CAP shortfall, shall be offered program services first. Prioritization criteria include the following:
(i) When prioritizing eligible customers by usage level, several factors shall be considered when feasible. These factors may include the following:
(A) The size of the dwelling.
(B) The number of occupants.
(C) The number of consecutive months of public utility service at the dwelling.
(D) The opportunity for coordination with other available programs.
(E) The end uses of the public utility service.
(ii) When prioritizing eligible customers by opportunities for public utility bill reductions, a public utility may also consider factors that tend to facilitate public utility bill reductions.
(2) Among customers with the same standing with respect to paragraph (1), when feasible, priority shall be given to customers in the following sequence:
(i) Customers in CAP with the largest in-program arrearage as a percentage of their household income.
(ii) Non-CAP customers with the largest arrearage as a percentage of their household income.
(3) Among the customers with the same standing with respect to paragraph (2), those with incomes at the lowest FPIG level shall be offered program services first.
(b) An EDC shall use the prioritization provisions in this section to determine the amount of its annual LIURP budget to be allocated for program services available to electric residential space-heating or space-cooling customers, electric residential water-heating customers and residential high-use electric baseload customers.
(c) {Reserved}.
(d) A public utility may not restrict participation in LIURP to customers enrolled in a CAP. If a customer is CAP-eligible, participation in CAP shall be encouraged but not required to receive program services.
(e) A public utility shall document its prioritization protocols in its USECP.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.11 Energy audit.
(a) If a LIURP applicant is eligible to receive program services, the public utility shall arrange for an energy audit to be performed by an ESP to determine if the installation of program measures or if the provision of other program services or if both would be appropriate.
(b) {Reserved}.
(c) To evaluate whether the installation of program measures on a dwelling is appropriate, the energy audit shall determine whether both of the following apply:
(1) A program measure is not already present or is not performing effectively.
(2) The total estimated energy savings would exceed the cost of installation of all program measures over the expected lifetime of those program measures.
(d) Notwithstanding subsection (c), a public utility may determine that providing a program measure is necessary for the long-term health, safety and comfort levels for the occupants regardless of the estimated energy savings.
This section cited in 52 Pa. Code § 58.14 (relating to program measure installation).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.11a Fuel switching.
LIURP funds may be used for program measures that involve fuel switching between electric and natural gas when the public utility provides both electric and natural gas utility service to the LIURP participant.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.12 Incidental repairs and health and safety measures.
(a) Criteria and services. A public utility shall identify in its USECP the criteria used for performing incidental repairs and health and safety measures as follows:
(1) Incidental repairs. Expenditures on program measures may include incidental repairs to the dwelling needed to make those program measures operate effectively.
(2) Health and safety measures. These measures may include installing smoke alarms or carbon monoxide detectors, performing combustion testing and identifying and remediating potential hazards such as knob and tube wiring, mold, asbestos and moisture.
(b) Allowances. A public utility shall establish separate allowance limits for incidental repairs and for health and safety measures, approved through a Commission proceeding.
(c) Deferral. A public utility may defer a dwelling due to health, safety or structural problems or a combination of these problems that either do not meet the criteria or exceed the maximum budget allowances for incidental repairs or health and safety measures and the deferral problems cannot be addressed through coordination with other available programs. The following apply:
(1) If deferral is necessary, the public utility shall inform the customer in writing of the conditions that must be met for program services to be installed and provide the customer with referral assistance to organizations or other programs that can address the deferral condition or conditions, if these resources are known to be available.
(2) A public utility shall track and maintain a list of dwellings deferred and the reason for the deferral within the past 3 years. This information shall be reported under § 58.15a (relating to LIURP reporting and evaluation).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.13 Energy conservation education.
(a) Applicability. A public utility shall provide energy conservation education services to LIURP recipients so that maximum energy savings can be derived from the installation of program measures and through the modification of energy-related behavior, including water consumption. Energy conservation education should also address regular utility bill payment behavior, and the public utility shall provide direct assistance to each customer who receives program services in making application to secure available energy assistance funds.
(b) LIURP budget. The portion of the LIURP budget allocated for energy conservation education services shall be sufficient to provide these services to each customer who receives other program services. Energy conservation education programs that have average costs which exceed $150 per program recipient household shall be submitted for review and approval through a Commission proceeding.
(c) {Reserved}.
(d) Program services. The energy conservation education services described in this chapter include activities designed to produce voluntary conservation of energy on the part of eligible customers. A public utility shall take reasonable steps to provide energy conservation education activities in the language or the method of communication appropriate to its target audience. The activities shall include, but need not be restricted to, any of the following:
(1) Group presentations. Meetings involving recipients of program measures and other customers at which energy conservation objectives are explained and possible program measures are described and, when appropriate, demonstrated.
(2) Workshops. Group presentations at which, in addition to receiving explanations of energy conservation objectives, recipients of program measures and other customers are taught to install selected program measures.
(3) In-home presentations. Consultations held in the dwelling between a person supplying energy conservation education services and the owner, landlord or tenant of the dwelling. The presentations may include the explanation of energy conservation objectives, the participation of the owner, landlord or tenant in the installation of selected program measures or other activities designed to produce voluntary reductions in energy use.
(4) Post-installation education. Energy conservation education shall be provided by phone or in person to recipients of program measures under § 58.14a(f) (relating to quality control).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.13a LIURP pilot programs.
(a) Public utilities may propose LIURP pilot programs that offer innovative services that may include any of the following:
(1) Energy conservation education.
(2) Renewable energy sources.
(3) Fuel switching.
(4) Air conditioning.
(5) De facto heating.
(b) A public utility shall attempt to coordinate pilot program-related services among EDC and NGDC universal service programs and other community resources.
(c) A public utility shall seek approval through a Commission proceeding before establishing or changing a pilot program, discontinuing a pilot program early or incorporating the provisions of a pilot program as a regular component of its LIURP.
(d) The duration of an approved pilot program shall not exceed 5 years after implementation without express approval of the Commission.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.14 Program measure installation.
(a) Based on the results of the energy audit conducted under § 58.11 (relating to energy audit), a public utility shall install or arrange for the installation of applicable program measures designed to reduce public utility bills, usage or demand for space-heating, space-cooling, water-heating or baseload end uses which may include any of the following:
(1) For residential space-heating or space-cooling customers, applicable program measures may include the installation of insulation, furnace replacement or furnace efficiency modifications, programmable thermostats, infiltration measures designed to reduce the flow of air through the building envelope or the repair or replacement of chimneys, windows, exterior doors, service lines, air conditioner installations or replacements or efficiency improvement and other major appliance replacements or retrofits or efficiency improvements.
(2) For residential water-heating customers, program measures may include any of the following:
(i) Installation of control devices on water heaters or other major appliances.
(ii) Installation, repair or replacement of water heater insulation and pipe insulation.
(iii) Installation of devices reducing the flow of hot water in showers, faucets or other equipment.
(3) For residential high-use electric baseload customers, applicable program measures may include lighting efficiency modifications, refrigeration replacements or efficiency improvements, repairing or replacing water heaters which do not provide primary heating for the dwelling, air conditioner installations or replacements or efficiency improvements and other major appliance replacements, retrofits or efficiency improvements.
(b) {Reserved}.
(c) {Reserved}.
(d) A public utility shall warranty program measures installed in a dwelling, for a minimum of 1 year, covering labor and materials.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.14a Quality control.
(a) A public utility shall establish quality control standards for the installation of program measures and shall document in its USECP the quality control standards that it is using to evaluate both the work of the ESP and the performance of the program measures.
(b) A public utility shall schedule post-installation inspections on a minimum of 10% of completed full cost space-heating LIURP jobs and on a minimum of 5% for other LIURP jobs where program measures are installed for each ESP.
(c) A public utility shall establish procedures for the installation of program measures and the post-installation inspections and shall document them in its USECP.
(d) A public utility shall establish a process for a customer to file a complaint about the quality of work, workmanship or serviceability of the ESP and shall document the complaint process in its USECP.
(e) A public utility may not use the ESP that installs program measures at a dwelling to conduct the post-installation inspection of those program measures.
(f) When energy usage by a recipient of program measures increases by more than 15% within the first 12 months post-installation, the public utility shall contact the recipient to determine the reason for increase in energy usage. The public utility shall determine whether to schedule a follow-up inspection to confirm the program measures are working properly.
(g) A public utility shall ensure that an ESP documents each of the following:
(1) Post-installation inspection results.
(2) Follow-up program services if provided.
(h) A public utility shall retain quality control documentation for a minimum of 4 years or until the impact evaluation is completed, whichever is later.
This section cited in 52 Pa. Code § 58.13 (relating to energy conservation education).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.14b Use of an ESP for program services.
(a) A public utility electing not to provide program services directly shall use qualified ESPs selected through a competitive bidding process.
(b) Third-party ESP qualifications must include, at least, the following:
(1) Demonstrated experience and effectiveness in the administration and provision of energy efficiency and usage reduction services.
(2) Certification, as appropriate to the program services to be rendered, by an accredited certifying entity.
(3) Proof of appropriate and sufficient insurance, as determined by the public utility.
(4) Attestation that workmanship and materials will be covered under a minimum 1-year warranty.
(c) A public utility which outsources program services shall contract with multiple ESPs if possible and shall file and serve a justification if selection is limited to one ESP.
(d) A public utility may prioritize contracting with CBOs that meet its ESP qualifications.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.14c Inter-utility coordination.
(a) A public utility shall pursue coordination of its program-related services, trainings, outreach and resources with other public utilities’ LIURPs and with other conservation programs or energy assistance programs.
(b) Coordinated program services may include an energy audit and post-installation inspection.
(c) Inter-utility billing arrangements shall be stated in a contract between coordinating public utilities. The contract shall specify costs to be covered and LIURP measures to be installed under this section. A public utility may choose to absorb in its LIURP budget the labor and materials cost for the coordinated program measures it provides.
(d) Costs associated with inter-public utility trainings and coordinated trainings or outreach shall be counted as administrative costs and may not exceed 1% of the public utility’s total LIURP budget annually.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.15a LIURP reporting and evaluation.
A public utility shall be responsible for the ongoing reporting and evaluation of its LIURP, including compiling and reporting information requested by the Commission on an annual basis. At a minimum, the following data and analyses regarding its LIURP shall be provided:
(1) Actual LIURP production and spending data for the recently completed program year and projections for the current program year by February 28, consistent with § § 54.75 and 62.5 (relating to annual residential collection and universal service and energy conservation program reporting requirements).
(2) Universal service program data by April 1, consistent with § § 54.75 and 62.5.
(3) Statistical data on LIURP jobs completed in the preceding program year by April 30. The statistical data shall be filed at the public utility’s current USECP docket and include all of the following:
(i) The number of LIURP jobs, including all of the following:
(A) The number and type of dwelling.
(B) The number of each job type completed.
(C) The number of fuel-switching jobs.
(D) The number of deferred dwellings and deferral reasons.
(E) The number of inter-utility coordinated LIURP jobs.
(F) The number of LIURP jobs coordinated with other weatherization programs.
(ii) The total LIURP costs, including all of the following:
(A) Material and labor costs of measures installed.
(B) Administrative costs.
(C) Inter-utility trainings.
(D) Coordinated trainings and outreach.
(E) Health and safety.
(F) Incidental repairs.
(G) Energy conservation education.
(iii) Overall percentage of the following:
(A) Energy usage reduction.
(B) Energy usage reduction by job type.
(iv) The total number and costs of the following:
(A) CAP households served.
(B) Special needs households served.
(v) For each LIURP pilot program, include all of the following:
(A) The budget and actual spending.
(B) Number of jobs by job type.
(C) Duration of the pilot.
(D) Results of the pilot.
(E) Measures implemented through the pilot.
(vi) An explanation if more than 10% of the annual LIURP budget remains unspent.
(vii) The total of all of the following:
(A) Number of LIURP jobs that received a landlord contribution.
(B) Aggregate dollar amount of all landlord contributions for the program year.
(4) Evaluation data and analysis of LIURP jobs by April 30, including periods covering pre-installation and post-installation of program measures ending in the preceding program year. The evaluation data and analysis shall be submitted in compliance with the reporting instructions provided to public utilities electronically by the Commission’s Bureau of Consumer Services each year and include the following information, broken out by job type:
(i) Energy savings and load management impacts of program services.
(ii) Changes in customer utility bills.
(iii) Payment behavior and account balances.
(iv) Household demographic data at the time of LIURP qualification.
This section cited in 52 Pa. Code § 54.75 (relating to annual residential collection and universal service and energy conservation program reporting requirements); 52 Pa. Code § 58.8 (relating to tenant household eligibility); 52 Pa. Code § 58.12 (relating to incidental repairs and health and safety measures); and 52 Pa. Code § 62.5 (relating to annual residential collection and universal service and energy conservation program reporting requirements).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.16 Advisory committee.
(a) Committee. A public utility shall create and maintain a USAC that meets at least semiannually with stakeholders to consult on program services.
(b) Committee participants. Participants of a public utility’s USAC may include the following:
(1) Recipients of program measures and representatives from social service agencies, from community groups and from agencies or companies which administer or install program measures.
(2) Representatives from other groups or agencies which may be able to offer reasonable advice regarding program services.
(c) {Reserved}.
(d) {Reserved}.
(e) {Reserved}.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.17 Modifications of a LIURP.
A public utility may not establish, implement or modify its LIURP until the public utility has received Commission approval for the proposal.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.18 Waiver.
A public utility alleging special circumstances may petition the Commission to waive a provision in this chapter, under § 1.91 (relating to applications for waiver of formal requirements).
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
52 Pa. Code § 58.19 Temporary suspension of program services.
(a) A public utility shall notify the Commission at its current USECP docket if it needs to suspend all or part of its program services for 30 days or longer. Notice shall be filed and served prior to suspension of program services or within 5 days after suspension of program services if prior notice was not possible. The notice shall include the reason for suspension and the estimated timeline for resumption of program services. The notice shall also be served on BCS.
(b) A public utility that has suspended its program services under subsection (a) shall file and serve monthly status updates at its current USECP docket. The status updates shall include an estimated timeline for resumption of program services and shall also be served on BCS.
History
- Authority: The provisions of this Chapter 58 issued under 66 Pa.
- Source: The provisions of this Chapter 58 adopted January 15, 1993, effective January 16, 1993, 23 Pa.
Chapter 59 Gas Service and Hazardous Liquid Service
52 Pa. Code § 59.1 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Class A meter—A diaphragm displacement meter having a rated capacity of not more than 500 cubic feet per hour at 1/2 inch water column differential pressure and operating at a gauge pressure of not more than 15 pounds per square inch and not greater than the maximum pressure rating of the meter expressed in pounds per square inch. Class B meter—A diaphragm displacement meter having a rated capacity of more than 500 cubic feet but not more than 1,500 cubic feet per hour at 1/2 inch water column differential pressure and operating at a gauge pressure of not more than 15 pounds per square inch and not greater than the maximum pressure rating of the meter expressed in pounds per square inch. Class C meter—A diaphragm displacement meter having a rate capacity of more than 1,500 cubic feet per hour at 1/2 inch water column differential pressure or a displacement meter operating on a gauge pressure of more than 15 pounds per square inch gauge, regardless of rated capacity. Combined percentage of error—The sum of the percentage of errors of a meter and its associated instrument or auxiliary device. Cubic foot of gas—According to purpose, as follows:
(i) Testing. For the purpose of testing gas, that amount of gas which, if saturated with water vapor at a temperature of 60° F and subjected to an absolute pressure equal to 30 inches of mercury at 32° F (14.73 pounds per square inch), occupies a volume of one cubic foot.
(ii) Measurement of low pressure. For the purpose of measurement of gas to a customer taking gas at standard service pressure, that amount of gas which occupies a volume of 1 cubic foot at the time metered and under the conditions existing at the meter of the customer; except that where a temperature compensating device is built into the meter and the utility has received Commission approval for its use, the term means that quantity of gas which, at the pressure existing at the meter and the temperature corrected to 60° F, occupies one cubic foot.
(iii) Measurement of high or medium pressure. If gas is supplied to customers through orifice or other type meters at pressures above standard service pressure, that amount of gas which at an absolute pressure of 14.73 pounds per square inch occupies a volume of 1 cubic foot at the temperature base contracted for or established by the utility. Temperature correction, if made, shall be to 60° F. Customer—A party supplied with gas service by a public utility. Customer meter—A customer meter is the meter that measures the transfer of gas from an operator to a consumer. Distribution line—A pipeline other than a gathering or transmission line. Fast meter—A meter which upon test has an average error exceeding 2.0% fast. Fast meter ratio—The ratio which the number of fast meters found upon test in a given year bears to the total number of meters tested in that year. Meters permanently retired from service shall be excluded from both the numerator and denominator of this ratio. First immediately preceding year—The calendar year immediately preceding the testing year. Gathering line—A pipeline that transports gas from a current production facility to a transmission line or main. High pressure—The gas pressure, expressed in pounds per square inch gauge pressure (p.s.i.g.) in excess of 60 pounds. Low pressure—Operating pressure, generally expressed in inches, which does not exceed 27.68 inches water column (one pound). LNG—Liquefied natural gas—A natural gas or synthetic gas having methane (CH4) as its major constituent which has been changed to a liquid or semisolid. LNG facility—A pipeline facility that is used for liquefying or solidifying natural gas or synthetic gas or transferring, storing or vaporizing liquefied natural gas. Main—A distribution line that serves as a common source of supply for more than one service line. Medium pressure—The gas pressure, expressed in pounds per square inch gauge pressure (p.s.i.g.) between one and 60 pounds, and normally reduced by one regulator. P.S.I.G.—Pounds per square inch gauge. Pipeline—All parts of those physical facilities through which gas moves in transportation, including pipe, valves and other appurtenance attached to pipe, compressor units, metering stations, regulator stations, delivery stations, holders and fabricated assemblies. Pressure designations—‘‘Low pressure,’’ ‘‘medium pressure,’’ or ‘‘high pressure,’’ as defined in this section. Public utility—Persons or corporations owning or operating in this Commonwealth equipment or facilities for producing, generating, transmitting, distributing, or furnishing gas for the production of light, heat, or power to or for the public for compensation. The term does not include a producer or manufacturer of gas not engaged in distributing the gas directly to the public for compensation. Public utility service line—The pipe and appurtenances of the public utility which connect any main with either the point of connection of a service line of the customer if the line is provided by the customer in accordance with the rules and regulations of the public utility, or the meter of the public utility if the utility owns all the pipe and appurtenances between its main and meter. SMYS—Specified minimum yield strength:
(i) For steel pipe manufactured in accordance with a listed specification, the yield strength specified as a minimum in that specification.
(ii) For steel pipe manufactured in accordance with an unknown or unlisted specification, the yield strength determined in accordance with 49 CFR 192.107(b) (relating to yield strength). Service line—A distribution line that transports gas from a common source of supply to a customer meter or the connection to a customer’s piping, whichever is further downstream, or the connection to a customer’s piping if there is no customer meter. Slow meter—A meter which upon test has an average error exceeding 2.0% slow. Slow meter ratio—The ratio which the number of slow meters found upon test in a given year bears to the total number of meters tested in that year. Meters permanently retired from service shall be excluded from both the numerator and denominator of this ratio. Standard service pressure—The distribution pressure established by a public utility under the provisions of § 59.29 (relating to gas pressure requirements for low-pressure distribution systems). Testing year—The calendar year for which a public utility seeks to apply an extended test schedule. Test period—The maximum permitted time between the installation of a previously tested meter and the next test or between an in-place test and the next test. Third immediately preceding year—The calendar year immediately preceding the second immediately preceding year. Transmission line—A pipeline, other than a gathering line that does one of the following:
(i) Transports gas from a gathering line or storage facility to a distribution center or storage facility.
(ii) Operates at a hoop stress of 20% or more of SMYS
(iii) Transports gas within a storage field.
The provisions of this § 59.1 issued and amended under Public Utility Code,66 Pa.C.S. § § 501, 1301, 1304, 1501, 1502, 1504, 1507 and 1508.
The provisions of this § 59.1 amended through May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901; amended July 3, 1997, effective August 4, 1997, 27 Pa.B. 3215; amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial pages (232248) to (232251).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.11 Accidents.
(a) General. Each public utility shall submit a report of each reportable accident involving the facilities or operations of the public utility in this Commonwealth as provided in this section. The reports shall be addressed to the Secretary of the Commission.
(b) Reportable accidents. Reportable accidents are those involving utility facilities or operations which result in one or more of the following circumstances:
(1) The death of a person.
(2) Injury to a person sufficient that the injured person requires immediate treatment at a hospital emergency room or in-patient admittance to a hospital, or both.
(3) An event that involves a release of gas from a pipeline or of LNG or gas from an LNG facility, which results in estimated property damage, including the cost of gas lost of the operator or others, of at least $50,000 in market value.
(4) An event that results in an emergency shutdown of an LNG facility.
(5) An occurrence of an unusual nature that is a physical or cyber attack, including attempts against cyber security measures as defined in Chapter 101 (relating to public utility preparedness through self certification) which causes an interruption of service or over $50,000 in damages, or both.
(c) Exceptions. Injuries, as defined in subsection (b)(1) and (2), may not include those suffered as a result of a motor vehicle accident with utility facilities unless one or both of the following circumstances apply:
(1) A vehicle involved in the accident is owned by the utility or driven by a utility employee while on duty.
(2) Some or all of the injuries were as a result of contact with natural gas facilities transporting or storing natural gas or due to gas escaping from natural gas facilities.
(d) Telephone reports. A report by telephone shall be made immediately after the utility becomes aware of the occurrence of a reportable accident under subsection (b)(1), (3), (4) and (5). A report by telephone shall be made within 24 hours after the utility becomes aware of a reportable accident under subsection (b)(2).
(e) Written reports. A written report shall be made on Form UCTA-8 within 30 days of the occurrence of a reportable accident. For reportable accidents under subsection (b)(5), a utility may remove from Form UCTA-8 information that would compromise the security of the utility or hinder an active criminal investigation. Accidents reportable on forms required by the Bureau of Workers’ Compensation, Department of Labor and Industry, or the United States Department of Transportation, Pipeline and Hazardous Materials Safety Administration, may be reported to the Commission by filing a copy of the forms in lieu of a report on Form UCTA-8, as long as the alternative forms, at a minimum, provide the following information:
(1) The utility name.
(2) The date of the reportable accident.
(3) The date of the report.
(4) The location where the reportable accident occurred.
(5) The name, age, residence and occupation of the injured or deceased parties.
(6) The general description of the reportable accident.
(7) The name and telephone number of the reporting officer.
(f) Form availability. Blank UCTA-8 forms are available for download on the Commission’s web site.
(g) Reports not exclusive. The reporting under this chapter is not limited to the requirements in this section and does not limit requests for additional information.
The provisions of this § 59.11 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.11 amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050; amended January 6, 2012, effective January 7, 2012, 42 Pa.B. 9. Immediately preceding text appears at serial pages (246407) to (246408).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.12 Interruptions of service.
(a) Records. Each public utility shall keep a record which shall include data showing the time, duration and cause of each interruption of service affecting its entire system or a major division of its system.
(b) Notification to customers. Each customer who may be affected shall be notified prior to starting work which will result in an interruption of his service.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.13 Complaints.
(a) Investigations. Each public utility shall make a full and prompt investigation of complaints made to it or through the Commission by its customers.
(b) Records of complaints. Each public utility shall preserve written or recorded service complaints showing the name and address of the complainant, the date and character of the complaint, and the adjustment or disposal made of the complaint. Records required by this chapter shall be kept within this Commonwealth at an office or offices of the utility located in the territory served by it, and shall be open for examination by the Commission or its staff.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.14 Changes in residential or commercial service.
If any substantial change is made by a public utility in gas composition, gas pressure or other service conditions which would affect efficiency of operation or require adjustment of the appliances of residential or commercial customers in the area affected, the appliances shall be inspected and, if necessary, adjusted, without charge by the utility, to meet the new conditions.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.15 Measurement of gas at higher than standard service pressure.
(a) Pressure-recording equipment. If gas is measured to customers through displacement meters at a pressure greater than standard service pressure, the meters shall be equipped with reliable pressure-volume recording gauges or other devices for accurately determining the quantity of gas which has passed through the meter in accordance with contract or tariff provisions.
(b) Determination of multiplier. In computing the volume of gas at a given pressure base from a pressure-volume chart, the multiplier shall be obtained by the weighted average method, which consists of determining the average pressure for each indicated unit volume on the chart.
(c) Fixed pressure factor measurement. If the gas metering pressure can be maintained at a constant level so that it will not vary by more than plus or minus 1.0% of the absolute metering pressure, the quantity of gas corrected for pressure for billing purposes may be determined by multiplying the uncorrected volume by the factor of Metering Pressure Plus Atmospheric Pressure Divided by Base Pressure or by a special index with gearing to perform this calculation. The special index shall meet the specifications of ANSI Standard B109.1, § 6.2 (1986) or ANSI Standard B109.1, § 6.9 (1986). The ability of the regulator to maintain the constant pressure shall be verified at or prior to installation. Verification will be established by the use of a verified pressure-indicating gauge (accuracy: ANSI B40.1 Grade 3A), or a pressure-recording gauge, at both high and low flow conditions. When customer load is measured with a meter with a rated capacity of 1,500 cubic feet per hour or less, with metering pressure less than 3 psig, the performance of the regulator shall be verified in accordance with the test schedule of the downstream meter, established under § 59.21 (relating to meter tests). When customer load is measured with a meter with a capacity of over 1,500 cubic feet per hour or metering pressure of 3 psig or more, the performance of the regulator shall be verified at least every 5 years, except that those installed before January 1, 1990, shall be verified at least every 2 years.
(d) Determination of static and differential pressure. In computing the volume of gas at a given pressure base from an orifice meter chart, the average static pressure and the average differential pressure shall be determined for periods not exceeding 1 hour. If pressure variations are extreme during the hour, the average shall be determined for 15-minute intervals.
(e) Mechanical devices. Mechanical devices may be substituted for the method of computing orifice meter charts set forth in this section.
The provisions of this § 59.15 issued and amended under Public Utility Code,66 Pa.C.S. § § 501, 1301, 1304, 1501, 1502, 1504, 1507 and 1508.
The provisions of this § 59.15 amended through September 17, 1982, effective September 18, 1982, 12 Pa.B. 3291; amended December 20, 1991, effective January 21, 1992, 21 Pa.B. 5817; amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial pages (232252) to (232253).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.16 Use of meters.
(a) Gas sold. Gas sold by a public utility shall be charged for by meter measurement, except in case of emergency, flat-rate street lighting, or if otherwise authorized by the Commission.
(b) Other gas. Other gas, either used by a public utility or furnished to others, shall be metered and a record of the meter measurement made, unless otherwise authorized by the Commission.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.17 Furnishing of meters and regulations.
(a) Installation. Except as provided in § 59.31 (relating to service from production or transmission lines), a public utility shall provide and install at its own expense and shall continue to own, maintain and operate equipment necessary for the regulation and measurement of gas furnished to its customers. If meters or regulators not required by this section are furnished by the utility for the convenience of the customer, a reasonable charge for the meters or regulators may be made. Nothing in this subsection may be construed to require the utility to install regulating equipment on any gas piping system of a customer beyond the point of delivery at the meter outlet of the utility.
(b) Excess pressure protection. If gas is supplied from a high or medium pressure distribution system and the pressure is reduced to standard service pressure for use by the customer, the installation shall be provided with adequate over-pressure protection to prevent the pressure from exceeding 2 pounds per square inch in installations made on or before May 1, 1986, and the safe operating pressure for connected and properly adjusted gas utilization equipment in installations made after that date, in the event of a pressure regulator of failure.
The provisions of this § 59.17 amended May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901. Immediately preceding text appears at serial page (73203).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.18 Meter, regulator and service line location.
(a) General requirements for meter and regulator location.
(1) Unless otherwise allowed or required in this section, meters and regulators must be located outside and aboveground.
(2) Except in the case of an emergency, a utility shall provide written notice to a utility customer by first class mail or by personal delivery at least 30 days prior to relocating and subsequently installing a meter or regulator outside the customer’s building. The notice must request that if the customer is not the owner of the building, the customer shall forward the written notice to the owner of the building. If the utility knows the current address of the owner of the building, notice shall also be mailed or delivered to that address.
(3) The written notice must inform the customer and building owner of the equipment that the utility proposes to relocate, the planned new location and how to contact the utility to provide supplemental information that the utility may not have, such as the building’s historic status. The written notice must include contact information for the Commission’s Bureau of Consumer Services.
(4) When necessary to install meters at multiple locations on a premises, a utility shall provide a tag or other means to indicate there are multiple meter locations.
(5) When selecting a meter or service regulator location, a utility shall consider potential damage by outside forces.
(6) The meter location must accommodate access for meter reading, inspection, repairs, testing, changing and operation of the gas shut-off valve.
(7) When feasible and practical to do so, the meter location must accommodate the installation of the service line in a straight line perpendicular to the main.
(8) Meters and service regulators may not be installed in the following locations:
(i) Beneath or in front of windows or other building openings that may directly obstruct emergency fire exits.
(ii) Under interior stairways.
(iii) Under exterior stairways, unless an alternate means of egress exists and the meter and service regulator are installed in a well-vented location under stairs constructed of noncombustible material.
(iv) A crawl space.
(v) Near building air intakes under local or State building codes.
(vi) In contact with soil or other potentially corrosive materials.
(9) Unless caused by a customer’s or building owner’s violation of applicable gas safety or tariff rules, a utility shall pay the costs of relocating a meter or regulator when the relocation is performed to meet utility or Commission safety requirements.
(10) Unless caused by a customer’s or building owner’s violation of applicable gas safety or tariff rules, a utility shall pay the cost of extending customer-owned facilities to the new meter or regulator location when the relocation is performed to meet utility or Commission safety requirements.
(11) A customer or building owner requesting that a meter or regulator be moved shall pay the costs associated with relocation when the meter and regulator are currently situated in a suitable location under State and Federal regulations.
(12) Utilities shall address meter, regulator and service line location regulations in their tariffs.
(b) Outside meter or service regulator locations. Outside meters or service regulators shall be installed in one of the following locations:
(1) When feasible and practical to do so, aboveground in a protected location adjacent to the building served, or as close as possible to the point where a production or transmission line is tapped.
(2) In a buried vault or meter box.
(i) The vault or meter box must be located on a customer’s or building owner’s property, either adjacent to the building served or near the gas main.
(ii) Vaults may be located in a public right-of-way, subject to the consent of local jurisdictions as may be required.
(c) General requirements for vaults or meter boxes.
(1) A utility shall consider proper design and location criteria for a meter box, including:
(i) Ventilation.
(ii) Vehicular traffic.
(iii) Soil accumulation.
(iv) Surface water runoff.
(v) High water table.
(vi) Proximity to building air intakes or openings.
(vii) Proximity to an excessive heat source as defined in 49 CFR 192.353(c) (relating to customer meters and regulators: location).
(2) Piping installed through vault walls shall be properly coated to protect from corrosion.
(3) Vaults containing gas piping may not be connected by means of a drain connection to any other underground structure.
(4) When a meter box is located outside a paved surface, a utility shall consider fill, topsoil or sod being placed over the vault and, when feasible and practical to do so, choose an alternate location.
(d) Inside meter locations.
(1) Inside meter locations shall be considered only when:
(i) The service line pressure is less than 10 psig.
(ii) A meter is located in a building that meets one of the following criteria:
(A) A building is listed in the National Register of Historic Places or the customer or building owner notifies the utility that the building is eligible to be listed in the National Register of Historic Places and the eligibility can be readily confirmed by the utility.
(B) A building is located within a historic district that is listed in the National Register of Historic Places or the customer or building owner notifies the utility that the historic district is eligible to be listed in the National Register of Historic Places and the eligibility can be readily confirmed by the utility.
(C) A building has been designated as historic under the act of June 13, 1961 (P.L. 282, No. 167) (53 P.S. § § 8001—8006), known as the Pennsylvania Historic District Act, the Pennsylvania Municipalities Planning Code (53 P.S. § § 10101—11202) or a municipal home rule charter.
(D) A building is located within a locally designated historic district or is eligible for the listing, or a building is individually designated under a local ordinance as a historic landmark or is eligible for the listing.
(iii) Protection from ambient temperatures is necessary to avoid meter freeze-ups.
(iv) A utility determines that a meter is subject to a high risk of vandalism based on the utility’s prior experience.
(v) A utility determines that an outside meter location is neither feasible nor practical.
(2) Except for low pressure systems with service line pressure less than 10 psig, regulators must be located outside when a meter is located inside.
(3) Installed inside meters must be attached to an operable outside shut off valve.
(4) Meters installed within a building must be located in a ventilated place not less than 3 feet (914 millimeters) from a source of ignition or source of heat which may damage the meter.
(e) Other meter or service regulator locations. A utility may consider a specially constructed cabinet recessed in the building wall, sealed from inside the building and vented to and accessible from outside the building.
(f) General requirements for new service lines. When feasible and practical to do so:
(1) A building may not have more than one service line.
(2) A service line must terminate at the inlet valve of the meter set in the building in which the service line enters.
(3) The service line must be installed in a straight line perpendicular to the main.
(g) Application of regulation.
(1) Beginning September 13, 2014, utilities shall comply with this section for new meter, regulator and service line installations in new locations.
(2) Beginning September 13, 2014, utilities shall comply with this section when replacing existing meters, regulators and service line facilities.
(3) By September 13, 2034, utilities shall complete replacement of existing facilities in compliance with this section or incorporate the requirements of this section in a distribution integrity management plan, whichever occurs first.
The provisions of this § 59.18 amended under 66 Pa.C.S. § 501.
The provisions of this § 59.18 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5835. Immediately preceding text appears at serial page (246410).
Authorizing natural gas distribution company (NGDC) to decide location of natural gas meter in historic buildings under 52 Pa. Code § 59.18 without providing ‘‘basic policy choices and adequate standards’’ by which the NGDC must determine location of gas meter violated Pennsylvania Constitution’s prohibition against improper delegation of authority. City of Lancaster v. Public Utility Comm’n, 284 A.3d 522, 533 (Pa. Cmwlth. 2022).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.19 Testing facilities and records.
(a) Testing facilities. Each public utility shall provide and keep available the laboratory meter-testing equipment and auxiliary appliances as may be necessary to make tests required by the Commission. The apparatus and equipment so provided shall be of standard type, and measuring devices shall be accurate within normal laboratory limits and shall be available at all times for the inspection or use of the Commission staff.
(b) Tests and records. Each public utility shall, as a minimum requirement, make tests as prescribed in this chapter with the frequency, in the manner, and at the places as provided in this chapter or as may be approved or ordered by the Commission, and shall keep records of the tests.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.20 Meter-testing equipment.
(a) General testing equipment. Each public utility furnishing metered gas service shall own and maintain the equipment and facilities necessary for accurately testing the various types and sizes of meters used by such utility for the measurement of gas, unless arrangements are made to have the testing done in a shop or laboratory containing equipment and operated in a manner acceptable to the Commission. The accuracy of provers and method of operation will be checked periodically by the Commission. Alterations, accidents, or repairs to stationary meter-proving equipment, which might affect the accuracy of the equipment or the method of operating it, shall be promptly reported in writing to the Commission. The accuracy of testing instruments and equipment used as utility standards, such as dead-weight testers and precision type pressure gauges, which are used in the testing or calibration of meters or associated metering equipment will be checked periodically by the Commission.
(b) Equipment for testing small capacity meters. Each public utility shall own and maintain, except as provided in subsection (a), one meter prover of approved type and of a capacity adequate for the testing of small capacity meters. Each meter prover shall be supplied with accessories needed for accurate meter testing, be located in a room suitable for meter testing, and be protected from drafts and excessive changes of temperature. If the proving system includes automatic testing equipment or any mechanical devices to provide ‘‘read-out’’ capability—the entire meter proving system, including the basic prover, shall be maintained in good condition and correct adjustment so that it will be capable of determining the accuracy of any service meter to within 0.5%.
(c) Equipment for testing large capacity meters. Each public utility furnishing metered-gas service through orifice, turbine, or large displacement meters—except as provided in subsection (a)—shall have available and maintain in proper adjustment test equipment suitable for determining the accuracy of any orifice or large displacement meter used by the utility to within 0.5%. If the public utility uses a transfer prover standard for testing large capacity meters, the accuracy of the transfer prover and the method of operating will be checked periodically by the Commission in conjunction with all prover tests.
The provisions of this § 59.20 issued under Public Utility Code,66 Pa.C.S. § § 501, 1301, 1304, 1501, 1502 and 1507.
The provisions of this § 59.20 amended through September 17, 1982, effective September 18, 1982, 12 Pa.B. 3291. Immediately preceding text appears at serial page (20967).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.21 Meter tests.
(a) Test schedule for other than Class A, B and C meters. Each public utility shall make and record tests of orifice, rotary displacement and turbine type service meters as follows:
(1) Orifice meters shall have their differential and static recording gauges tested at least once every 2 months, the diameter and condition of the orifice plate checked at least once every year, and the specific gravity of the gas determined at least once every 6 months; however, where previous or subsequent test records show that the specific gravity has not varied by an amount which would make an error in the measurement greater than is consistent with accepted engineering practice, the specific gravity of the gas may be determined at longer intervals not to exceed 1 year.
(2) Rotary displacement meters shall be tested and calibrated at the factory in accordance with recognized and accepted practices and shall be correct to within 1.0% when passing gas at their rated capacities. A record of the test shall be made available to and retained by the utility for the life of the meter. At least once every 10 years’ a differential-rate test shall be made and the results checked against the original test recorded at the time of installation. At least every 5 years’ the meter shall be inspected to observe the condition of the meter bearings noise, vibration, and the like, and the level and condition of the oil in the reservoirs, except that those meters installed before January 1, 1990, shall be inspected every 2 years. An observed problem shall be promptly corrected. A record of the results of these 5 year tests or 2 year tests for the pre 1990 installed meters shall be maintained by the utility for 5 years. In lieu of a differential-rate test, a test method approved by the Commission may be used.
(3) Turbine meters shall be tested and calibrated at the factory in accordance with recognized and accepted practices and shall be correct to within 1.0% when passing gas at their rated capacities. A record of the test shall be made available to and retained by the utility for the life of the meter. At least once every 2 years, a spin test shall be made and the results checked against the minimum spin test time specified by the manufacturer for the size meter being tested. If the spin time is not up to standard value, corrective measures shall be taken. In lieu of a spin test, a test method approved by the Commission may be used.
(b) Standard test schedule for Class A, Class B and Class C Meters. Unless otherwise provided by this section, each public utility shall make and record tests of Class A, Class B and Class C meters on the following schedule:
(c) Extended test schedule for Class A, Class B or Class C meters. A public utility may depart from the requirements of subsection (b) for Class A, Class B or Class C meters in a testing year, and instead make and record tests using one of the test periods prescribed in paragraph (5), if the following requirements are met:
(1) At the end of the first immediately preceding year, not less than 98% of the meters of that class in service had been removed within whichever is the greater of 2 years plus the test period prescribed therefor in subsection (b), or the test year permitted for that class of meter for that year by paragraph (5); and, as to a meter of that class not so removed, the premises where it was located were visited and a written notice requesting an appointment for meter change was either left at the premises or posted to the mailing address of the customer as it appears in the public utility’s files. Meters removed under this paragraph shall be tested and included in the calculations under paragraph (2) unless a meter was permanently retired from service or damaged by factors other than normal age or wear such as tampering or damage beyond the control of the public utility.
(2) The slow meter ratios and fast meter ratios of the meter class for the second immediately preceding year and the third immediately preceding year fall below the maximum percentages prescribed in paragraph (5). Any conflict between the test periods prescribed in paragraph (5) shall be resolved by using the shortest applicable test period.
(3) On or before March 1 of each testing year, the public utility submits to the Commission a report showing both in absolute numbers and in percentages the facts prescribed in paragraphs (1) and (2).
(4) For each year in which a public utility uses the extended test schedule in this subsection, the public utility may not remove or test any meters of the same class using the statistical sampling program in subsection (d) or the variable interval program in subsection (e).
(5) Subject to the qualifications prescribed in paragraphs (1)—(4), a public utility may make and record tests of Class A, Class B or Class C meters on the following schedule:
(d) Statistical sampling for Class A, Class B or Class C meters. A public utility may depart from the requirements of subsection (b) for Class A, Class B or Class C meters, and instead make and record tests of Class A, Class B or Class C meters under a statistical sampling program, if the following requirements are met:
(1) Meters shall be divided into groups in accordance with ANSI Spec, B109.1 Part IV Sec. 4.3.2.1 or its successor. A detailed description of the composition of each group of meters, such as year set, manufacturer, case type and diaphragm material, shall be provided in the annual report to the Commission.
(2) Sufficient meters shall be tested annually to insure a 90% confidence level that the meter groups are performing within accuracy limits.
(3) For a group to remain in service, at least 80% of the meters in the sample test shall meet the accuracy limits of 98% average accuracy (2% slow) and 102% average accuracy (2% fast). If a group of meters does not meet the performance standards, corrective action shall be taken. The corrective action may consist of removing the entire group from service within 4 years or, if the group consists of one or more subgroups, implementing a selective meter removal program to improve the accuracy of the group to within acceptable limits. The selective removal program may be as follows:
(i) If test results indicate one or more subgroups do not meet the performance standards, the subgroup shall be identified and removed within 4 years.
(ii) Once identified as a group or subgroup not meeting the performance standards and during the removal process, that group or subgroup shall be removed from the sampling plan.
(4) The statistical sampling schedule shall be in accordance with the provisions of ANSI Spec. B109.1 Part IV Sec. 4.3.2.1 or its successor.
(5) A utility electing the statistical sampling program shall remain on that program for at least 4 years.
(6) For each year in which a public utility uses the statistical sampling approach in this subsection, the public utility may not remove or test any meters of the same class using the extended test schedules in subsection (c) or the variable interval program in subsection (e).
(e) Variable interval testing for Class A, Class B or Class C meters. A public utility may depart from the requirements of subsection (b) for Class A, Class B or Class C meters, and instead make and record tests of the Class A, Class B or Class C meters under a variable interval program, if the following requirements are met:
(1) Meters shall be divided into groups in accordance with ANSI B109.1 Part IV Sec. 4.3.2.2 or its successor. A detailed description of the composition of each group of meters, such as year set, manufacturer, case type and diaphragm material, shall be provided in the annual report to the Commission.
(2) The number of meters to be removed in any year will be determined from the test results of the second immediately preceding year’s incoming meters. Meters removed under this paragraph shall be tested and included in the calculations under paragraph (3) unless a meter was damaged by factors other than normal age or wear such as tampering or damage beyond the control of the utility.
(3) Except as provided in paragraphs (4) and (5), the ratio (r) of the number of meters in a test group to be removed to those in service in that test group shall be determined by the formula (r = .02 + .3d) where (d) is the ratio of meters which have an average accuracy of less than 98% or more than 102% as reported to the nearest 1/2%, to the total number of meters tested in the group during the second immediately preceding year.
(4) Meters removed in a test group in excess of the ratio (r) as described in paragraph (3) shall be credited towards the ratio (r) for a better performing test group.
(5) A utility may petition the Commission for an Accelerated Retirement Program (ARP) for a specific meter type that the utility may desire to purge from its system. Meters removed in an ARP in excess of the ratio (r) as described in paragraph (3) may be credited towards the ratio (r) for any other test group regardless of performance.
(6) A utility electing the variable interval plan shall remain on that plan for at least 4 years.
(7) For each year in which a public utility uses the variable interval approach in this subsection, the public utility may not remove or test any meters of the same class using the extended test schedules in subsection (c) or the statistical sampling program in subsection (d).
(f) Meter test on request of customer. Meter tests, if requested by a customer, shall conform with all of the following:
(1) If a customer requests, in writing, a test of the accuracy of the meter through which gas service is supplied and the meter is not due for periodic test, the public utility shall notify the customer of the conditions under which the test will be made by the utility or by a referee. If the customer then requests the utility to proceed with the test and remits an amount equal to the scheduled cost of a referee test, the utility shall make the test promptly. If, when tested, the meter is found to be more than 2.0% fast or slow, the testing fee shall be promptly refunded to the customer.
(2) A customer or his representative may be present when the public utility conducts the test on the meter.
(3) A report giving the name of the customer requesting the test, the date of the request, the location of the premises where the meter had been installed, the type, make, size, and serial number of the meter, the date of removal, the date of the test, the result of the test and the amount of refund if the meter was found more than 2.0% fast, shall be supplied to the customer within 10 days after the completion of the test.
(4) The amount of the fee which may be charged by the public utility for testing meters upon the written request of a customer shall be determined by the designated rating of the manufacturer as follows. Displacement meters shall be subject to the following fee schedule:
(i) Meters having a rated capacity of 500 cubic feet per hour or less—$10.
(ii) Meters having a rated capacity of over 500 cubic feet per hour, and not more than 1,500 cubic feet per hour—$20.
(iii) Meters having a rated capacity of over 1,500 cubic feet per hour, orifice meters, and any meters not a displacement type—$30.
(5) The provisions of this section may not interfere with the practice of a public utility with reference to its regular tests of meters; except that, in the event of an application by a customer to the Commission for a referee test, the utility may not knowingly remove, interfere with or adjust the meter to be tested without the written consent of the customer and approval of the Commission.
(g) Installation test. Each gas meter shall be in good order and shall be correct at all test rates of flow to within 2.0% fast or slow before being installed. In the case of new meters or meters reconditioned by a manufacturer, the test results of the manufacturer can be accepted as the installation test if the utility has verified the manufacturer’s reported test results by testing a minimum of 10% or ten meters—whichever is greater—of each shipment of meters. However, in case of an emergency, a meter not meeting the requirements of this section may be installed temporarily. Each meter tested by the utility under this subsection shall also be tested for pressure as follows: every meter shall be subjected to a pressure test before being installed; the minimum test pressure shall be 1.5 times the maximum metering pressure that the meter will be exposed to during its time in service.
(h) Determining accuracy of small meters. For the purpose of determining compliance with subsection (e), the registration of a displacement meter shall be determined by one test at a rate of flow of approximately 1/5 of its rated capacity (check flow) and by a second test at approximately the full rated capacity of the meter. The capacity of the meter for test purposes shall be the capacity at 1/2 inch differential pressure. Prior to installation of a meter, the tests at the two rates of flow shall agree within 2.0%. In determining compliance and for the purpose of computing refunds, the check flow test may be considered as the accuracy of the meter. A utility may, at its option applicable to all of its small meters, consider the accuracy of a meter to be the algebraic mean of two errors found, one at check flow and one at capacity flow. If unusual conditions indicate that an unusual test rate of flow should be used, the test record shall show the rate used.
(i) Meter prover. Tests to determine the accuracy of a gas service meter used to measure gas at standard distribution pressure shall be made with a bell type meter prover unless, because of unusual capacity or construction of a meter, the method of test is considered impracticable, under which condition the test shall be made by some other method approved by the Commission.
(j) Testing large displacement meters. The testing of large displacement meters shall conform with the following:
(1) Tests on displacement meters shall be made with approved testing apparatus. The meters should be tested in their permanent locations on the premises of the customer if practicable. If critical flow provers or low pressure flow provers are used for making such tests, the accuracy should be determined at three or more rates of flow, ranging from 20% of the rated capacity at 1/2 inch differential pressure up to flow at the maximum operating rate.
(2) If testing with the critical flow prover, the meter shall be operated at a static pressure which approximates the average operating static pressure. If similar tests are made with a low pressure flow prover, average operating pressure should be maintained on the meter under test and the prover operated at a range of low pressures required for a prover. In installations where meters operating on pressures higher than standard service pressure are limited in their maximum operating dial rate so as to keep the differential pressure equal to or less than 2 inches water column, low pressure flow prover tests may be run with low pressure on the meter. In the flow tests by either method, the maximum dial rate shall insure that tests being run at meter differential pressures are equivalent to normal operating meter differential pressures in all cases. If it is not practicable to test rotary displacement meters with a flow prover, they shall be inspected and tested by approved methods to determine whether they conform reasonably to the original factory test data.
(3) An instrument or auxiliary device used in conjunction with a gas meter to correct the metered volume for pressure or temperature shall be adjusted to an accuracy level to assure that the combined percentage of error of the instrument or auxiliary device, or both, and the associated meter does not exceed plus or minus 2.0% error. This shall be verified by test prior to installation and at the time of any subsequent meter tests. In tests conducted after installation the meter and its associated auxiliary device may not be tested more than 30 days apart. Each instrument and auxiliary device shall be verified for accuracy or calibrated at least annually to verify the performance. A record of the most recent verifications shall be kept for each instrument and device.
(k) Testing orifice meters. Tests on orifice meters shall be made with approved testing apparatus and in their permanent locations on the premises of the customer. The accuracy of the differential pressure registration shall be determined on a rising and falling pressure throughout the entire operating pressure range of the gauge. The accuracy of the static pressure registration shall be determined at the operating pressure.
(l) Determining accuracy of orifice and large displacement meters. In determining the accuracy of orifice and large displacement meters, the average of the errors determined at the various rates of flow at which the meter was tested shall be taken and shall be considered as its accuracy in determining compliance with subsection (e) and for the purpose of computing refunds; however, if the rates of flow at which the meter has been registering in service may be definitely established, the weighted average error shall be determined and used.
(m) Test record data. Whenever a meter is tested, the original test record shall include information necessary for identifying the meter, the reason for making the test, the date and location of the test, the name of the person making the test, the reading of the meter upon removal from service, the result of the test, and data taken at the time of the test. The record shall be in complete form so as to permit the convenient checking of the methods employed and the calculations made.
(n) Meter records. A record shall be maintained for each meter owned or used by a public utility. It shall indicate whether acquired new or otherwise, the date of purchase, identification, and the results of the most recent test and shall contain any additional test records required to be kept by other provisions of this title relating to gas meters. This record may not be destroyed without Commission authorization.
(o) Capping meters. Incoming meters shall be capped when removed from service and awaiting test. Meters which have been tested or are reading for installation shall be capped and remain capped until installed.
The provisions of this § 59.21 issued and amended under Public Utility Code,66 Pa.C.S. § § 501, 1301, 1304, 1501, 1502, 1504, 1507 and 1508.
The provisions of this § 59.21 amended through May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901; amended July 3, 1997, effective August 4, 1997, 27 Pa.B. 3215; amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial pages (232255) to (232263).
This section cited in 52 Pa. Code § 59.15 (relating to measurement of gas at higher than standard service pressure); and 52 Pa. Code § 59.22 (relating to adjustment of bills for meter error).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.22 Adjustment of bills for meter error.
(a) Fast meters. If, upon test of a meter, it is found to have an average error of more than 2.0% fast, the public utility shall refund to or credit the customer for the overcharge, based upon what the meter would have registered had it not been fast or slow for a period equal to 1/2 the time elapsed since the last previous test, but not to exceed 12 months or 1/2 the period of occupancy of the premises by the customer, whichever is less. If the period of registration error may be definitely fixed, the overcharge shall be computed for the period. If the meter has not been tested under § 59.21 (relating to meter tests), the period for which it has been in service beyond the regular test period shall be included in computing the refund.
(b) Slow meters. If, upon test of a gas meter it is found to have an average error of more than 2.0% slow, the public utility may render a bill for the gas consumed but not covered by bills previously rendered, for a period equal to 1/2 of the time elapsed since the last previous test, but not to exceed 3 months. If the period of registration error may be definitely fixed, the charge may be computed for the period.
(c) Nonregistering meters. If a meter has failed to register for a period, the public utility may compute the gas used by taking the average of the gas used for the nearest meter-reading period preceding and the meter-reading period immediately following the date when the meter was found to be not registering, which amount shall be assumed to be the amount of gas used by the customer during the billing period in which the meter was found not to have registered. Exceptions will be made only if the facts clearly show that the stated method does not give the correct consumption for the period.
The provisions of this § 59.22 amended May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901. Immediately preceding text appears at serial pages (73210) to (73211).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.23 Disputed bills.
In the event of a dispute between a customer and a public utility respecting a bill, the utility shall immediately make the investigation required by the particular case and report the result of the investigation to the customer.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.24 Access to meters and discontinuance of service.
(a) Access to meters. Each public utility shall at reasonable times have access to meters, service connections and other property owned by it on the premises of customers, for purposes of maintenance, operation and meter reading. Neglect or refusal on the part of customers to provide reasonable access to their premises for the purposes shall constitute sufficient cause for discontinuance of service.
(b) Notice of discontinuance. No public utility shall discontinue service to a customer for violation of its rules and regulations or for nonpayment of bills without a diligent attempt to induce the customer to comply with the rules and regulations, or to pay the bills when due. Service may not be discontinued until after at least 24-hour written notice has been given by the utility that bills are 5 or more days delinquent, or that the violation of rules shall cease. If fraudulent use of gas is detected, or if the regulating or measuring equipment of the utility has been tampered with, or if a dangerous condition is found to exist on the premises of customers, the gas may be shut off without advance notice.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.25 Notice of desire to have service discontinued.
A customer who is about to vacate premises supplied with service by a public utility, or who wishes to have service discontinued, shall give at least 24-hour notice to the utility, specifying the date on which it is desired that service be discontinued. In the absence of notice, the customer shall be responsible for services rendered.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.26 Refusal to serve applicants or customers.
(a) A public utility may initially decline to serve an applicant if, in the judgment of the utility, any of the following conditions are present:
(1) The applicant has not complied with Commonwealth and municipal regulations governing gas service, and with the rules and regulations of the utility.
(2) The installation of piping or gas equipment of the applicant is hazardous or improper.
(3) The service requested by the applicant is unreasonable and improper under the circumstances.
(b) A public utility may decline to serve an existing customer if, in the judgment of the utility, a hazardous condition exists regarding the piping or gas equipment of the customer.
The provisions of this § 59.26 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.26 amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial page (225738).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.27 Extension of facilities.
Each public utility shall file with the Commission, as part of its tariff, a rule setting forth the conditions under which facilities will be extended to supply service to an applicant within all, or designated portions, of its service area. The utility may, upon proper cause shown, refuse or condition the acceptance of a particular application of extension of facilities.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.28 Installation.
(a) Displacement meters. Each public utility shall adopt standard methods for installing meters.
(b) Orifice meters. All orifice meter settings shall be constructed and maintained in accordance with accepted good practice, which is best indicated by the American Gas Association; 1515 Wilson Boulevard; Arlington, Virginia 22209: Orifice Metering of Natural Gas, ‘‘Gas Measurement Committee Report No. 3,’’ ANSI/API 2530 1978.
(c) Service connection. When connecting the premises of the customer with public utility distribution mains, the public utility shall furnish, install and maintain the service line or connection according to the rules and regulations of its filed tariff.
The provisions of this § 59.28 issued under 66 Pa.C.S. § § 501, 1301, 1304, 1501, 1502 and 1507.
The provisions of this § 59.28 amended through September 17, 1982, effective September 18, 1982, 12 Pa.B. 3291. Immediately preceding text appears at serial page (37405).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.29 Gas pressure requirements for low-pressure distribution systems.
(a) Maximum pressure. The maximum pressure specified for a low pressure system may not be greater than a pressure which will not cause the unsafe operation of connected and properly adjusted gas utilization equipment or 14 inches of water column (8.1 ounces), whichever is less, at the outlet of the service meter of a low pressure customer.
(b) Minimum pressure. The minimum pressure at the outlet of a service meter of a low pressure customer may not be less than a pressure which will not cause the unsafe or inadequate operation of a connected and properly adjusted gas utilization equipment or 2 inches of water column (1.2 ounces), whichever is greater, unless due to insufficient capacity of the service line owned by the customer.
(c) Changing pressure. A public utility may change the distribution pressure for any system, but if a change is made, all appliances of a customer located within the system shall, if necessary, be readjusted by and at the expense of the utility.
(d) Pressure gauges. A public utility shall maintain and operate on the outlet side of the system regulator station, at least one recording gas pressure gauge of suitable range. If more than one regulator station is used to serve a single pressure system, recording pressure gauges need not be installed for each regulator station. A sufficient number of recording pressure gauges shall be installed and operated in each distribution system to furnish a continuous record of the pressure prevailing in all parts of the system.
The provisions of this § 59.29 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.29 amended May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901; amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial pages (211171) to (211172).
This section cited in 52 Pa. Code § 59.1 (relating to definitions).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.30 Heating value and purity of gas.
(a) Testing apparatus. The accuracy of testing apparatus, as well as the method of making heating-value tests, shall be subject to the approval of the Commission.
(b) Tests. Each public utility shall make or obtain the determinations as may be necessary to ascertain the heating value of the gas introduced into its distribution system and shall maintain an average heating value not less than the minimum authorized. If compression, processing or other factors tend to affect the heat content of all or any portion of its gas, determinations of heating value shall be made of gas drawn from different parts of the distribution system at points remote from the point where the gas enters the distribution system, with the frequency and in the manner as may be necessary to assure compliance with this section.
(c) Records of tests. Each public utility shall adopt a standard printed form for recording the results of heating value tests. Each determination of heating value shall be recorded originally upon the form adopted for that purpose. If heating value is determined by an approved type of recording calorimeter, the charts removed from a calorimeter shall be sufficient to comply with the requirements of this section. If manufactured or mixed gas is served, the average heating value determined by these tests shall be recorded.
(d) Heating value. The heating value of gas shall be as follows:
(1) Natural gas. If a public utility supplies natural gas, its heating value may not fall below 950 Btu total heating value per cubic foot, under standard conditions of temperature and pressure.
(2) Manufactured or mixed gas. Manufactured or mixed gas shall conform with all of the following:
(i) If a public utility supplies manufactured or mixed gas, its heating value shall have a monthly average of not less than 520 Btu total heating value per cubic foot under standard conditions of temperature and pressure. The minimum heating value of manufactured gas shall never fall below 500 Btu.
(ii) To obtain the heating value of gas, the results of the tests of heating value made under standard practice on each day during the calendar month shall be averaged, and the average of the daily averages shall be taken as the monthly average.
(iii) Each public utility serving manufactured or mixed gas shall provide and maintain a calorimeter with necessary accessories of an approved type for the regular determination of the heating value of the gas sold, unless other provision is made with the approval of the Commission.
(iv) The calorimeter required for measuring manufactured or mixed gas shall be installed in a laboratory or other building so located as to insure that thoroughly mixed, stabilized and representative samples of the gas delivered to customers are used for the tests.
(v) Each public utility serving manufactured or mixed gas shall determine the heating value of the gas distributed to its customers daily or more frequently if necessary, or if required by the Commission.
(e) Purity of gas. The purity of gas distributed in this Commonwealth shall conform with the following:
(1) Gas shall be substantially free from dangerous or objectionable quantities of impurities such as hydrogen sulphide, nitrogen or other combustible or noncombustible constituents which, if the gas is completely burned, yield noxious or toxic products of combustion.
(2) Hydrogen sulphide in the gas shall be considered negligible if a strip of white filter paper, moistened with a solution containing 5.0% by weight of lead acetate, is not distinctly darker than a second paper freshly moistened with the same solution, after the first paper has been exposed for one minute in an apparatus of approved form, through which the gas is flowing at the rate of approximately 5 cubic feet per hour, the gas not impinging directly from the jet upon the test paper.
(3) No gas sold shall contain more than 30 grains total of sulphur per 100 cubic feet and not more than five grains of ammonia per 100 cubic feet.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.31 Service from production or transmission lines.
(a) Conditions of service. Service to applicants directly from production or transmission lines which are not part of the distribution system from which customers are normally supplied shall be furnished under conditions stated in the tariff rules and regulations of the utility.
(b) Excess pressure protection. If the pressure from lines governed by this section is reduced to standard service pressure for use by the customer, the installation shall be provided with adequate over-pressure protection to prevent the pressure from exceeding two pounds per square inch in the event of regulator failure.
(c) Cost of equipment. The utility may require a customer served directly from a line governed by this section to provide and install the regulator and excess pressure protective device necessary to render service, or the utility may provide such equipment and make a reasonable charge for the equipment and its installation.
(d) Location of equipment. If a customer is served directly from a line governed by this section, the regulator and meter shall be located as closely as possible to the point where the line is tapped.
This section cited in 52 Pa. Code § 59.17 (relating to furnishing of meters and regulations).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.32 Temporary service.
In the case of temporary service for short-term use, a public utility may either require the customer to pay the costs of marking the service connection and removing the material after the service has been discontinued, or to pay a fixed amount in advance to cover the expenses. However, if the material is removed the customer shall be credited with the reasonable salvage which the public utility will receive on discontinuance of service.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.33 Minimum safety standards.
(a) Responsibility. Each public utility shall at all times use every reasonable effort to properly warn and protect the public from danger, and shall exercise reasonable care to reduce the hazards to which employees, customers and others may be subjected to by reason of its equipment and facilities.
(b) Safety code. The minimum safety standards for all natural gas public utilities in this Commonwealth shall be those issued under the pipeline safety laws found in 49 U.S.C. § § 60101—60503 and as implemented at 49 CFR Parts 191—193 and 199, including all subsequent amendments thereto. Future Federal amendments to 49 CFR Parts 191—193 and 199, as amended or modified by the Federal government, shall have the effect of amending or modifying the Commission’s regulations with regard to the minimum safety standards for all natural gas public utilities. The amendment or modification shall take effect 60 days after the effective date of the Federal amendment or modification, unless the Commission publishes a notice in the Pennsylvania Bulletin stating that the amendment or modification may not take effect.
(c) [Reserved.]
(d) Enforcement. Each public utility shall be subject to inspections as may be necessary to assure compliance with this section. The facilities, books and records of each public utility shall be accessible to the Commission and its staff for the inspections. Each public utility shall provide the Commission or its staff the reports, supplemental data and information as it shall from time to time request in the administration and enforcement of this section.
(e) Records. Each public utility shall keep adequate records as required for compliance with the code in subsection (b). The records shall be accessible to the Commission and its staff.
The provisions of this § 59.33 issued and amended under 66 Pa.C.S. § § 102, 331, 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.33 amended through May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901; amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050; amended June 23, 2006, effective June 24, 2006, 36 Pa.B. 3092; amended September 21, 2012, effective September 22, 2012, 42 Pa.B. 5967; amended September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729. Immediately preceding text appears at serial pages (363659) to (373660).
(Editor’s Note: Publication of notice ratifying the amendments to 49 CFR Parts 191, 192, 193 and 199 appeared at 27 Pa.B. 851 (February 15, 1997), 33 Pa.B. 5486 (November 1, 2003) and 34 Pa.B. 3655 (July 10, 2004). See serial pages (800645) to (800646)).
This section cited in 52 Pa. Code § 59.34 (relating to leakage surveys of customer-owned service lines); 52 Pa. Code § 59.35 (relating to increasing pressure in distribution facilities and transmission facilities); and 52 Pa. Code § 59.36 (relating to abandonment of inactive service lines).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.34 Leakage surveys of customer-owned service lines.
(a) Plan. A public utility shall establish and execute a plan by which it will periodically survey each customer-owned service line for leakage. The plan shall conform with or exceed the standards estalbished in 49 CFR 192.723 (relating to distributuion systems; leakages and procedures) as of May 1, 1986 and subsequent amendments thereto which have been ratified by the Commission under § 59.33 (relating to safety). The public utility shall file with the Commission a copy of the plan required by this subsection including statements of the type of survey it will use and of the frequency of the survey. As used in this section, the term ‘‘customer-owned service line’’ includes that piping serving a residential or commercial customer which is between the main, pipeline or other source of supply and whichever is the more remote of either the meter set assembly, or the wall of the residence or commercial building if the customer owns part of the piping.
(b) Access to customer premises. If the leakage survey prescribed by subsection (a) requires access to the premises of a customer and the customer refuses access, or if the public utility requires a customer to inform it of the location of a service line and he fails to provide the information, the public utility may shut off gas service until access is permitted or the information is provided. If subsection (a) requires a leakage survey to a meter set assembly inside the wall of a residence or commercial building, and the public utility cannot gain access to the building because of absence of the occupants, the public utility shall leave a notice at the premises, instructing the customer to designate to the public utility a day and time during normal working hours when access may be had. The public utility may defer the leakage survey to the day and time so designated.
(c) Procedure after survey. Upon completion of a survey of a customer-owned service line, the public utility shall make a record showing the date and method of the survey, and the result found. If the result shows that a leak exists in the service line, the public utility shall require the customer to repair or renew the line, and may shut off gas service until repair or renewal has been effected. The public utility shall retain the record of the two most recent surveys made under this section.
The provisions of this § 59.34 amended May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901. Immediately preceding text appears at serial page (87817).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.35 Increasing pressure in distribution facilities and transmission facilities.
A significant increase in the normal operating pressure of a distribution or transmission pipeline shall be made in accordance with 49 CFR Part 192, Subpart K (relating to uprating) as of May 1, 1986, and subsequent amendments thereto which have been ratified by the Commission under § 59.33 (relating to safety). A leak survey of mains and services shall be made prior to increasing the pressure initially and also following each incremental increase in pressure. Structures abutting or adjacent to the gas mains shall be inspected to confirm the utility’s records as to the presence or absence of a gas service line on each property.
The provisions of this § 59.35 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.35 amended May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901; amended July 2, 1998, August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial page (225742).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.36 Abandonment of inactive service lines.
A public utility shall have a plan for abandoning inactive service lines under 49 CFR 192.727 (relating to abandonment or inactivation of facilities) as of May 1, 1986 and subsequent amendments thereto which have been ratified by the Commission under § 59.33 (relating to safety), and shall have a copy of its plan available for inspection. The plan shall require the following:
(1) Service lines which are not constructed of noncorrosive material or part of a cathodic protection system which have been inactive for 3 months and for which there is no prospect of reuse shall be scheduled for abandonment under 49 CFR 192.727 as of May 1, 1986 and subsequent amendments thereto which have been ratified by the Commission under § 59.33, as soon as practicable but not later than 6 months after it has been determined there is no prospect for reuse.
(2) Service lines which have been inactive for 3 months and for which there is a reasonable prospect of future use shall be shut off under 49 CFR 192.727(d) as of May 1, 1986 and subsequent amendments thereto which have been ratified by the Commission under § 59.33. A review of the status of inactive lines shall be made annually, at periods not exceeding 15 months. Lines which no longer qualify for retention shall be abandoned under paragraph (1).
(3) Inactive service lines shall be leakage surveyed periodically under 49 CFR 192.723 (relating to distribution systems; leakage surveys and procedures) as of May 1, 1986 and subsequent amendments thereto which have been ratified by the Commission under § 59.33. An inactive service line found to be leaking shall be abandoned immediately if hazardous. If the leak is not hazardous, the line shall be abandoned within 3 months or repaired within this time period if the line is constructed of noncorrosive material or part of a cathodic protection system.
(4) Unrecorded inactive service lines discovered in the course of leakage surveillance, construction, maintenance or inspection of facilities shall be abandoned as follows: If leaking, abandon immediately; if not leaking, abandon as soon as practicable but not more than 10 days after discovery.
(5) If a building is to be demolished or if there will be a major excavation of property on which there is an active or inactive service line, and if there is no reasonable prospect of future use, the service line shall be abandoned at the main under paragraph (1). If there is a reasonable prospect of future use, the service line may be abandoned at the curb or property like and its status shall be reviewed annually, at periods not exceeding 15 months, under paragraph (2). The service line shall be disconnected either at the main or property line prior to demolition or excavation.
The provisions of this § 59.36 amended May 30, 1986, effective May 31, 1986, 16 Pa.B. 1901. Immediately preceding text appears at serial page (20981).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.37 Maps, plans and records.
Each public utility shall keep complete maps, plans, and records of its entire distribution and other system showing the size, character, and location of each main, district regulator, street valve and drip, and each service connection, together with such other information as may be necessary. The maps, plans, and records required by the provisions of this section shall be kept up to date so that the utility may promptly and accurately furnish any information regarding its facilities, or copies of its maps, upon request by the Commission.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.38 Filing of major construction reports.
A public utility shall notify the Commission of proposed major construction, reconstruction or maintenance of plant at least 30 days prior to the commencement of work. Major construction, reconstruction or maintenance is defined for this reporting as a single project involving an expenditure in excess of $300,000 or 10% of the cost of the utility’s plant in service, whichever is less, production well drilling to be excluded. This notification of proposed construction shall include the following:
(1) Description and location (city, township, county) of proposed work.
(2) Type of facility (distribution main, transmission pipeline, compressor station, and the like).
(3) Estimated starting date.
(4) Estimated completion date.
(5) Design pressure.
(6) Estimated cost.
(7) Name and address of reporting gas company.
(8) Name, address and telephone number of person to be contacted regarding the project.
(9) Notification to the Commission of the completion date.
The provisions of this § 59.38 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.38 amended May 30, 1986 effective May 31, 1986, 16 Pa.B. 1901; amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial page (211177).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.41 Classification of gas public utilities.
For accounting and reporting purposes, gas public utilities are classified as follows:
(1) Major. Public utilities having annual gas operating revenues of $1 million or more.
(2) Nonmajor. Public utilities having annual gas operating revenues of less than $1 million.
The provisions of this § 59.41 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.41 amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial page (211178).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.42 Systems of accounts.
(a) Each major gas public utility shall keep its accounts in conformity with the ‘‘Uniform System of Accounts Prescribed for Natural Gas Companies (Major)’’ by the Federal Energy Regulatory Commission (18 CFR Part 201).
(b) Each nonmajor gas public utility shall keep its accounts in conformity with the ‘‘Uniform System of Accounts Prescribed for Natural Gas Companies (Non-Major)’’ by the Federal Energy Regulatory Commission (19 CFR Part 201).
(c) A gas public utility with annual gas operating revenue of less than $25,000 shall keep the accounts as will be adequately informative for reasonable and foreseeable regulatory purposes.
(d) This section applies to manufactured gas public utilities.
The provisions of this § 59.42 amended under 66 Pa.C.S. § § 501, 1501, 1504, 1507 and 1508.
The provisions of this § 59.42 amended July 2, 1998, effective August 3, 1998, 28 Pa.B. 3050. Immediately preceding text appears at serial page (211178).
This section cited in 52 Pa. Code § 53.53 (relating to information to be furnished with proposed major rate increase filings); 52 Pa. Code § 59.43 (relating to accounting for merchandising, jobbing and contract work); 52 Pa. Code § 59.46 (relating to reclassification of gas plant accounts); and 52 Pa. Code § 59.47 (relating to continuing property records).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.43 Accounting for merchandising, jobbing and contract work.
(a) All revenues from and costs and expenses pertaining to merchandising, jobbing and contract work shall be recorded appropriately in Accounts 914 and 915, in the case of Class A, Class B and Class C companies and appropriately in Accounts 780 and 781 in the case of Class D companies in the unified system of accounts prescribed in § 59.42 (relating to systems of accounts).
(b) The provisions of this section apply to manufactured gas public utilities.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.44 Retirement unit for gas plant.
Each public utility having gas operating revenues of $100,000 or more shall, in accounting for plant retirements, conform its accounting to the ‘‘Units of Property for Use in Accounting for Additions and Retirements of Gas Plant,’’ prescribed by Federal Power Commission Order No. 236, dated October 16, 1961 (18 CFR Part 216).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.45 Preservation of records.
Each gas utility shall keep and preserve its records in conformity with the provisions applicable to it in the most recent publication of the National Association of Regulatory Utility Commissioners, entitled ‘‘Regulations to Govern the Preservation of Records of Electric, Gas and Water Utilities,’’ except as follows when the following retention periods apply:
The provisions of this § 59.45 amended under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.45 amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended December 5, 2003, effective December 6, 2003, 33 Pa.B. 5923; amended March 25, 2005, effective March 26, 2005, 35 Pa.B. 1886. Immediately preceding text appears at serial pages (301434) to (301440).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.46 Reclassification of gas plant accounts.
(a) A utility whose annual operating revenues are $25,000 or more but less than $100,000 may not be required to reclassify the cost of plant installed prior to January 1, 1961, to an original cost basis until the time as its annual operating revenues reach $100,000 or more.
(b) When the annual operating revenues of a public utility become $100,000 or more, the utility shall be subject to Class C accounting requirements. The public utility shall within 2 years submit the following detailed statements relative to its plant account reclassification at original cost. The statements shall be sworn to or affirmed by the officer of the company responsible for their preparation, as follows:
(1) Statement A. Statement A shall show in outline form the origin and development of the utility, including a description of each consolidation and merger to which the utility or a predecessor was a party, and each acquisition of a gas operating unit or system by the utility or a predecessor. If any transaction relating to such property involved utility property other than the gas plant, that fact shall be stated.
(2) Statement B. Statement B shall show the chartered gas territory of the utility, giving the development of that territory according to each consolidation and merger or gas plant acquisition to which the utility or a predecessor was a party.
(3) Statement C. Statement C shall show a summary of gross debits and credits to Accounts 101, 102, 103, 104, 105, 106, 107 and 114, gas plant, from the date of origin of the gas plant of the utility to the effective date of such system of accounts as prescribed by § 59.42 (relating to systems of accounts), setting forth all of the following:
(i) Plant acquired by merger and consolidation.
(ii) Plant constructed by the utility.
(iii) Plant acquired by purchase.
(iv) Total.
(v) Retirements of plant which cannot be classified by the specific divisions of subparagraphs (i)—(iii).
(vi) Balance at effective date of the system of accounts.
(4) Statement D. Statement D shall show a summary analysis of the accumulated provisions for the depreciation, amortization and depletion of the gas plant, as established by the utility and its predecessors, from the date of origin of the gas plant of the utility to the effective date of the system of accounts as prescribed by § 59.42, showing all of the following:
(i) Credits arising from charges to operating expenses.
(ii) Salvage and other credits detailed by nature of transaction.
(iii) Gross debits for plant retired.
(iv) Cost of removal, and other debits detailed by nature of transaction.
(v) Balance at effective date of the system of accounts.
(5) Statement E. Statement E shall show contributions received by the utility and its predecessors, from customers or others, in the aid of construction of a gas plant, setting forth all of the following:
(i) The gross amount of contributions received from the date of origin of gas service to the effective date of such system of accounts as prescribed by § 59.42.
(ii) The amount of the contributions returned or retired as of the effective date of the system of accounts.
(iii) The difference between subparagraphs (i) and (ii).
(iv) The amount reflected in Account 271, ‘‘Contributions in aid of construction,’’ at the effective date of the system of accounts.
(v) A reconciliation of the difference between subparagraphs (iii) and (iv).
(6) Statement F. Statement F shall conform with all of the following:
(i) Statement F shall show, for each acquisition through consolidation and merger or purchase of a gas operating unit or system by the utility or a predecessor, all of the following:
(A) A description of the property acquired.
(B) The names of parties to the transaction and whether the parties were affiliated.
(C) The date the transaction was consummated.
(D) The original cost, estimated if not known.
(E) The value of the plant, as reflected on books of merger constituent or vendor.
(F) The cost of the plant to the acquirer, and the manner and method of determination of such cost.
(G) The amount recorded on the books of the acquirer with respect to the plant acquired.
(H) The amount accumulated provisions for depreciation applicable to the plant acquired, as reflected on books of merger constituent or vendor.
(I) An adjustment of amortization or depletion of the acquirer in respect to the plant acquired and the basis thereof.
(J) A summary of the appraisal, if any, prepared for the plant acquired at the date of acquisition, showing the elements of value included therein, by whom prepared, and the date. With respect to each acquisition, there shall be shown the difference between original cost and the amount recorded on the books; a summary of all transactions affecting the difference between the date of acquisition and the effective date of such system of accounts prescribed by § 59.42; and the resultant amount on the latterdate. The amount to be included in Account 114, ‘‘Gas plant acquisition adjustments,’’ shall be subdivided to show the amounts applicable to plant in service, plant leased to others, and plant held for future use. If practicable, the amount shall be classified according to its nature, that is, structural value, going value, and the like.
(ii) If estimates are used in arriving at original cost or the amount to be included in Account 114 of the uniform system of accounts prescribed by § 59.42, a full disclosure of the method or methods used in preparing the estimates, with the underlying facts, shall be given. The method or methods of determining the original cost of the gas plant acquired as operating units or systems shall be described in sufficient particularity to permit a clear understanding of the investigations which were made for that purpose. The amount claimed as the original cost of acquired property shall be supported by separate statements for each acquisition by the respondent and by each successive predecessor (prepared from the books and records of each predecessor company) showing a summary of gross debits and credits to the gas plant, classified by balance sheet subaccounts, from the date of origin of the gas plant of the predecessor to the date of dissolution or the effective date of sale or other transfer of the gas plant, setting forth all of the following:
(A) Plant acquired by merger and consolidation.
(B) Plant constructed by such predecessor.
(C) Plant acquired by purchase.
(D) Total.
(E) Retirements of plant which cannot be classified by the specific divisions in subparagraphs (i)—(iii).
(F) Balance at date of dissolution or effective date of sale or other transfer of the gas plant.
(iii) There shall also be shown a summary analysis of the related accumulated provisions for depreciation, amortization, and depletion of the gas plant as established by each predecessor, setting forth all of the following:
(A) Credits arising from charges to operating expenses.
(B) Salvage and other credits detailed by nature of transaction.
(C) Gross debits for plant retired.
(D) Costs of removal, and other debits detailed by nature of transaction.
(9) Statement G. Statement G shall show the amounts arrived at by appraisals recorded prior to the effective date of the system of accounts prescribed by § 59.42 in lieu of cost to the reporting company. This statement should give the full journal entry at the time the appraisal was originally recorded, and if the entry had the effect of appreciating or writing up the gas plant account, the amount of the appreciation or write up should be traced, by proper description and explanation of the changes from the date recorded to the effective date of such system of accounts.
(10) Statement H. Statement H shall show gas plant per books immediately prior to reclassification in accordance with the system of accounts prescribed by § 59.42 including, under a descriptive heading, an unclassified amounts applicable jointly to the gas department and other departments of the utility.
(11) Statement I. Statement I shall show a summary of adjustments necessary to record, as of the effective date of the system of accounts prescribed by § 59.42, Accounts 101, 102, 103, 104, 105, 106, 107 and 114, gas plant, and Account 116, ‘‘Other Gas Plant Adjustments.’’
(12) Statement J. Statement J shall show gas plant balance sheet Accounts 101, 102, 103, 104, 105, 106, 107 and 114 as of the effective date of the system of accounts prescribed by § 59.42 classified according to detailed accounts, and showing also the amount includible in Account 116, ‘‘Other Gas Plant Adjustments.’’
(13) Statement K. Statement K shall show a comparative balance sheet, as of the effective date of the system of accounts prescribed by § 59.42 setting forth the accounts and amounts appearing in the books before the adjusting entries have been made and after the entries have been made.
(14) Statement L. Statement L shall show a suggested plan for depreciating, amortizing, or otherwise disposing in whole or in part of the amounts, as of the effective date of such system of accounts prescribed by § 59.42 includible in Account 114, ‘‘Gas Plant Acquisition Adjustments,’’ and Account 116, ‘‘Other Gas Plant Adjustments.’’
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.47 Continuing property records.
(a) Each public utility having annual gas operating revenue of $100,000 or more shall maintain a continuing property record of its gas plant the cost of which is recorded in Accounts 101, 102, 103, 104 and 105 of the uniform accounting system prescribed by § 59.42 (relating to systems of accounts).
(b) An outline of the plan of the company for the establishment and maintenance of its continuing property record shall be submitted to the Commission within 2 years after the effective date of its change of revenue classification for approval. Thereafter, a proposed major changes in the plan shall be submitted to the Commission for approval.
(c) Continuing property records shall contain detailed description and classification of property record units which meet the following objectives:
(1) An inventory of plant by property-record units which may be readily checked for proof of existence.
(2) The association of costs with the units, to assure accurate retirement accounting.
(3) The dates of installation and removal of property-record units, to provide age and life data for use in depreciation studies.
(d) The continuing property record, or records supplemental to those records, shall include information as to the kind, character, size, quantity, location, year of placement and retirement, percentage of ownership, and original cost of gas plant.
(e) Plants comprising a large number of similar units, such as mains, meters, and regulators, may be grouped, and the average cost thereof used for retirement accounting. Grouping should be by years of construction within one cost-keeping area. The entire system may be considered as one cost-keeping area unless otherwise required for regulatory purposes. If it is impracticable to account for construction by years, the company may, with Commission approval, cost certain items by bands of years or by average costs for all years. The grouping does not relieve the utility from its requirement to provide age and life data and to maintain location records for the plant.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.48 Filing of annual financial reports.
Under 66 Pa.C.S. § § 504 and 3301 (relating to reports by public utilities; and civil penalties for violations), the Commission may require a public utility to file certain reports, and invoke penalties for failure to file the reports. In this regard, the following apply:
(1) Unless prior permission to do otherwise is granted, a public utility, other than transportation subject to the jurisdiction of the Commission, shall file with the Commission annual financial reports by April 30 immediately following the reporting year, for reports based upon the calendar year, and by July 31 immediately following the reporting year, for reports permitted to be based upon the fiscal year ending May 31. A request for an extension of time for filing an annual report shall be submitted to the Commission prior to the filing dates specified in this paragraph.
(2) If a public utility other than transportation fails to file its annual report in compliance with paragraph (1), the public utility may be subject to a penalty as provided under 66 Pa.C.S. § 3301. Continued failure to file annual reports may result in additional penalties.
The provisions of this § 59.48 amended under Public Utility Code,66 Pa.C.S. § § 501 and 504.
The provisions of this § 59.48 amended May 6, 1988, effective May 7, 1988, 18 Pa.B. 2106. Immediately preceding text appears at serial page (107928).
This section cited in 52 Pa. Code § 101.2 (relating to definitions); and 52 Pa. Code § 101.4 (relating to reporting requirements).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.63 Natural gas emergency plans.
As part of its officially filed tariff, each jurisdictional gas utility shall have on file with the Commission natural gas emergency plans. The plans shall be under Commission requirements § § 59.71—59.75 (relating to gas emergency plans).
The provisions of this § 59.63 amended under 66 Pa.C.S. § § 501, 2203(12) and 2208.
The provisions of this § 59.63 amended December 14, 2001, effective December 15, 2001, 31 Pa.B. 6800. Immediately preceding text appears at serial page (267663).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.64 Notice of curtailment or nonperformance of supply.
(a) Each major jurisdictional utility, as defined in § 59.61 (Reserved), shall inform the Commission, in writing, of any curtailment, breach of performance, suspension of performance or nonperformance by a gas supplier, transportation utility or major shipper (defined as any shipper utilizing transportation tariffs whose monthly demand is in excess of 5% of the jurisdictional utility’s monthly throughput in any given month) within 48 hours after the action becomes known to the jurisdictional utility. Notice to the Commission shall include a statement as to the estimated effect on the utility and its customers, including any resulting curtailments, penalties or additional costs.
(b) Each major jurisdictional utility, as defined in § 59.61, shall contemporaneously notify its customers and the Commission whenever curtailments are instituted or changed. The notice shall be provided as soon as practicable.
The provisions of this § 59.64 amended under 66 Pa.C.S. § § 501, 504, 1301, 1304, 1307, 1317 and 1318.
The provisions of this § 59.64 amended April 14, 1995, effective June 14, 1995, 25 Pa.B. 1411. Immediately preceding text appears at serial pages (126835) and (187327).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.65 Sales policies filed with the Commission.
Each major jurisdictional utility, as defined in § 59.61 (Reserved), shall file with the Commission a statement of its gas sales policy. When the policy is changed, supplements shall be filed with the Commission indicating the nature and date of the change as well as the justification for it.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.71 Definitions.
The following words and terms, when used in this section and in § § 59.72—59.75, have the following meanings, unless the text clearly indicates otherwise: Alternate fuel—Any fuel other than natural gas. Alternate fuel capability—The installed and operable ability to use any fuel other than natural gas on a time sensitive basis. Commercial use—Gas usage by customers engaged primarily in the sale of goods and services including consumption by office buildings, institutions and government agencies. Essential human needs use—Gas usage in any building where persons normally dwell including residences, apartment houses, dormitories, hotels, hospitals and nursing homes. Firm service—Natural gas service offered to consumers under tariffs or contracts that anticipate no interruption. Industrial use—Gas usage by customers engaged primarily in a process which creates or changes raw or unfinished materials into another form or product including the generation of electric power. Interruptible service—Natural gas services that can be temporarily discontinued under terms and conditions specified by tariff or contract. NGDC—Natural gas distribution company. NGS—Natural gas supplier. Plant protection use—Minimum usage of natural gas required to prevent physical harm to an industrial or commercial consumer’s facility, or danger to personnel at the facility, when the protection cannot be afforded through the use of an alternate fuel. Plant protection use includes usage necessary for the protection of the material in process as would otherwise be destroyed, but does not include deliveries required to maintain production. Residential use—Gas usage in a residential dwelling or unit for space heating, air conditioning, cooking, water heating or other domestic purpose.
The provisions of this § 59.71 issued under 66 Pa.C.S. § § 501, 2203(15) and 2208.
The provisions of this § 59.71 adopted December 14, 2001, effective December 15, 2001, 31 Pa.B. 6800.
This section cited in 52 Pa. Code § 59.74 (relating to utility liability).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.72 Natural gas emergency planning.
(a) By March 15, 2002, each NGDC shall file with the Commission a natural gas emergency plan reflecting its unique operational characteristics and design criteria. Each plan shall contain simplified and understandable rules and regulations so that all of the NGDC’s customers and all NGSs licensed to provide services to their customers can have a responsive action plan in place to protect themselves and their property in the event of a crisis. NGDCs shall file revisions to their plans when and as appropriate, or as directed by the Commission.
(b) As part of their emergency planning, NGDCs shall attempt to make every reasonable effort to make contractual or informal arrangements with their transportation customers, sales customers and others to obtain supplies or, as an alternative, to implement usage reductions, so that resorting to firm service reductions under § 59.73 (relating to emergency action) can be avoided, or the severity of supply or capacity disruption can be mitigated. The purpose of these arrangements is to provide a means to minimize the potential of supply shortfalls that threaten public health and safety, and not to make up for inadequate performance by individual parties.
(c) Each natural gas emergency plan shall include provisions addressing:
(1) Emergency load shedding.
(2) Voluntary usage reductions, for example, reducing space or water heating temperatures to levels specified by the NGDC.
(3) Mandatory usage reductions for certain customers consistent with § 59.73(c).
(4) Issuance of periodic reports to the media concerning the existing natural gas emergency.
(5) Notice to affected customers and NGSs of the expected initiation of emergency actions under § 59.73.
(6) Customer and NGS delivery requirements that apply during the term of emergency action under § 59.73, regardless of customer-specific usage reductions that arise or may arise from end-use curtailments.
(7) A procedure for focusing emergency measures to confined geographic or operational portions, segments or zones of the NGDC system where a natural gas emergency exists.
(8) Procedures for establishing communications with electric system control area operators, if the NGDC provides gas service to electric generation stations.
(d) Each natural gas emergency plan shall specify the procedures the NGDC shall use to provide notices to affected customers, their NGSs and NGDCs. After the NGDC determines the appropriate response, the NGDC shall issue notices to affected customers, their NGSs and NGDCs as soon as reasonably possible. All notices shall be prepared consistent with the Commission’s plain language policy. Notice to the public concerning usage reductions shall be designed to avoid confusion in geographical areas served by more than one NGDC.
The provisions of this § 59.72 issued under 66 Pa.C.S. § § 501, 2203(15) and 2208.
The provisions of this § 59.72 adopted December 14, 2001, effective December 15, 2001, 31 Pa.B. 6800.
This section cited in 52 Pa. Code § 59.71 (relating to definitions); and 52 Pa. Code § 59.74 (relating to utility liability).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.73 Emergency action.
(a) An emergency exists whenever the aggregate demand of firm service customers on an NGDC’s system or confined segment of the system exceeds or threatens to exceed the gas supply or capacity that is actually and lawfully available to the NGDC to meet the demands, and the actual or threatened excess creates an immediate threat to the NGDC’s system operating integrity with respect to Priority 1 customers as defined in subsection (i).
(b) If, in the sole judgement of the NGDC, there is sufficient time, the NGDC shall use reasonable business and operational efforts to: interrupt all interruptible services, issue operational flow orders, and call for voluntary usage reductions by all customers before taking any action under subsection (c). The NGDC shall take these three actions sequentially to the extent feasible.
(c) In the event of an emergency under subsection (a), the NGDC may require each commercial and industrial retail and transportation customer that is not a Priority 1 customer under subsection (i) to reduce its consumption of gas.
(1) The reduction required shall be determined by the utility without regard to priorities of use, as necessary to minimize the potential threat to public health and safety.
(2) The minimum authorized usage may not be lower than the minimum usage of firm service necessary for plant protection use.
(3) When all other service has been curtailed except for Priority 1 service and the NGDC continues to be unable to meet Priority 1 requirements, the NGDC shall exercise its judgment as to any further curtailment that may be necessary and shall utilize measures designed to minimize harm to customers if curtailments to plant protection use are found to be necessary.
(4) Consistent with its responsibility to maintain system integrity at all times, the NGDC shall restore service as soon as practicable to any gas-fired electric generation facility that is deemed critical to electric system reliability by the electrical system’s control area operator.
(d) Mandatory reductions under subsection (c) shall be for a period specified by the NGDC until further notice. The NGDC may change a customer’s authorized usage, upon notice, at any time during an emergency.
(e) Mandatory reductions under subsection (c) shall be for a maximum duration of 5 business days unless extended by Commission order. As an alternative to extending mandatory reductions under subsection (c), the Commission may order the NGDC to initiate priority-based curtailments under subsection (f).
(f) In determining whether to order the NGDC to initiate priority-based curtailments, the Commission will examine whether the NGDC did the following:
(1) Interrupted all interruptible services.
(2) Issued operational flow orders.
(3) Called for voluntary usage reductions by all customers.
(g) Upon issuance of an order to initiate priority-based curtailments, the NGDC shall provide all affected customers the maximum notice possible, by means of telephone, fax or electronic data interchange, specifying the curtailment percentage of the customer’s firm gas service and resulting allowance as may be the case.
(h) Upon issuance of an order to initiate priority-based curtailments, the available gas supplies to the NGDC shall be prorated, if practicable, among its customers according to the following priorities of use:
(1) Customers in a higher priority category will not be curtailed until all customers falling into a lower priority category have been restricted to plant protection use levels, unless operational circumstances or physical limitations warrant a different result.
(2) Where only a partial restriction of a classification is required, implementation shall be pro rata, to the extent practical under the circumstances, as set forth in the NGDC’s tariff.
(i) Following are the priority categories, listed in descending order, pertaining to the curtailment of firm services:
(1) Priority 1. Service for essential human needs use.
(2) Priority 2. Firm services not included in essential human needs use.
(j) As part of its natural gas emergency plan, an NGDC may divide any or all of the priority of use categories in subsection (i) into subcategories.
The provisions of this § 59.73 issued under 66 Pa.C.S. § § 501, 2203(15) and 2208.
The provisions of this § 59.73 adopted December 14, 2001, effective December 15, 2001, 31 Pa.B. 6800.
This section cited in 52 Pa. Code § 59.71 (relating to definitions); 52 Pa. Code § 59.72 (relating to natural gas emergency planning); and 52 Pa. Code § 59.74 (relating to utility liability).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.74 Utility liability.
(a) Each NGDC may restrict or discontinue service in accordance with this section and § § 59.71—59.73 and 59.75 without thereby incurring any penalty or liability for any loss, injury or expense that may be sustained by the customer except when the restriction or discontinuation of service is as a result of the NGDC’s willful or wanton misconduct.
(b) NGDC liability for actions taken under § 59.73 (relating to emergency action), or to a regulation, policy statement, directive or order issued by the Commission or an emergency order issued by the Governor shall be governed by the following principles:
(1) If an NGDC appropriates natural gas during an emergency action, the NGDC shall compensate the applicable entity, whether the customer or the customer’s NGS, for the cost of lost, firm gas service. The compensation, in the aggregate, shall equal but not exceed the greater of: the city gate cost of the appropriated natural gas, including transportation charges up to the NGDC’s city gate, or the reasonable cost actually paid by the customer for delivered substitute energy, as documented to the NGDC. NGDCs may provide compensation in kind only at the discretion of the affected customer or NGS.
(2) The NGDC may discontinue service, for the duration of an emergency, to a customer that continues to take gas in violation of the rules found in this subchapter.
The provisions of this § 59.74 issued under 66 Pa.C.S. § § 501, 2203(15) and 2208.
The provisions of this § 59.74 adopted December 14, 2001, effective December 15, 2001, 31 Pa.B. 6800.
This section cited in 52 Pa. Code § 59.71 (relating to definitions).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.75 Penalties for unauthorized takes.
The tariff, operating practices, and billing periods of the NGDCs and their suppliers differ significantly. Therefore, each NGDC is permitted to utilize its own appropriate billing periods for calculating pipeline transportation, storage service, and balancing or other penalties and its own tariffed procedure for imposing those penalties on customers who take gas service and NGSs who operate in a manner that is contrary to the rules and regulations of this chapter.
The provisions of this § 59.75 issued under 66 Pa.C.S. § § 501, 2203(15) and 2208.
The provisions of this § 59.75 adopted December 14, 2001, effective December 15, 2001, 31 Pa.B. 6800.
This section cited in 52 Pa. Code § 59.71 (relating to definitions); and 52 Pa. Code § 59.74 (relating to utility liability).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.81 Periodic reporting requirements for major gas utilities.
(a) For the purposes of this subchapter, each jurisdictional public utility with sales of 8 billion cubic feet per year or more including transportation volume shall submit to the Commission an annual integrated resource planning report. Except for Form 1A/2A, whose filing date is March 1, an original copy of the report shall be submitted on or before June 1, 1996, and June 1 of successive years. This report shall include a plan that includes the past year’s historical data, program changes, and the next 3-year forecast. One copy of the report shall also be submitted to the Office of Consumer Advocate, the Office of Small Business Advocate and the Bureau of Investigation and Enforcement. The information contained within the report shall conform to the following requirements:
(1) The name and telephone number of persons having knowledge of the matters, and to whom inquiries should be addressed.
(2) A forecast of annual and peak day energy demand requirements in million cubic feet displayed by component parts, as indicated in Form-IRP-Gas-1A and Form-IRP-Gas-lB. The load growth projections shall reflect the effects of price elasticity, market-induced conservation, building and appliance efficiency standards and the effects of the utility’s existing and planned conservation and load management activities.
(3) A forecast of annual and peak day energy supply resources in million cubic feet indicating sources of presently available and new supplies which the utility estimates will become available displayed by component parts, as indicated in Form-IRP-Gas-2A, a list of contracts for gas transportation, to the reporting utility’s city gate, upstream of the city gate and related to transportation as indicated in Form-IRP-Gas-2B and a list of contracts for gas storage services provided to the reporting utility, as indicated in Form-IRP-Gas-2C.
(4) A forecast of the number of customers (year end) displayed by component parts, as indicated in Form-IRP-Gas-3.
(5) A summary forecast of annual and peak day energy supply resources and demand requirements in million cubic feet, as indicated in Form-IRP-Gas-4A and Form-IRP-Gas-4B.
(6) The data required under paragraphs (1)—(5) shall consist of the past 2 years actual historical data, the current year (both actual and projected) and a 3-year forecast. For the purpose of this section, the term “current year” refers to the year in which the filing is being made.
(7) A detailed discussion of the methodologies, data sources and assumptions used in preparing the information required by this section shall be included.
(b) The reporting formats referred to in this section are contained in § 59.84 (relating to formats). Annual data shall be submitted on a calendar year basis, January 1 through December 31. If the utility purchases gas on a contract basis other than a calendar year, the contract time interval shall be identified.
(c) Annual integrated resource planning reports submitted under subsection (a) shall be accompanied by a summary suitable for public distribution. The summary shall include an implementation plan specifying activities scheduled for the acquisition and development of the resources delineated in the report, which are to take place during the planning period. Utilities shall maintain copies of the summary open for public inspection during normal business hours.
(d) Informal sessions may be scheduled for reviewing integrated resource plans and providing an opportunity for interested parties to participate in the review process.
The provisions of this § 59.81 issued under 66 Pa.C.S. § § 308(c), 501, 504, 523, 1319 and 1501; amended under 66 Pa.C.S. § § 501, 504, 523, 1301, 1501 and 1504.
The provisions of this § 59.81 adopted March 22, 1996, effective March 23, 1996, 26 Pa.B. 1265; amended June 23, 2000, effective June 24, 2000, 30 Pa.B. 3172; amended January 10, 2014, effective January 11, 2014, 44 Pa.B. 249. Immediately preceding text appears at serial pages (285478) and (267665).
This section cited in 52 Pa. Code § 59.82 (relating to Annual Conservation Report).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.82 Annual Conservation Report.
(a) For purposes of this subchapter, each jurisdictional gas utility with sales of 8 billion cubic feet per year or more including transportation volume, shall submit its Annual Conservation Activities Report and incorporate it with the reporting requirements found at § 59.81(a) (relating to periodic reporting requirements for major gas utilities) on or before June 1 of each year except for Form 1 which is due March 1. The report shall contain a description of conservation and load management programs implemented or operational during the past calendar year and programs which are proposed to be implemented within 1 year following the filing of the report.
(1) A conservation program shall include a method designed to produce a reduction in total annual energy use, regardless of its effect on peak demand.
(2) A load management program shall include a method to reduce the peak or maximum load or demand, with little or no change in total annual energy use.
(b) The description shall conform to the Form-IRP-Gas-5 and shall contain:
(1) A descriptive title of the program.
(2) The purpose or objective.
(3) The details of program activity and implementation schedule.
(4) An accounting of the monetary and personnel resources actually or proposed to be expended or devoted to the program.
(5) The actual or anticipated results of the program in terms of energy savings, reduction of utility on peak demand or other appropriate measure of the program’s objective.
(c) The report shall also contain, for each class or type of energy user the number of customers in each class as of the end of the previous year, the total energy consumed by each class and the individual target consumption reductions for each class, as indicated on Form-IRP-Gas-6.
(d) The report shall include a summary of programs, as indicated on Form-IRP-Gas-7.
(e) For each program with an annual utility expenditure of more than $100,000 or more than 0.1% of total annual revenue, whichever is less, excepting informational, educational or research and development programs, the utility shall submit a cost-benefit analysis using the common evaluation methodology in § 59.83 (relating to evaluation methodology), as indicated on Forms-IRP-Gas-8 and IRP-Gas-9.
(f) The Commission, through its Bureau of Conservation, Economics and Energy Planning, may issue a list of specific conservation and load management programs which shall be considered for implementation by each designated utility. The utility shall provide information documenting the consideration of these and other conservation and load management options and supporting the utility’s decision of whether or not to implement the options.
(g) Utilities shall maintain copies of the annual conservation reports open to public inspection during normal business hours. Customers shall be notified, in writing, of the availability of the reports for public inspection. Notification may be included with customers’ monthly bills.
(h) The following forms have been provided for under this chapter as a format to be used in preparing the annual conservation report:
(1) Form-IRP-Gas-5—Program Description.
(2) Form-IRP-Gas-6—Energy Users.
(3) Form-IRP-Gas-7—Program Summary.
(4) Form-IRP-Gas-8—Cost-Benefit Analysis Inputs.
(5) Form-IRP-Gas-9—Cost-Benefit Analysis Results.
The provisions of this § 59.82 issued under 66 Pa.C.S. § § 308(c), 501, 504, 523, 1319 and 1501.
The provisions of this § 59.82 adopted March 22, 1996, effective March 23, 1996, 26 Pa.B. 1265.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.83 Evaluation methodology.
For purposes of this subchapter, each jurisdictional utility with sales of 8 billion cubic feet per year or more including transportation volume, shall utilize benefit-cost methodologies as prescribed by the Bureau of Conservation, Economics and Energy Planning to evaluate the costs and benefits of conservation and load management programs, and demand-side management programs. The cost-benefit methodologies shall be utilized by the utility during the next program year after they are prescribed.
The provisions of this § 59.83 issued under 66 Pa.C.S. § § 308(c), 501, 504, 523, 1319 and 1501.
The provisions of this § 59.83 adopted March 22, 1996, effective March 23, 1996, 26 Pa.B. 1265.
This section cited in 52 Pa. Code § 59.82 (relating to Annual Conservation Report).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.84 Formats.
In preparing the annual integrated resource planning reports required by § 59.81(a) (relating to periodic reporting requirements for major gas utilities), each jurisdictional utility shall use the forms and schedules specified by the Bureau of Conservation, Economics and Energy Planning, which shall include the following:
(1) Form-IRP-Gas-lA—Annual Gas Demand Requirements; Form-IRP-Gas-1B—Peak Day Gas Requirements.
(2) Form-IRP-Gas-2A—Natural Gas Supply; Form-IRP-Gas-2B—Natural Gas Transportation; Form-IRP-Gas-2C—Natural Gas Storage.
(3) Form-IRP-Gas-3—Number of Customers (Year End).
(4) Form-IRP-Gas-4A—Annual Supply and Demand Requirements Summary; Form-IRP-Gas-4B—Peak Day Supply and Demand Requirements Summary.
(5) Form-IRP-Gas-5—Program Description.
(6) Form-IRP-Gas-6—Energy Users.
(7) Form-IRP-Gas-7—Program Summary.
(8) Form-IRP-Gas-8—Cost-Benefit Analysis Inputs.
(9) Form-IRP-Gas-9—Cost-Benefit Analysis Results.
The provisions of this § 59.84 issued under 66 Pa.C.S. § § 308(c), 501, 504, 523, 1319 and 1501.
The provisions of this § 59.84 adopted March 22, 1996, effective March 23, 1996, 26 Pa.B. 1265; amended June 23, 2000, effective June 24, 2000, 30 Pa.B. 3172. Immediately preceding text appears at serial pages (246441) to (246442).
This section cited in 52 Pa. Code § 59.81 (relating to periodic reporting requirements for major gas utilities).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.91 Definitions.
The following words and terms, when used in this section and § § 59.92—59.99, have the following meanings, unless the context clearly indicates otherwise: Customer—A retail gas customer as defined by 66 Pa.C.S. § 2202 (relating to definitions). The term includes all persons identified by the NGDC ratepayer of record, under § 59.95 (relating to persons authorized to act on behalf of a customer), as authorized to act on behalf of the NGDC ratepayer of record in changing the NGS for the account. Data element—One or more characters that represent numeric or alphanumeric fields of data. NGDC—Natural Gas Distribution Company—An NGDC as defined by 66 Pa.C.S. § 2202. NGS—Natural gas supplier—A supplier as defined by 66 Pa.C.S. § 2202.
The provisions of this § 59.91 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.91 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.92 Customer contacts with the NGDC.
When a customer orally contacts the NGDC to request a change of NGS, the NGDC shall notify the customer that the selected NGS shall be contacted directly to initiate the change.
The provisions of this § 59.92 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.92 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.93 Customer contacts with NGSs.
When a contact occurs between a customer and an NGS to request a change of the NGS, upon receiving direct oral confirmation or written authorization from the customer to change the NGS, the customer’s new NGS shall:
(1) Notify the NGDC of the customer’s NGS selection by the end of the next business day following completion of the application process. The NGDC shall verify the accuracy of the information provided by the NGS by matching at least two data elements such as name and account number, or address and account number, with NGDC records.
(2) Upon receipt of this notification, the NGDC shall send the NGDC ratepayer of record a confirmation letter noting the proposed change of NGS. This letter shall include notice of a 10-day waiting period in which the order may be canceled before the change of the NGS takes place. The notice shall include the date service with the new NGS will begin unless the customer contacts the NGDC to cancel the change. The 10-day waiting period shall begin on the day the letter is mailed. The letter shall be mailed by the end of the next business day following the receipt of the notification of the customer’s selection of a NGS.
The provisions of this § 59.93 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.93 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.94 Time frame requirement.
When a customer has provided the NGS with oral confirmation or written authorization to change NGSs, the NGDC shall make the change at the beginning of the first feasible billing period following the 10-day waiting period, as prescribed in § 59.93 (relating to customer contacts with NGSs).
The provisions of this § 59.94 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.94 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.95 Persons authorized to act on behalf of a customer.
A customer may identify persons authorized to make changes to the customer’s account. To accomplish this, the customer shall provide the NGDC with a signed document identifying by name those persons who have the authority to initiate a change of the customer’s NGS.
The provisions of this § 59.95 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.95 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.96 Valid written authorization.
A document signed by the customer whose sole purpose is to obtain the customer’s consent to change NGSs shall be accepted as valid and result in the initiation of the customer’s request. Documents not considered as valid include canceled checks, signed entries into contests and documents used to claim prizes won in contests.
The provisions of this § 59.96 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.96 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.97 Customer dispute procedures.
(a) When a customer contacts an NGDC or an NGS and alleges that the customer’s NGS has been changed without consent, the company contacted shall:
(1) Consider the matter a customer registered dispute.
(2) Investigate and respond to the dispute consistent with the requirements in § § 56.151 and 56.152 (relating to utility company dispute procedures).
(b) When the customer’s dispute has been filed within the first two billing periods since the customer should reasonably have known of a change of NGSs and the dispute investigation establishes that the change occurred without the customer’s consent, the customer is not responsible for NGS charges rendered during that period. If the customer has made payments during this period, the company responsible for initiating the change of supplier shall issue a complete refund within 30 days of the close of the dispute. The refund or credit provision applies only to the natural gas supply charges.
(c) A customer who has had a NGS changed without having consented to that change shall be switched back to the original NGS for no additional fee. Charges involved in the switch back to the prior NGS shall be the responsibility of the company that initiated the change without the customer’s consent.
(d) If a customer files an informal complaint with the Commission alleging that the customer’s NGS was changed without the customer’s consent, the Bureau of Consumer Services will issue an informal decision that includes a determination of customer liability for any NGS bills or administrative charges that might otherwise apply, rendered since the change of the NGS.
(e) In addition to customer-specific remedies, the Commission may, after investigation and decision, assess fines under 66 Pa.C.S. Chapter 33 (relating to violations and penalties), and initiate proceedings to revoke the license of any NGS that demonstrates a pattern of violating this chapter. The Commission may order a particular NGS that has a pattern of violating this chapter to obtain written authorization from every new customer as a condition of providing service in this Commonwealth. Nothing in this section limits the Commission’s authority.
The provisions of this § 59.97 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.97 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline); 52 Pa. Code § 111.7 (relating to customer authorization to transfer account; transaction; verification; documentation); and 52 Pa. Code § 111.13 (relating to customer complaints).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.98 Provider of last resort.
Sections 59.91—59.99 do not apply in instances when the customer’s service is discontinued by the NGS and subsequently provided by the provider of last resort because no other NGS is willing to provide service to the customer.
The provisions of this § 59.98 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.98 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.99 Record maintenance.
Each NGDC and each NGS shall preserve all records relating to unauthorized change of NGS disputes for 3 years from the date the customers filed the disputes. These records shall be made available to the Commission or its staff upon request.
The provisions of this § 59.99 issued under 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
The provisions of this § 59.99 adopted July 7, 2000, effective July 8, 2000, 30 Pa.B. 3451.
This section cited in 52 Pa. Code § 111.6 (relating to discipline).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.111 Unaccounted-for-gas.
(a) Definitions. The following words and terms, when used in this section, have the following meanings, unless the text clearly indicates otherwise: Adjustments—Gas used by an NGDC or city natural gas distribution operation for safe and reliable service, such as company use, calculable losses from construction, purging, storage migration, other temperature and pressure adjustments, and adjustments for heat content of natural gas. Gas delivered—Gas provided by the distribution, transmission, storage or production/gathering facilities of an NGDC or city natural gas distribution operation, regardless of use, adjusted for temperature or pressure variations. This category includes quantities of gas consumed by an end user, exchange gas supplied to another utility, gas delivered to transportation customers or other gas delivered to a user other than the utility. When bill timing issues arise, an effort shall be made to reasonably estimate consumption. Gas received—Gas that is supplied to the distribution, transmission, storage or production/gathering facilities of an NGDC or city natural gas distribution operation, regardless of use, adjusted for temperature or pressure variations. This category includes gas for sales, storage, transportation quantities, exchange gas received or other quantity of gas that otherwise enters the utility’s facilities. NGDC—Natural gas distribution company. UFG—Unaccounted-for-gas—The difference between the total gas available from all sources and the total gas accounted for as sales, net interchange and company use. This difference includes leakage or other actual losses, discrepancies due to meter inaccuracies, variations of temperatures or pressures, or both, and other variants, particularly billing lag.
(b) Calculation.
(1) UFGx = Gas Receivedx - Gas Deliveredx - Adjustmentsx
(2) %UFGx = (UFGx/Gas Received) * 100
(3) X denotes the system type (distribution, transmission, storage or production/gathering). When possible, UFG must be computed and reported by system type.
(4) Gas received, gas delivered and adjustments must represent actual gas quantities. Estimates may be provided but must be clearly identified and have supporting justification, assumptions and calculations.
(5) Adjustments must be individually identified by category (such as company use, calculable losses from construction, purging, storage migration, other temperature and pressure adjustments, and adjustments for heat content of natural gas). Adjustments must be supported by metered data, sound engineering practices or other quantifiable results that clearly support the utility’s need for the adjustment. Adjustments must be consistent from filing to filing.
(6) The definition of ‘‘UFG’’ in subsection (a) and the calculation under this subsection apply to UFG filed with the Commission.
(c) Metrics for distribution system losses.
(1) Each NGDC and city natural gas distribution operation shall, at a minimum, reduce distribution system loss performance in accordance with the metrics in the following table, beginning with its first subsequent Purchased Gas Cost (PGC) or Gas Cost Rate (GCR) filing after August 11, 2014. The metric starts with 5% in the first year and decreases by 0.5% every year in the subsequent years until it reaches 3% as shown in the following table:
(2) The distribution metrics shall be applied on an annual basis for the 12 months ending August 31. UFG reports, as described by the Commission and relating to this section, shall be filed by September 30th of each year.
(3) UFG levels above the applicable annual targets in paragraph (1) shall be presumed to be excessive absent evidence to the contrary and may not be recovered within the current or a future PGC or GCR filing. If an NGDC’s actual UFG exceeds an applicable target, the NGDC may demonstrate that its level of UFG is warranted.
The provisions of this § 59.111 issued under 66 Pa.C.S. § § 501, 504, 523, 1301, 1501 and 1504.
The provisions of this § 59.111 adopted August 9, 2013, effective August 10, 2013, 43 Pa.B. 4586.
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.131 Purpose.
The purpose of this section and § § 59.132—59.143 (relating to hazardous liquid public utility safety standards) is to set forth safety standards for all hazardous liquid public utilities regarding their intrastate operations in this Commonwealth. These sections establish construction and HDD or TT standards for hazardous liquid public utilities constructing new pipelines and converting, relocating or replacing existing pipelines with certain exceptions, as well as accident reporting, other reporting, O&M, qualification of pipeline personnel, land agent and corrosion control standards for all hazardous liquid public utilities.
The provisions of this § 59.131 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.131 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.132 (relating to definitions).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.132 Definitions.
The following words and terms, when used in § 59.131, this section and § § 59.133—59.143 (relating to hazardous liquid public utility safety standards), have the following meanings, unless the context clearly indicates otherwise: API RP 1130—American Petroleum Institute Recommended Practice 1130—The term as defined in 49 CFR 195.3 (relating to what documents are incorporated by reference partly or wholly in this part?). API RP 1162—American Petroleum Institute Recommended Practice 1162—The term as defined in 49 CFR 195.3. Affected public—Residents (occupants, tenants, farmers, homeowners’ associations or groups, neighborhood organizations and the like) and places of congregation (businesses, schools, places of worship, hospitals and other medical facilities, prisons, parks and recreational areas, day care facilities, playgrounds and the like) within 1,000 feet of the center of the pipeline or pipeline facility within the LFL, of a pipeline or pipeline facility, whichever is greater. As-called anomaly—In-line inspection predicted anomaly. As-found anomaly—Field-measured anomaly. CPM—Computation pipeline monitoring—The term as defined in 49 CFR 195.2 (relating to definitions). Construction task—An activity, identified by a hazardous liquid public utility, performed under 49 CFR 195 Subpart D (relating to construction) or § 59.137 (relating to construction). Covered task—The term as defined in 49 CFR 195.501 (relating to scope). Emergency responder—Local fire, local police and local emergency medical services; county hazmat teams, county departments of emergency services and county 911 centers; and other local, city, county or State emergency officials or representatives with emergency response or public safety jurisdiction, or both, within 1,000 feet of the center of the pipeline or pipeline facility. Ground patrol—A method of patrol that includes walking, driving, using a low-flying drone with sufficient optical resolution operated by a qualified drone operator with an altitude limit of 25 feet or other like non-aerial means of traversing a pipeline right-of-way. HCA—High consequence area—The term as defined in 49 CFR 195.450 (relating to definitions). HDD—Horizontal directional drilling—A trenchless construction methodology for installing pipelines, conduits or cable utilizing drilling fluid, often pressurized, and consisting of a directionally controlled (for example, steerable) pilot hole drilled along a predetermined path extending from grade at one end of drilled segment to grade at the opposite end; enlarging the pilot hole to a size which will accommodate a pipeline; pulling a pipeline/conduit into the enlarged hole; and a method accomplished using a horizontal drilling rig. HVL—Highly volatile liquid—The term as defined in 49 CFR 195.2. Hazardous liquid—Crude oil, gasoline, petroleum or petroleum products. Hazardous liquid public utility—A person or corporation now or hereafter owning or operating in this Commonwealth equipment or facilities for transporting or conveying crude oil, gasoline, petroleum or petroleum products, by pipeline or conduit, for the public for compensation. LFL—Lower flammability limit—Usually expressed in volume percent, the lower end of the concentration the range over which a flammable mixture of gas or vapor in the air can be ignited at a given temperature and pressure; and the flammability range is delineated by the upper and lower flammability limits. Land agent—A person who negotiates easements on behalf of a hazardous liquid public utility for use in connection with a pipeline. O&M—Operations and maintenance. OQ—Operator qualification—A process where an individual is determined to be qualified by a hazardous liquid public utility through training and evaluation of that individual’s knowledge, skills and abilities to perform the duties required of an operator. PHMSA—Pipeline and Hazardous Materials Safety Administration—The administration within the United States Department of Transportation responsible for the safe transportation of energy and other hazardous materials. Pipe—A tube that is used for the transportation of a hazardous liquid. Pipeline—Parts of a pipeline facility through which a hazardous liquid moves in transportation, including pipe, valves and other appurtenances connected to pipe, pumping units, fabricated assemblies associated with pumping units, metering and delivery stations and fabricated assemblies therein and breakout tanks. Pipeline facility—New and existing pipe, rights of way, and any equipment, facility or building used in the transportation of hazardous liquids. Pipeline Safety Section—The section of the Safety Division within the Commission’s Bureau of Investigation and Enforcement responsible for pipeline safety. Public official—An elected or appointed local, city, county or state official having land use and street or road jurisdiction within 1,000 feet of the center of the pipeline or pipeline facility. Response drill—Interactive pipeline coordinated exercise training between pipeline operators, public officials and emergency responders to pre-plan for pipeline emergency response, using a local pipeline incident scenario to exchange resources and capabilities of all included. School—An institution with physical buildings and grounds, wherein children between the grades of nursery school through twelfth grade are educated within 1,000 feet of the center of a pipeline or pipeline facility. A school may be private or public. This term includes nursery schools but does not include virtual cyber schools. TT—Trenchless technology—A type of subsurface construction work that requires few trenches or no trenches which includes any trenchless construction methodology, including without limitation, horizontal direction drilling, guided auger bore, cradle bore, conventional auger bore, jack bore/hammer bore, guided bores and proprietary trenchless technology. Table-top drill—Discussion-based simulated exercise whereby utility personnel meet with county-level, city-level and municipality-level officials and local emergency responders in a classroom setting or in breakout groups to discuss and practice their respective roles during an emergency involving the hazardous liquid public utility’s facilities and the recommended responses to an emergency situation.
The provisions of this § 59.132 added under 66 Pa.C.S. § 102.
The provisions of this § 59.132 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.133 General.
(a) Minimum safety standards. The minimum safety standards for all hazardous liquid public utilities in this Commonwealth shall be those issued under the pipeline safety laws as found in 49 U.S.C. § § 60101—60503 and as implemented at 49 CFR Parts 195 and 199 (relating to transportation of hazardous liquids by pipeline; and drug and alcohol testing), including all subsequent amendments thereto, unless otherwise specified herein. Future Federal amendments to 49 CFR Parts 195 and 199, as amended or modified by the Federal government, shall have the effect of amending or modifying the Commission’s regulations with regard to the minimum safety standards for hazardous liquid public utilities and shall take effect 60 days after the effective date of the Federal amendment or modification, unless the Commission publishes a notice in the Pennsylvania Bulletin stating that the amendment or modification may not take effect.
(b) Enforcement. A hazardous liquid public utility shall be subject to inspections by the Pipeline Safety Section as may be necessary to review for compliance with the minimum safety standards in subsection (a) and the safety standards in § § 59.134—59.143. The facilities, maps, books and records of a hazardous liquid public utility must be made accessible to the Pipeline Safety Section for the inspections upon request. A hazardous liquid public utility shall provide to the Pipeline Safety Section the reports, supplemental data and information as the Pipeline Safety Section may request in the administration and enforcement of § § 59.134—59.143.
(c) Records. A hazardous liquid public utility shall keep adequate records to demonstrate compliance with the minimum safety standards in subsection (a) and the safety standards in § § 59.134—59.143. The records, including maps, must be made accessible to the Pipeline Safety Section upon request.
(d) Pipeline conversion. A hazardous liquid public utility converting its service or product shall notify the Pipeline Safety Section no later than 60 days before the conversion occurs.
The provisions of this § 59.133 added under 66 Pa.C.S. § 102.
The provisions of this § 59.133 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); and 52 Pa. Code § 59.132 (relating to definitions).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.134 Accident reporting.
(a) Scope. This section establishes requirements for a hazardous liquid public utility reporting an accident.
(b) Failure analysis reports. Following an accident that causes any of the results identified in 49 CFR 195.50 (relating to reporting accidents), a hazardous liquid public utility shall provide to the Pipeline Safety Section an unredacted failure analysis report based on laboratory testing within 120 days of an accident or within 10 days of the report completion, whichever comes first. The failure analysis must be conducted by a Pipeline Safety Section-approved independent third-party laboratory. The Pipeline Safety Section has authority to grant or deny requests upon a showing of good cause for 30-day extensions of the deadline.
(1) If the failure analysis report cannot be completed within 120 days, a hazardous liquid public utility may request, in writing to the Pipeline Safety Section, a 30-day extension to submit this report. Additional 30-day extensions may be requested for good cause thereafter.
(2) The hazardous liquid public utility shall provide the Pipeline Safety Section with a status report every 14 days during an extension period until the unredacted failure analysis report is submitted to the Pipeline Safety Section.
(c) Root cause analysis reports. Following an accident that causes any of the results identified in 49 CFR 195.50, a hazardous liquid public utility shall provide to the Pipeline Safety Section an unredacted root cause analysis report identifying the contributing factors to an accident within 120 days of the accident or within 10 days of report completion, whichever comes first. The root cause analysis must be conducted by a Pipeline Safety Section-approved independent third-party consultant. The Pipeline Safety Section has authority to grant or deny requests upon a showing of good cause for 30-day extensions of the deadline.
(1) If the root cause analysis report cannot be completed within 120 days, the hazardous liquid public utility may request, in writing to the Pipeline Safety Section, a 30-day extension to submit this report. Additional 30-day extensions may be requested for good cause thereafter.
(2) The hazardous liquid public utility shall provide the Pipeline Safety Section with a status report every 14 days during an extension period until the unredacted root cause analysis report is submitted to the Pipeline Safety Section.
(d) Process for obtaining approval of a third-party laboratory and a third-party consultant. This subsection establishes the process through which a hazardous liquid public utility obtains approval of a third-party laboratory and a third-party consultant to conduct the analyses required by subsections (b) and (c), respectively.
(1) Upon receipt of an accident notification from the Pipeline Safety Section, a hazardous liquid public utility shall submit a recommendation to the Pipeline Safety Section regarding the third-party laboratory that will conduct the failure analysis and the third-party consultant that will conduct the root cause analysis within 20 days.
(2) The Pipeline Safety Section will review the hazardous liquid public utility’s recommendation and make a determination as to whether the third-party laboratory or the third-party consultant:
(i) Is not affiliated with the hazardous liquid public utility.
(ii) Has not conducted work on behalf of the hazardous liquid public utility in the past 5 years that would potentially create a conflict of interest.
(iii) Is capable of performing the failure analysis and root cause analysis, respectively, using required equipment and industry best practices.
(3) The Pipeline Safety Section will approve or disapprove the recommendation within 14 days of a hazardous liquid public utility’s submission. If the recommendation is not approved or disapproved within 14 days, the hazardous liquid public utility’s recommendation is presumed approved. If disapproved, the Pipeline Safety Section will describe in detail the reasons for disapproval. The Pipeline Safety Section will serve its determination on the hazardous liquid public utility.
(4) The hazardous liquid public utility may respond to the disapproval within 5 days. The Pipeline Safety Section will approve or disapprove the recommendation within 14 days of the hazardous liquid public utility’s response to the disapproval. The Pipeline Safety Section will serve its determination on the hazardous liquid public utility.
(5) The hazardous liquid public utility may appeal the determination of the Pipeline Safety Section in accordance with § 5.44 (relating to petitions for reconsideration from actions of the staff). An appeal will not stay the requirements of subsection (d).
(6) Once a third-party laboratory or third-party consultant is approved, a hazardous liquid public utility need not seek reapproval for its third-party laboratory or third-party consultant.
(7) An exception to paragraph (6) is that approval of a third-party laboratory or third-party consultant may be revoked by the Pipeline Safety Section for violations of the approval standards in paragraph (2), and the hazardous liquid public utility may then recommend another third-party laboratory or third-party consultant for approval.
(e) Immediate notice of certain accidents. In addition to the requirement that a hazardous liquid public utility report accident information to the National Response Center under 49 CFR 195.52 (relating to immediate notice of certain accidents), at the earliest practicable moment following discovery of a release of the hazardous liquid transported resulting in an event described in 49 CFR 195.50, but no later than one hour after confirmed discovery, the hazardous liquid public utility shall report the accident to the Pipeline Safety Section and to emergency responders, providing the information listed in 49 CFR 195.52(b). The notifications must be made by both a telephone call and electronic mail.
The provisions of this § 59.134 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.134 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.135 Construction, operation and maintenance, and other reports to the Commission.
(a) Scope. This section establishes requirements for a hazardous liquid public utility reporting construction, O&M and other activities.
(b) Time frame for notice. A hazardous liquid public utility shall notify the Pipeline Safety Section of the following:
(1) Proposed major construction or proposed major maintenance involving an expenditure in excess of $300,000 or 10% of the cost of the pipe in service, whichever is less, 30 days prior to commencement.
(2) Planned maintenance, verification digs and assessments involving an expenditure in excess of $50,000, and the unearthing of dents, pipe ovality features, cracks, gouges or corrosion anomalies, or other suspected metal losses 10 days prior to commencement, except where the hazardous liquid public utility determines this activity must occur prior to 10 days from the date of discovery of the condition to be investigated or addressed, in which instance notification must occur as soon as practicable.
(3) Unplanned or emergency maintenance, verification digs and assessments due to excavation damage, washouts or unplanned replacements of a pipeline section or cut out as soon as practicable, but no later than 2 hours after discovery.
(4) A change in excavation technique (for example, from open cut to TT or vice versa, as well as a change from one TT to another TT) to the hazardous liquid public utility’s established construction methodologies at least 48 hours prior to commencement.
(5) The introduction of a hazardous liquid 30 days prior to the introduction. At a minimum, this notice must also be given to public officials in writing by means of electronic mail.
(c) Content of notice generally. Notice provided to the Pipeline Safety Section under subsection (b)(1)—(5) must include the following information:
(1) The hazardous liquid public utility’s name.
(2) Pipeline route.
(3) Length of the pipeline.
(4) The counties and municipalities traversed.
(5) Estimated start and completion dates.
(6) Pipeline identification information.
(7) A change in flow direction.
(8) Commodity or product.
(d) Information to be provided upon request generally. Upon request, a hazardous liquid public utility shall provide the following information to the Pipeline Safety Section with its notice under subsection (b)(1)—(5):
(1) Project information.
(i) A description of the work to be completed.
(ii) The location of the project, including counties, municipalities and cross streets.
(iii) Contact information.
(2) Pipe specifications.
(i) Nominal outside diameter, D (inches).
(ii) Nominal wall thickness, t (inches).
(iii) Type and grade of pipe.
(iv) Manufacturers of steel and pipe.
(v) Longitudinal joint type.
(vi) Specified minimum yield strength, or SMYS, (psi).
(vii) Nominal ultimate strength (psi).
(viii) Fracture toughness by applicable material testing.
(ix) Mill test pressure (psi).
(x) A statement indicating whether pipe is new or used.
(xi) If used pipe is employed, a description of the inspection and reconditioning procedures used.
(xii) The physical and chemical specifications of pipe verified by outside laboratories.
(3) Operating pressure and stress.
(i) Maximum operating pressure, P (psi).
(ii) Calculated pipe stress (hoop stress) = PD/2t (psi).
(iii) Ratio of pipe stress to SMYS (percent).
(4) Welding.
(i) Percentage of welds to be radiographed, by location.
(ii) The method for certifying the radiographic technician.
(5) Railroad, road and water crossings.
(i) The location of each pipe at a lake, river, stream or creek crossing, and a description of special construction precautions to be followed.
(ii) Encroachments to railroads or roads, by location, and a description of special construction precautions to be followed.
(iii) The location of each pipe at a railroad and road crossing and a statement indicating whether each pipe is cased or uncased and whether heavier wall carrier pipe is used. If a pipe is uncased, the notification must provide the reason.
(6) Valves.
(i) Number and spacing of manual sectionalizing valves.
(ii) The type, make and location of any automatic valves.
(7) Minimum cover and clearance.
(i) The location, nature of the problem, cover and clearance, if the minimum prescribed cover and clearance cannot be maintained.
(ii) Special precautions to be observed.
(8) Piping.
(i) The type of field coating.
(ii) The type of coating test.
(iii) The type of cathodic protection system.
(9) Pressure and leakage tests.
(i) Test pressure.
(ii) Test medium.
(iii) Test duration.
(iv) The length of the test section.
(10) Pipeline rights-of-way.
(i) A statement indicating whether the necessary right-of-way has been obtained from each party having an interest in the right-of-way.
(ii) A statement indicating whether formal approval and all necessary permits have been obtained from appropriate agencies.
(e) Information to be provided upon request for assessments and verification digs involving an expenditure in excess of $50,000 and the unearthing of suspected anomalies. Upon request, a hazardous liquid public utility shall provide the following information to the Pipeline Safety Section with its notice under subsection (b)(2):
(1) Identification information for the pipeline to be assessed.
(2) The location range of the area to be assessed.
(3) A description of the assessment.
(4) Discovery method.
(5) The type, size, pipe location and designated repair condition of any as-called anomalies and any as-found anomalies, and the location of the anomalies with latitude and longitude coordinates.
(6) The estimated assessment start and completion dates and dig dates.
The provisions of this § 59.135 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.135 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.136 Annual reports.
(a) Annual report to PHMSA. Under 66 Pa.C.S. § 504 (relating to reports by public utilities), each hazardous liquid public utility shall provide annually to the Pipeline Safety Section a copy of its annual report under 49 CFR 195.49 (relating to annual report) for each type of hazardous liquid pipeline facility operated at the end of the previous year at the time it makes the Federal submission.
(b) Annual report to Pipeline Safety Section. On or before June 15 each year, each hazardous liquids public utility shall provide to the Pipeline Safety Section a report that details its jurisdictional tariffed assets in this Commonwealth as reflected in its annual report to PHMSA.
The provisions of this § 59.136 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.136 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.137 Construction.
(a) Scope. This section establishes requirements for a hazardous liquid public utility constructing a new pipeline or converting, relocating or replacing an existing pipeline.
(b) Pipeline location. In addition to the requirements of 49 CFR 195.210 (relating to pipeline location), a hazardous liquid public utility may not construct a new pipeline, convert or relocate an existing pipeline in a location under a building or a dwelling, including private dwellings, industrial buildings and buildings intended as a place of congregation. This requirement does not apply to the repair or replacement of existing pipelines.
(c) Welds: nondestructive testing. A hazardous liquid public utility shall nondestructively test all girth welds. Nondestructive testing must be performed under 49 CFR 195.234(b) (relating to welds: nondestructive testing). Exceptions to nondestructive testing are adopted by reference from 49 CFR 195.248 (relating to cover over buried pipeline) and incorporated herein.
(d) Cover over buried pipeline. In addition to the requirements of 49 CFR 195.248, a hazardous liquid public utility shall specify in their O&M procedures the intervals at which it verifies depth of cover and shall maintain the depth of cover required by Federal law for all pipes actively in use for transporting hazardous liquids.
(e) Clearance between pipe and underground structures. A hazardous liquid public utility shall construct and subsequently maintain a minimum of 12 inches of clearance between the outside of the pipe and the extremity of any other underground structure, including structures owned by the hazardous liquid public utility and foreign structures. Pre-existing pipelines on the effective date of this subsection are exempt from this requirement.
(f) Vehicle barriers. A hazardous liquid public utility shall install vehicle barriers at an above-ground valve station adjacent to a roadway. The vehicle barriers must be designed and constructed to protect the above-ground valve station from vehicles. An exception is when the physical characteristics of a valve station render vehicle barriers unnecessary, that is, the valve has a natural berm or barriers that would render an additional vehicle barrier unnecessary. This requirement applies to valve stations constructed after the effective date of this subsection and adjacent to roadways.
The provisions of this § 59.137 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.137 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.138 Horizontal directional drilling and trenchless technology, or direct buried methodologies.
(a) Scope. This section establishes requirements for hazardous liquid public utilities using HDD, TT or direct buried methodologies for constructing new pipelines, and relocating or replacing existing pipelines (the foregoing terms individually or in the aggregate shall constitute the term ‘‘construction’’ for purposes of this section), or in the O&M of pipelines as referenced in 49 CFR 195 Subpart F (relating to operation and maintenance).
(b) Notifications.
(1) At least 30 days prior to the beginning of HDD, TT or direct buried construction, a hazardous liquid public utility shall provide notice of the date that HDD, TT or direct buried construction will begin as follows:
(i) The Pipeline Safety Section by electronic mail.
(ii) Local government officials and county emergency management through electronic mail.
(iii) The affected public by means of door cards, regular mail and local newspaper notices.
(2) If the date of commencement of HDD, TT or direct buried construction is extended or delayed, the hazardous liquid public utility shall renotify the Pipeline Safety Section, local government officials and county emergency management by electronic mail of the date the HDD, TT or direct buried construction will begin.
(3) The hazardous liquid public utility shall hold at least one public meeting with local government, residents and emergency responders at least 30 days before the commencement of HDD, TT or direct buried construction within the boundaries of the jurisdictions of the local governments where the HDD, TT or direct buried construction is planned to occur.
(4) Notice must be given to the Pipeline Safety Section supervisor and manager on duty by electronic mail and telephone call at least 24 hours prior to the commencement of HDD, TT or direct buried construction and must include the names of all municipalities affected, GPS coordinates of the entry point of the drilling operation and the date when drilling will begin.
(c) Geological and environmental impacts. For a pipeline with a bore diameter 8 inches or greater, a bore depth greater than 10 feet or pipeline length greater than 250 feet, a hazardous liquid public utility using HDD or TT methodology shall do all of the following:
(1) Conduct an analysis of geological and environmental impacts of using HDD or TT methodology. An analysis developed in conformance with the Department of Environmental Protection’s Trenchless Technology Guidance, Document No. 310-2100-003, as amended and updated, or in a manner at least as protective of public health, public safety and the environment meeting all applicable statutory and regulatory requirements, shall satisfy this requirement. The analysis shall be made available to the Pipeline Safety Section upon request.
(2) Develop a written preparedness, prevention and contingency plan that:
(i) Addresses all of the following:
(A) Potential environmental impacts from drilling fluid discharges.
(B) Potential impacts to public and private water supplies.
(C) Underground mining and karst terrain.
(ii) Is made available to the Pipeline Safety Section upon request.
(3) Conduct a geotechnical evaluation of subsurface conditions before and after construction along a pipeline or pipeline facility using appropriate geophysical techniques as recommended by a licensed professional geophysicist, professional geologist or professional geotechnical engineer. The evaluations shall be made available to the Pipeline Safety Section upon request.
(4) Conduct geotechnical sampling at the locations where suspected anomalous conditions are identified through geophysics analysis and conduct post-construction geophysics analysis within 30 days of pipeline installation using the techniques as recommended by the licensed professional geophysicist, professional geologist or professional geotechnical engineer. The analyses shall be made available to the Pipeline Safety Section upon request.
(5) Maintain the integrity of affected pipeline facilities in accordance with 49 CFR 195.452(h) (relating to pipeline integrity management in high consequence areas) including in non-HCAs and take actions to mitigate risk including all of the following:
(i) Beginning mitigation of all adverse environmental impacts as soon as practicable and notifying the Pipeline Safety Section within 2 hours of determination with a follow-up action plan within 24 hours of determination of the impact if anomalous conditions are found.
(ii) Following 49 CFR 195.55 (relating to reporting safety-related conditions) and applicable State laws and regulations.
(6) Provide the Pipeline Safety Section with the following upon request:
(i) HDD design plans reviewed and sealed by a licensed Pennsylvania professional engineer and a professional geologist, including all of the following:
(A) The exact location and a general area map.
(B) A description of the project, including the pipeline identification information, size and grade.
(C) The total project cost.
(D) The estimated start and completion date.
(ii) Proof of required notifications.
(iii) Geotechnical sampling, at a minimum, every 250 feet.
(iv) Geotechnical report.
(d) Protection of water wells and supplies. For HDD or TT construction near a private water supply source, a public water supply source, or both, such as a well or a reservoir, a hazardous liquid public utility shall do all of the following:
(1) Identify public and private water supply wells within 1,000 feet of HDD or TT construction, surface water intakes within 1 mile downstream and water supplies deemed at potential risk due to geological structures.
(2) Identify the owners and users of water supplies within 1,000 feet of HDD or TT construction.
(3) Notify owners and users of a water supply identified in paragraph (2) prior to the beginning of HDD or TT construction and provide them with an opportunity to have their water supplies tested before, during and after HDD or TT construction.
(e) Records. A hazardous liquid public utility shall maintain records documenting compliance with the requirement of this section. The records must be made accessible to the Pipeline Safety Section upon request. A hazardous liquid public utility shall retain the records for the life of the pipeline.
The provisions of this § 59.138 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.138 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.140 Operations and maintenance.
(a) Scope. This section establishes requirements for a hazardous liquid public utility operating and maintaining a pipeline.
(b) Emergency procedures manual and activities. In addition to adhering to 49 CFR 195.402 (relating to procedural manual for operations, maintenance, and emergencies), a hazardous liquid public utility shall establish and maintain liaison with emergency responders and shall consult with them in developing and updating an emergency procedures manual, which must be made available upon request to the Pipeline Safety Section, addressing emergency procedures and activities.
(c) Liaison activities with emergency responders. A hazardous liquid public utility shall communicate and conduct liaison activities at least twice a year with emergency responders or as prescribed in this section. The liaison activities include those required by 49 CFR 195.402(c)(12) and this section. Liaison activities must be conducted in person, except as provided by paragraph (2).
(1) Meetings in person. When a hazardous liquid public utility makes contact with the emergency responders and schedules a meeting in person, no further attempts to make contact under this paragraph are required. If a scheduled meeting does not take place, the hazardous liquid public utility shall make an effort to reschedule the meeting in person using at least one of the following methods before arranging liaison activities under paragraph (2).
(i) Mailing a written request for a meeting in person to the emergency responders by certified mail, return receipt requested.
(ii) Making at least one telephone call, facsimile transmission or electronic mail message transmission to the emergency responders to request an in-person meeting.
(2) Alternative methods. A hazardous liquid public utility may conduct required liaison activities by the following alternative methods only if the hazardous liquid public utility has completed at least one of the steps in paragraph (1) to conduct an in-person community liaison meeting with the emergency responders. If a hazardous liquid public utility cannot arrange an in-person meeting after complying with paragraph (1), the hazardous liquid public utility shall conduct liaison activities by doing any of the following:
(i) Holding a videoconference or a telephone conference with the emergency responders.
(ii) Delivering the liaison information required to be conveyed by certified mail, return receipt requested.
(3) Hazard assessment zone analysis. A hazardous liquid public utility shall conduct an annual hazard assessment zone analysis through its integrity management program and present its findings, within 60 days of completion of the analysis, to emergency responders that have executed a nondisclosure agreement.
(4) Continuing education program. A hazardous liquid public utility shall develop a continuing education program for emergency responders and the affected public to inform them of the location of the pipeline, potential emergency situations involving the pipeline and the safety procedures to be followed in the event of an emergency.
(5) Table-top drill program. A hazardous liquid public utility shall conduct table-top drills with emergency responders twice a year to simulate a pipeline emergency. The table-top drills must be conducted on different pipelines and products and in the counties where the hazardous liquid public utility’s pipelines are located.
(6) Response drill program. A hazardous liquid public utility shall conduct response drills with emergency responders at least once a year to simulate a pipeline emergency. The response drills must be conducted on different pipelines and products and in the counties where the hazardous liquid public utility’s pipelines are located.
(7) Records of liaison activities with emergency responders. A hazardous liquid public utility shall maintain records documenting compliance with this subsection. Records must be retained for 7 years from the date of the event commemorated by the record.
(d) Liaison activities with school administrators when a school building or facility is located within 1,000 feet, or within the LFL, of a pipeline or pipeline facility, whichever is greater. A hazardous liquid public utility shall comply with this section when a school building containing classrooms or any other school facility where students congregate is located within 1,000 feet, or within the LFL, of a pipeline or pipeline facility.
(1) Maintaining records. For a school building containing classrooms or school facility where students congregate located within 1,000 feet, or within the LFL, of a pipeline or pipeline facility, whichever is greater, a hazardous liquid public utility shall maintain and, upon request, provide the Pipeline Safety Section, with all of the following information:
(i) The name of the school and the contact information for the school administrators.
(ii) The street address of the school building or facility.
(iii) Pipeline identification information.
(2) Furnishing records. A hazardous liquid public utility shall, upon written request from a school administrator with a school building or facility where students congregate within 1,000 feet, or within the LFL, of a pipeline or pipeline facility, whichever is greater, provide in writing the following parts of a pipeline emergency response plan that are relevant to the school:
(i) A list of any product transported in the segment of the pipeline.
(ii) Emergency contact information.
(iii) Information regarding the Commonwealth’s One Call system.
(iv) Information regarding how to recognize, report and respond to a product release.
(3) School administrator meetings. A hazardous liquid public utility subject to paragraph (2) shall appear at a regularly scheduled meeting of school administrators, upon request by the school administration, to explain the items listed in paragraph (2)(i)—(iv).
(4) Records. A hazardous liquid public utility shall retain records documenting compliance with this subsection for 7 years from the date of the event that is commemorated by the record.
(e) Public awareness communication requirements beyond API RP 1162. The requirements of this subsection apply to the affected public, emergency responders and public officials within the LFL of a pipeline.
(1) Baseline messages. A hazardous liquid public utility shall provide baseline messages:
(i) To the affected public at least twice a year, with additional frequency and supplemental efforts as determined by specifics of the pipeline segment or environment under Section 6 of API RP 1162. The message must include a warning that a leak from the hazardous liquid pipeline can cause property damage, personal injury, burns, asphyxiation or death, or any combination of these damages and injuries.
(ii) To emergency responders at least twice a year, with additional frequency and supplemental efforts as determined by specifics of the pipeline segment or environment under Section 6 of API RP 1162.
(iii) To public officials annually with additional frequency and supplemental efforts as determined by specifics of the pipeline segment or environment under Section 6 of API RP 1162.
(2) Meetings. A hazardous liquid public utility shall do all of the following:
(i) Hold at least one open house or group meeting annually whereby the affected public can receive information or an overview as part of the hazardous liquid public utility’s supplemental activities for the affected public, as prescribed in Table 2-1 of API RP 1162.
(ii) Meet with emergency responders once per quarter to discuss emergency response as part of the hazardous liquid public utility’s baseline activities for emergency officials, as prescribed in Table 2-1 of API RP 1162.
(iii) Meet with public officials annually, upon request.
(3) Updates. A hazardous liquid public utility shall evaluate its written continuing public education program annually. An update to a program must be provided to the Pipeline Safety Section for review for compliance with 49 CFR 195.440 (relating to public education).
(f) Line markers. In addition to the requirements set forth in 49 CFR 195.410 (relating to line markers) a hazardous liquid public utility shall place line markers for buried and above-ground pipelines as follows:
(1) Along a pipeline’s right-of-way in a manner that two line markers, one in each direction, are visible at any point while standing at ground level at the pipeline, except in a heavily developed urban areas where the placement of the markers is impractical. In a heavily developed urban environment, the hazardous liquid public utility shall use low-profile markers.
(2) At either side of a water crossing.
(3) At all above-ground pipeline appurtenances.
(g) Inspection of pipeline rights-of-way. In addition to the requirements of 49 CFR 195.412 (relating to inspection of rights-of-way and crossings under navigable waters), a hazardous liquid public utility shall inspect pipeline facilities in non-HCAs using ground patrol at least twice a year, not to exceed every 6 1/2 months, and in HCAs using ground patrol at least four times a year, not to exceed every 3 1/2 months. The ground patrol shall include inspection along the right-of-way to ascertain surface conditions on or adjacent to the right-of-way. The ground patrol path must not exceed lateral distance of 25 feet from the center of the right-of-way.
The provisions of this § 59.140 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.140 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.141 Qualification of pipeline personnel.
(a) Scope. This section establishes requirements for a hazardous liquid public utility to qualify an individual that performs covered tasks and construction tasks on a pipeline facility.
(b) Qualification program. In addition to the provisions of a written qualification program as required in 49 CFR 195.505 (relating to qualification program), a qualification program must include all of the following:
(1) The adoption of the provisions for a written qualification program, as required in 49 CFR 195.505, for construction tasks.
(2) A process that trains an individual qualified, as defined in 49 CFR 195.503 (relating to definitions), to identify and react to facility-specific abnormal operating conditions.
(3) Requalification intervals for each covered task and each construction task. A hazardous liquid public utility shall requalify an individual for each covered task and each construction task at intervals not exceeding those required by the hazardous liquid public utility’s qualification program. Requalification must include training and evaluation for a hazardous liquid public utility employee or contractor using the procedures and equipment required by the hazardous liquid public utility for an initial qualification.
(4) A list of the minimum required standards for OQ certification for each covered task and construction task generated in consultation with industry and advocacy groups.
(5) OQ certification.
(6) Local and project-specific information.
(c) Records. In addition to the provisions of recordkeeping as required by 49 CFR 195.507 (relating to recordkeeping), a hazardous liquid public utility shall maintain qualification records as required in 49 CFR 195.507 for construction tasks. A hazardous liquid public utility shall provide qualification records of an individual performing covered tasks, as described in 49 CFR 195.507, and construction tasks to the Pipeline Safety Section upon request.
The provisions of this § 59.141 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.141 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.142 Land agents.
(a) A hazardous liquid public utility must ensure that land agents are qualified and possess the necessary knowledge to provide informative communication regarding the public health and safety of the hazardous liquid public utility’s proposed pipeline and pipeline facilities. For the purpose of this section, a qualified land agent must meet one of the following requirements:
(1) Be a member of the International Right of Way Association (IRWA).
(2) Hold a valid Pennsylvania professional license in one of the following fields:
(i) Attorney.
(ii) Real estate salesperson.
(iii) Real estate broker.
(iv) Professional engineer.
(v) Professional land surveyor.
(vi) Professional geologist.
(b) Under subsection (a)(1), the land agent must be a member in good standing of the IRWA during the performance of the land agent work or services on behalf of a hazardous liquid public utility.
(c) Under subsection (a)(2), the land agent’s Pennsylvania professional license must be in good standing during the performance of the land agent work or services on behalf of a hazardous liquid public utility.
(d) For violations of subsection (a) or subsection (b), a hazardous liquid public utility may be assessed a civil penalty under 66 Pa.C.S. Chapter 33 (relating to violations and penalties).
The provisions of this § 59.142 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.142 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
52 Pa. Code § 59.143 Corrosion control.
(a) Scope. This section establishes requirements for hazardous liquid public utilities protecting pipelines against corrosion.
(b) Procedures. A hazardous liquid public utility shall have written procedures for the design, installation, operation and maintenance of cathodic protection systems. The procedures must be specific and written for each cathodic protection test, survey and inspection, and must be carried out by, or under the direction of, a person qualified in pipeline corrosion control methods.
(c) Adequacy of cathodic protection. A hazardous liquid public utility shall test a cathodically protected pipeline at the corrosion test station to determine the adequacy of cathodic protection as follows:
(1) Each pipeline must be tested at least once each calendar year, with intervals not exceeding 15 months. Each impressed current ground bed must be tested as part of this monitoring.
(2) Each non-remote cathodic protection rectifier must be inspected once each calendar month with intervals not exceeding 37 days to ensure that it is operating properly. Remote monitoring devices are permissible to accomplish monitoring; however, if the remote device stops reporting or reports operations outside the expected parameters, then the remote device must be inspected within a reasonable time period not to exceed 7 days from date of discovery.
(3) Each reverse current switch, each diode and each interference bond whose failure could jeopardize structure protection on a pipeline transporting HVLs must be electrically checked for proper performance 12 times each calendar year, with intervals not exceeding 37 days.
(4) A hazardous liquid public utility shall initiate actions to start remedial measures within 30 days upon discovery to correct any deficiencies indicated by the monitoring. At no point shall the completion of the remedial measures exceed the next scheduled inspection.
(5) If a hazardous liquid public utility cannot start the remedial measures within 30 days as provided in paragraph (4), the hazardous liquid public utility may request, in writing to the Pipeline Safety Section, and the Pipeline Safety Section may grant a 30-day extension for good cause shown. Additional 30-day extensions may be requested and granted for good cause shown thereafter.
(d) Interference currents.
(1) A hazardous liquid public utility shall have a written continuing program to minimize the detrimental effects of stray currents from foreign pipelines, railways, mining operations or other current sources such as stray current. The program must include provisions for adequately documenting actions and activities for mitigating interference currents.
(2) Each impressed current system shall be designed and installed to minimize detrimental effects to foreign pipelines and other underground metallic structures.
The provisions of this § 59.143 added under 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 59.143 added September 13, 2024, effective 60 days after publication, 54 Pa.B. 5729.
This section cited in 52 Pa. Code § 59.131 (relating to purpose); 52 Pa. Code § 59.132 (relating to definitions); and 52 Pa. Code § 59.133 (relating to general).
History
- Authority: The provisions of this Chapter 59 issued under 66 Pa.
- Source: The provisions of this Chapter 59 adopted January 29, 1946; amended through December 20, 1971, unless otherwise noted.
Chapter 60 Natural Gas Transportation Service
52 Pa. Code § 60.1 General.
The transportation of natural gas by jurisdictional gas utilities is in the public interest. Transportation service should be provided under terms, conditions and rates which minimize the shifting of costs to retail customers and provide the natural gas utility with an opportunity to recover the fixed costs incurred to serve the transportation service customers. The development of Pennsylvania natural gas should be promoted, because it will achieve benefits that accrue to gas utilities and their customers.
Illustrative Cases
The right of way held by the gas company, lessor, authorized the installation of a meter site and the receiving of gas into the pipeline. Any other interpretation would be contrary to the express terms and purposes of the right of way agreement; it would also be contrary to public policy and the public utility regulations and purposes. Snyder Bros. Inc. v. The Peoples Natural Gas Co., 676 A.2d 1226 (Pa. Super. 1996); appeal denied 686 A.2d 1312 (Pa. 1996).
This section cited in 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.2 Natural gas transportation service terms and objectives.
A Class A and B natural gas utility shall maintain a gas transportation program that adheres to the following terms and promotes the following objectives when providing natural gas transportation service:
(1) The tariff shall separately state and price the components of transportation service to afford customers flexibility in choosing the degree of supply risk they are willing to assume.
(2) The tariff shall indicate a range of rates for transportation service.
(3) The maximum rate allowed for transportation service shall be the weighted average retail rate for the otherwise applicable retail service less costs relating to natural gas supply, including natural gas demand, commodity and storage costs.
(4) The maximum rate for transporting gas which is produced in this Commonwealth shall be based upon a cost of service study. Only costs identifiable as related to transportation service shall be recovered through this rate.
(5) The rates described in paragraphs (3) and (4) shall be maintained as tariffed rates on file with the Commission.
(6) Transportation service shall be provided under a contract between the jurisdictional natural gas utility and the customer. The contract terms shall be consistent with rates and rules found in the natural gas utility’s tariff. A contract shall be effective for no less than a 12-month period, except that a contract for a shorter period is permitted if the utility and the customer agree. The rates set shall recover, to the maximum extent possible, the fixed costs associated with the service.
(7) A natural gas utility shall provide transportation service in a manner and according to terms which maximize system throughput.
(8) The tariff may not unreasonably restrict Commonwealth natural gas producer access to gas utility facilities.
(9) The transportation service tariff shall specify that the distribution utility makes no guarantee against, and assumes no liability for, interruption caused by third parties.
(10) The location of entry points necessary for the introduction of customer owned gas into the natural gas utility’s facilities shall be determined by a natural gas utility. Construction necessary to accomplish a natural gas connection will be conducted by the natural gas utility or under its supervision at the customer’s expense. The natural gas utility shall own and maintain a natural gas connection.
(11) The transportation service customer shall agree to sell its natural gas supply to the natural gas distribution utility at the higher of the natural gas utility’s weighted average cost of gas or the customer’s own cost in the event of a distributor natural gas supply shortage. A natural gas shortage exists when the supply of gas is insufficient to meet the requirements of Priority 1 customers as specified in § 69.21 (Reserved) on a continuing basis or when continued delivery of gas to customers would prevent the injection of gas into underground storage pools for the protection of winter supply, so that service to Priority 1 customers is threatened. The customer shall demonstrate its costs of natural gas by making a copy of the contract with the natural gas supplier available to the gas utility upon request.
(12) The natural gas utility may retain a reasonable allowance of customer-owned natural gas for gas which is lost or unaccounted for in its operations.
(13) Representative levels of transportation service shall be set for each jurisdictional natural gas utility in every general rate proceeding under 66 Pa.C.S. § 1308 (relating to voluntary changes in rates).
This section cited in 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.3 Eligibility for natural gas transportation service.
(a) Transportation service shall be provided without discrimination as to type and location of customer. A natural gas utility shall state in its tariff the minimum volume of transported natural gas that entitles a customer to transportation service. These volumes shall be set at a level which maximizes the number of customers that can receive transportation service while permitting the natural gas utility to effectively and efficiently manage its natural gas distribution system. The minimum volume of transported natural gas that entitles a customer to transportation service may not be greater than 5,000 Mcf (thousand cubic feet) per customer or buyer group per year.
(b) The tariff shall permit individual customers or groups containing no more than ten customers to be eligible for transportation service. Larger groups shall be permitted if the utility and the customers agree.
(c) Gas injected into the natural gas utility’s system shall be of a quality and pressure that is reasonably acceptable to the utility.
(d) A customer classified as a Priority 1 customer under § 69.21(a)(1) (Reserved) or a group of customers containing such a customer, shall purchase standby sales service as described in § 60.5 (relating to standby sales service) before it may be eligible for natural gas transportation service. This requirement does not apply to a customer which can demonstrate that the facility for which it seeks to transport gas possesses adequate installed alternative fuel capability.
The provisions of this § 60.3 amended December 20, 1991, effective March 20, 1992, 21 Pa.B. 5819. Immediately preceding text appears at serial page (116315).
This section cited in 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.4 Rebuttable presumptions.
(a) There shall be a rebuttable presumption in the rate proceeding of a natural gas utility governed by 66 Pa.C.S. § 1308 (relating to voluntary changes in rates) that additional fixed costs may not be recovered from remaining retail customers due to retail customers’ use of transportation service.
(b) There shall be a rebuttable presumption in a proceeding governed by 66 Pa.C.S. § 1307 (relating to sliding scale of rates; adjustments) that natural gas supply fixed costs relating to transportation customers may not be recovered from sale customers.
(c) In determining the natural gas utility’s ability to serve a transportation customer, there is a rebuttable presumption that sufficient capacity in the utility system exists.
This section cited in 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.5 Standby sales service.
Standby retail service shall entitle a transportation service customer to purchase natural gas at tariffed retail rates and shall be made available to a transportation service customer subject to the following conditions:
(1) The transportation customer and the natural gas utility shall agree upon the maximum sales volumes that will be provided upon the request of the customer. Volumes taken in excess of this amount will require the payment of a penalty.
(2) The rate charged for standby service shall recover natural gas supply fixed costs and any other costs, such as storage service costs where applicable, incurred to maintain natural gas supply for the transportation customer. Revenues for standby service shall be credited against natural gas costs in a proceeding under 66 Pa.C.S. § 1307 (relating to sliding scale of rates; adjustments).
(3) A natural gas utility maintains no duty to provide retail service to a transportation customer who declines to elect standby retail service.
This section cited in 52 Pa. Code § 60.3 (relating to eligibility for natural gas transportation service); and 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.6 Natural gas storage service.
(a) A tariff rate for optional natural gas storage service shall be available for use when the transportation customer fails to take delivery of the entire net volume of natural gas delivered to the distribution utility for the customer’s account. The tariff rate for optional storage service shall reflect any contribution toward the utility’s storage costs made by the customer as part of the customer’s standby sales service rate.
(b) The customer’s failure to elect the storage service option will entitle the natural gas utility to buy unused natural gas from the customer at a price equal to the utility’s lowest cost gas or at the customer’s costs, whichever is less. The customer shall demonstrate its cost of natural gas by supplying a sworn affidavit of the cost of gas to the natural gas utility.
This section cited in 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.7 Balancing of deliveries and withdrawals.
(a) A natural gas utility providing transportation service shall reflect in its tariff a 3-month time period, as a minimum, within which the transportation customer shall balance deliveries into and withdrawals from the natural gas utility’s system. The time period shall commence upon initial delivery of natural gas into the natural gas utility system. Deliveries and withdrawals may be considered as balance if they fall within a range specified in a natural gas utility’s tariff.
(b) The tariff of a natural gas utility shall specify the action that may be taken by the utility if deliveries and withdrawals are not balanced.
This section cited in 52 Pa. Code § 60.9 (relating to effective date).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.8 Reporting requirements.
A natural gas utility shall submit to the Commission an annual report on or before June 1 regarding transportation service that includes the following information:
(1) The volumes transported for each customer.
(2) The rate charged each customer for transportation service.
(3) A description of the rate and service, approved by the Federal Energy Regulatory Commission, under which the gas is carried to the facilities of the natural gas utility.
The provisions of this § 60.8 amended under Public Utility Code,66 Pa.C.S. § 308(c), 501, 504, 523, 1319 and 1501.
The provisions of this § 60.8 amended March 22, 1996, effective March 23, 1996, 26 Pa.B. 1265. Immediately preceding text appears at serial page (164387).
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
52 Pa. Code § 60.9 Effective date.
A natural gas utility shall file a tariff offering gas transportation services consistent with § § 60.1—60.7 by March 2, 1987, effective May 1, 1987.
History
- Authority: The provisions of this Chapter 60 issued under Public Utility Code,66 Pa.
- Source: The provisions of this Chapter 60 adopted January 30, 1987, effective January 31, 1987, 17 Pa.
Chapter 61 Steam Heating Service
52 Pa. Code § 61.1 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Critical valves—Valves that are deemed critical in case of emergencies or shut down. Customer—A party supplied with steam service by a public utility. Customer’s piping—The pipe of the customer which extends from the service line termination point to the point of utilization. Degree day—A unit used in estimating quantities of fuel and power consumption based on a daily ratio of consumption the mean temperature below 65°F. Facilities—Mains and service lines owned or operated by a steam utility for the purpose of transporting steam from where it is produced to the customer’s piping. Failure investigation—The process of collecting and analyzing data to determine the cause of failure. Hot water—Water heated by an energy source above its initial temperature. Main—Piping that transports steam from where it is produced and delivers it to the beginning of the service line. Pounds of steam—The quantity of steam supplied, measured in pounds and equal to the same amount of water, which would result from condensing the steam used by the customer. Service line—The pipe connecting the utility main to the customer’s piping. The point of service termination is the customer’s property line unless otherwise provided by contract. Steam—Water vapor kept under pressure so as to supply energy for heating. Steam distribution system—A system that takes steam from where it is produced and delivers it to end users. Steam trap—A device used to discharge condensate and noncondensable gases with a negligible consumption or loss of live steam. Steam utility—A utility that provides the public services associated with steam distribution. Water hammer—The phenomenon that occurs when steam charges in the pipeline while condensate is present.
The provisions of this § 61.1 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.1 amended December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314. Immediately preceding text appears at serial pages (239219) to (239220).
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.11 Accidents.
(a) General. A steam utility shall submit a report of each reportable accident involving the facilities or operations of the steam utility in this Commonwealth. The reports shall be addressed to the Secretary of the Commission.
(b) Reportable accidents. Reportable accidents are those involving utility facilities or operations which result in one or more of the following circumstances:
(1) The death of a person.
(2) Injury to a person sufficient that the injured person requires immediate treatment at a hospital emergency room or in-patient admittance to a hospital, or both.
(3) An event that involves a release of steam from the steam utility, which results in estimated property damage of at least $50,000.
(4) An occurrence of an unusual nature, whether or not death or injury of a person results, which apparently will result in a prolonged and serious interruption of normal service.
(5) An event that results in an emergency shutdown of the steam utility.
(6) An occurrence of an unusual nature that is a physical or cyber-attack, including an attempt to interfere with a steam utility’s computers, software and communication networks that support, operate or otherwise interact with the steam utility’s operation.
(7) An unusual occurrence that is significant in the judgment of the steam utility.
(c) Exception. Injuries, as defined in subsection (b)(1) and (2), may not include those suffered as a result of a motor vehicle accident with utility facilities unless a vehicle involved in the accident is owned by the steam utility or driven by a utility employee while on duty.
(d) Telephone reports. A report by telephone shall be made immediately to the Commission’s Pipeline Safety Division after the steam utility becomes aware of an occurrence of a reportable accident under subsection (b)(1), (3), (4) or (5). A report by telephone shall be made within 24 hours after the steam utility becomes aware of a reportable accident under subsection (b)(2).
(e) Written reports. A written report shall be made on Form UCTA-8 within 30 days of the occurrence of a reportable accident. For reportable accidents under subsection (b)(6), a steam utility shall remove from Form UCTA-8 information that would compromise the security of the utility or hinder an active criminal investigation. Accidents reportable on forms required by the Bureau of Workers’ Compensation, Department of Labor and Industry, or the United States Department of Transportation, Pipeline and Hazardous Materials Safety Administration, shall be reported to the Commission by filing a copy of the forms instead of a report on Form UCTA-8, as long as the alternative forms, at a minimum, provide all of the following information:
(1) The name of the steam utility.
(2) The date of the reportable accident.
(3) The date of the report.
(4) The location where the reportable accident occurred.
(5) The name, age, residence and occupation of the injured or deceased parties.
(6) The general description of the reportable accident.
(7) The name and telephone number of the reporting officer.
(f) Form availability. Blank UCTA-8 forms are available for download on the Commission’s web site.
(g) Reports not exclusive. The reporting under this chapter is not limited to the requirements in this section and does not limit requests for additional information.
The provisions of this § 61.11 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.11 amended December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314. Immediately preceding text appears at serial pages (239220) to (239221).
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.12 Interruptions of service.
(a) Records. A steam utility shall keep a record which must include data showing the time, duration and cause of an interruption of service affecting its entire system or a major division of its system. The records shall be preserved for a period of 5 years.
(b) Notification to customers. A customer who may be affected adversely as a result of a service interruption shall be notified prior to starting work which will result in an interruption of his service, except in cases of emergency.
The provisions of this § 61.12 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.12 amended December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314. Immediately preceding text appears at serial page (239221).
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.13 Complaints.
(a) Investigations. A public utility shall make a full and prompt investigation of complaints made to it or through the Commission by its customers.
(b) Records of complaints. A public utility shall preserve written steam service complaints showing the name and address of the complainant, the date and character of the complaint and the adjustment or disposal made of the complaint. The complaint records shall be preserved for a period of 6 years.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.14 Records.
Records required by this chapter shall be kept within this Commonwealth at an office or offices of the public utility located in the territory served by it, and shall be open for examination by the Commission or a representative of the Commission.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.15 Change in character of service.
If a substantial change is made in the steam pressure which the public utility is obligated to supply or in other service conditions which would affect the efficiency of operation or which requires the adjustment of regulators or appliances of customers in the area affected, the equipment and appliances shall be inspected and, if necessary, readjusted, without charge by the utility, to meet the new conditions.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.16 Use of meter.
(a) Steam sold. Steam sold by a public utility shall be charged for by meter measurement, except in case of flat-rate service or if otherwise authorized by the Commission.
(b) Other steam. Other steam, either used by the public utility or furnished to others from the steam heating distribution system, shall be metered and a record kept, unless otherwise authorized by the Commission.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.17 Utility to provide meters.
Unless otherwise authorized by the Commission, a public utility shall, at its own expense, provide and install and shall continue to own, maintain and operate, equipment necessary for the measurement of steam furnished to its customers.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.18 Location of meters.
Meters shall either be installed inside of buildings, or shall be protected from climatic changes if it is necessary to locate it outside of a building.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.19 Testing facilities.
A public utility shall provide and keep available adequate facilities for testing its meters. A public utility not maintaining a standardizing laboratory may have its meters and instruments certified by any standardizing laboratory approved by the Commission upon written permission from the Commission. The accuracy of testing equipment will be established and checked periodically by representatives of the Commission. The tester will seal and date tag the testing facilities after making final adjustments and shall furnish the public utility with a certificate properly dated and signed.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.20 Meter tests.
(a) Allowable error for condensation meters. No condensation meter may be placed in service or allowed to remain in service which has an error in registration of more than 4% when the temperature of the condensate is standard (140° F) and the average water flow through the meter is approximately equal to the manufacturer’s rating of the meter.
(b) Allowable error for flow meters. No steam flow meter may be placed in service or allowed to remain in service which has an error in registration of more than 4% when the steam, at its average moisture content, nominal pressure and average steam flow through the meter or its differential pressure-producing device, is approximately equal to the manufacturer’s rating of the meter or its differential pressure-producing device.
(c) Periodic tests. A public utility shall make periodic tests of meters in service in accordance with the following:
(1) Condensation meters shall be tested at least once every 24 calendar months.
(2) Steam flow meters shall be tested at least once every 3 years.
(3) Meters shall be sealed or capped after the completion of periodic tests.
(d) Meter records. A public utility shall maintain a record of each customer meter. This record shall show the name of the manufacturer, type, rating, date of purchase and date installed in service, location and removal date, date and reasons for tests, and the error before and after testing, indicated by the words ‘‘as found’’ and ‘‘as left.’’ This record shall be kept for 6 years.
(e) Installation test. A steam service meter installed shall be tested for accuracy by the public utility before its installation, or shall be tested within 12 calendar months after installation. It shall also be inspected by the public utility for proper connection, mechanical condition, and suitability of location within 60 days after installation.
(f) Request test. Upon payment of the fee specified in § 1.43 (relating to schedule of fees payable to the Commission), each public utility shall make a test of the accuracy of registration of any service meter if a written request is made by the customer for whom the meter is installed. A customer may require the seal of the meter to be broken in his presence or that of his representative if he desires personally or by a representative to witness the testing of a meter. The fee shall be retained by the utility if the tested meter is found to be accurate within the limits specified in subsections (a) or (b). However, the cost shall be borne by the utility and the fee returned to the customer if the tested meter is found to be inaccurate. A report of the test shall be made to the customer.
(g) Fees for testing appliances of public utilities. For testing the measuring apparatus and condensation meters of public utilities the Commission will charge and collect from such utilities the following fees:
(1) For a testing facility tested at the plant of a company—$15.
(2) For a condensation meter tested at a Commission laboratory—$3.
This section cited in 52 Pa. Code § 61.21 (relating to adjustment of bills for meter error).
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.21 Adjustment of bills for meter error.
(a) Fast meters. If, upon test of a meter, the meter is found to have an error of more than 4% fast, the public utility shall refund to the customer the overcharge, based upon the corrected meter reading for a period equal to 1/2 the time elapsed since the last previous test, but not to exceed 3 months. If the period of registration error can be definitely fixed, the overcharge shall be computed for the period. If the meter has not been tested in accordance with § 61.20 (relating to meter tests), the period for which it has been in service beyond the regular test period shall be added to the 3 months in computing the refund.
(b) Slow meters. If, upon test of a meter, the meter is found to have an error of more than 4% slow, the public utility may render a bill for the steam consumed, but not covered by bills previously rendered, for a period equal to 1/2 of the time elapsed since the last previous test, but not to exceed 3 months. If the period of registration error can be definitely fixed, the charge may be computed for the period.
(c) Nonregistering meters. If a meter is found not to have registered for a period, the public utility shall compute the steam used by taking the average of the steam used for the nearest meter-reading period immediately preceding and the meter-reading period immediately following the date when the meter was found to be not registering, the computation to be based upon the degree days in the different months of use, which amount shall be assumed to be the amount of steam used by the customer during the billing period in which the meter was found not to have registered. Exceptions shall be made to this rule only where the facts clearly show that the stated method does not give the correct consumption for the period.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.22 Disputed bills.
In the event of a dispute between a customer and a public utility respecting a bill, the utility shall immediately make the investigation required by the particular case and report the result of the investigation to the customer.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.23 Access to meters and discontinuance of service.
(a) Access to meters. For purposes of maintenance and operation, each public utility shall at all reasonable times have access to meters, service lines and other property owned by it on the premises of customers. Neglect or refusal on the part of customers to provide reasonable access to their premises for these purposes shall constitute sufficient cause for discontinuance of service.
(b) Notice of discontinuance. No public utility may discontinue service to a customer for violation of its rules and regulations or for nonpayment of bills without a diligent attempt to induce the customer to comply with the rules and regulations, or to pay such bills when due. Service shall not be discontinued until after at least 24-hour written notice has been given by the utility that bills are five or more days delinquent, or that the violation of rules shall cease. If fraudulent use of steam is detected, or if the measuring equipment of the utility has been tampered with, or if a dangerous condition is found to exist on the premises of customers, the steam may be shut off without advance notice.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.24 Notice of desire to have service discontinued.
A customer who is about to vacate any premises supplied with service by a public utility, or who for any reason wishes to have service discontinued, shall give at least 24-hour written notice to the utility, specifying the date on which it is desired that service be discontinued. The service discontinuance shall be under the terms in the rules and regulations of the utility filed with the Commission. In the absence of notice, the customer shall be responsible for service rendered.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.25 Refusal to serve applicants.
(a) Noncompliance with rules and regulations. A public utility may decline to serve an applicant until he has complied with Commonwealth and municipal regulations governing steam heat service and the approved rules and regulations of the utility.
(b) Inadequate facilities of utility. A public utility may decline to serve an applicant if it does not have adequate facilities to render the service desired, or if the service is of a character that is likely to unfavorably affect service to other customers.
(c) Inadequate facilities of applicant. A public utility may refuse to serve an applicant if, in its judgment, installation of the piping of the applicant is regarded as hazardous or of a character that satisfactory service cannot be given.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.26 Temporary service.
In the case of temporary service for short-term use, a public utility may require the customer to pay the costs of making the service connection and removing the material after the service has been discontinued, or to pay a fixed amount in advance to cover such expenses. However, if the material is removed, the customer shall be credited with the reasonable salvage which the public utility will receive on discontinuance of service.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.27 Maps, plans and records.
A public utility shall keep complete maps, plans and records of its entire distribution and other system showing the size, character and location of each main, district regulator, expansion joint, street valve and trap and each service connection, together with other information that may be necessary. The maps, plans and records required by this section shall be kept up to date so that the utility may furnish promptly and accurately copies of its maps or any information regarding its facilities upon request by the Commission. Special surveys to locate such facilities are not generally required if existing plans are inadequate.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.28 Filing of annual financial reports.
Under 66 Pa.C.S. § § 504 and 3301 (relating to reports by public utilities; and civil penalties for violations), the Commission may require a public utility to file, and invoke penalties for failure to file, certain reports. In this regard, the following apply:
(1) Unless prior permission to do otherwise is granted, a public utility, other than transportation, subject to the jurisdiction of the Commission, shall file annual financial reports with the Commission by April 30 immediately following the reporting year, for reports based upon the calendar year; or by July 31 immediately following the reporting year, for reports permitted to be based upon the fiscal year ending May 31. A request for an extension of time for filing an annual report shall be submitted to the Commission prior to the filing dates specified in this paragraph.
(2) If a public utility, other than transportation, fails to file its annual report in compliance with this section, the public utility may be subject to a penalty as provided under 66 Pa.C.S. § 3301. Continued failure to file annual reports may result in additional penalties.
The provisions of this § 61.28 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 504.
The provisions of this § 61.28 adopted May 6, 1988, effective May 7, 1988, 18 Pa.B. 2106.
This section cited in 52 Pa. Code § 101.2 (relating to definitions); and 52 Pa. Code § 101.4 (relating to reporting requirements).
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.31 Systems of accounts.
Each public utility shall keep its accounts in conformity with the ‘‘Uniform Classification of Accounts’’ (18 CFR Part 101).
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.41 Purpose and policy.
(a) The purpose of this section is to prescribe the minimum safety requirements for the design, fabrication, installation, inspection, testing, operation and maintenance of steam distribution systems in this Commonwealth.
(b) Public utilities engaged in the distribution of steam by means of a pipeline shall comply with this section.
(c) The Commission will have the authority to inspect the distribution systems of steam utilities.
(d) This section does not apply to all of the following:
(1) Piping and facilities used for or in connection with the generation or production of steam.
(2) Piping downstream of the customer’s property line.
The provisions of this § 61.41 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.41 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.42 Safety and compliance with standard code.
(a) Responsibility. A steam utility shall at all times use reasonable effort to properly warn and protect the public from danger, and shall exercise reasonable care to reduce the hazards to which employees, customers and others may be subjected to by reason of its equipment or facilities.
(b) Standard code. Steam distribution pipeline facilities installed after December 2, 2017, shall be designed, constructed, tested, operated and maintained in accordance with the most updated and applicable standards of the American Society of Mechanical Engineers, Two Park Avenue, New York, NY 10016-5990, https://www.asme.org/. The Commission has the discretion to determine whether a redesign, repair, modification or replacement of a facility constitutes a new facility subject to these regulations.
(c) Statutory compliance. A steam utility shall comply with sections 1—11 of the act of December 10, 1974 (73 P.S. § § 176—186), known as the Underground Utility Line Protection Act, and Pennsylvania One Call.
(d) Enforcement. A steam utility will be subject to inspections as necessary to assure compliance with this section. The facilities, books and records of a steam utility shall be accessible to the Commission and its staff for the inspections. A steam utility shall provide the Commission or its staff with the reports, supplemental data and information requested by Commission staff to administer and enforce this section.
(e) Records. A steam utility shall keep adequate records as required for compliance with this subsection for 3 years. The records shall be accessible to the Commission and its staff.
(f) New facility. A facility that is repaired, modified or constructed on or after January 18, 2018, will be considered a new facility.
The provisions of this § 61.42 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.42 adopted December 1, 2017, effective December 2, 2107, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.43 Notification of major construction.
(a) A steam utility shall notify the Commission and the Pipeline Safety Division of proposed major construction, reconstruction or maintenance of its facilities at least 30 days prior to the beginning of work. Major construction, reconstruction or maintenance is defined for this reporting as a single project involving an expenditure in excess of $250,000. The notification of proposed construction must include all of the following:
(1) Description and location (city, township, county) of proposed work.
(2) Type of facility (for example, distribution mains, service lines, expansion joints, and the like).
(3) Estimated starting date.
(4) Estimated completion date.
(5) Design pressure.
(6) Estimated cost.
(7) Name and address of reporting steam distribution utility.
(8) Name, address and telephone number of person to be contacted regarding the project.
(b) A steam utility shall notify the Commission and the Pipeline Safety Division of the completion date of the major construction when it occurs.
The provisions of this § 61.43 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.43 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.44 Operating and maintenance plan.
(a) By January 1, 2018, a steam utility shall establish and file with the Secretary of the Commission and the Pipeline Safety Division a detailed, written operating and maintenance plan for complying with this chapter. Revisions to a plan shall be submitted at least 30 days prior to the effective date of the revision.
(b) The operating and maintenance plan must include, at a minimum, all of the following:
(1) Detailed instructions for employees covering operating and maintenance procedures during normal operations and repairs.
(2) Procedures for welding, brazing and welder qualifications.
(3) Procedures for reporting, investigating, classifying, handling and monitoring steam leaks.
(4) Procedures to correct, within specified time frames, deficiencies found during inspections, evaluations, tests, and the like required under this chapter.
(5) Procedures for continuing surveillance of steam facilities to determine and take appropriate action concerning failures, leakage history, and other unusual operating and maintenance conditions.
(6) An established list of qualified persons who exclusively may approve the turn-on of any section of the steam distribution system.
(7) Procedures to ensure that the turn-on of any section of the steam distribution system is accomplished only by persons specifically trained, qualified and approved for that purpose.
(c) A steam utility shall adhere to its operating and maintenance plan filed with the Commission.
The provisions of this § 61.44 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.44 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.45 Security planning and emergency contact list.
(a) A steam utility shall develop and maintain written plans for physical and cyber security, emergency response and business continuity in accordance with § 101.3 (relating to plan requirements).
(b) Within its Chapter 101 emergency response plan, a steam utility shall provide procedures for all of the following:
(1) The availability of personnel, equipment, tools and materials as needed at the scene of an emergency.
(2) Actions directed toward protecting people first, then property.
(3) Emergency shutdown in any section of the pipeline system necessary to minimize hazards to life or property.
(4) Making safe any actual or potential hazard to life or property.
(5) Safely restoring any main or service outage.
(c) During January of each year, a steam utility shall file with the Commission’s Secretary and the Pipeline Safety Division a list of the utility’s responsible officials who may be contacted in the event of an emergency. The steam utility shall serve this list on all municipalities within which its facilities are located. Revisions to this list within the year shall be immediately reported to the Pipeline Safety Division and affected municipalities.
The provisions of this § 61.45 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.45 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.46 Customer educatin and information program.
(a) A steam utility shall initiate and maintain, on a continuing basis, a satisfactory program for customer education and information designed to assist its customers and appropriate governmental organizations to recognize steam emergency conditions and situations and to notify the steam utility of those emergency situations.
(b) The program and the media used must be as comprehensive as necessary to reach all customers.
(c) During January of each year, a steam utility shall file with the Commission’s Secretary and the Pipeline Safety Division a current description of its customer education and information program, including a detailed statement of the means of its implementation and samples of all descriptive literature and other educational aids.
The provisions of this § 61.46 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.46 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.47 Employee training.
(a) An employee involved in the operation, maintenance or testing of steam pipelines and related facilities shall satisfactorily complete training at all progression levels to ensure effective and safe implementation of the procedures required under this chapter. Every employee and supervisor shall receive annual training.
(b) A new employee involved in the operation, maintenance or testing of steam pipelines and related facilities shall receive basic classroom training prior to on-the-job training in field operations.
The provisions of this § 61.47 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.47 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.48 Periodic inspections.
(a) Steam traps and trap piping assemblies shall be inspected for general condition and proper operation at least once a year.
(b) Blow-off valves shall be checked for operability immediately prior to closing each associated main valve during a scheduled shutdown of a section of the steam distribution pipeline system. Removal of condensate from a shutdown section of pipeline shall be accomplished prior to reopening main valves.
(c) Accessible expansion joints shall be inspected at least twice annually. The inspection shall include checks for leakage, proper alignment and traverse measurement.
(d) Service valves owned by the utility located within the customer’s building shall be inspected at least once annually.
(e) Manholes owned by the utility containing steam facilities shall be inspected for general conditions and adequacy of insulation at least once annually.
(f) Remote system pressure indicating devices shall be inspected and tested for accuracy at least once every 2 years. At a minimum, pressure indicating gauges shall be installed at the interface between portions of the system which are designed for different operating pressures.
The provisions of this § 61.48 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.48 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.49 Records.
A steam utility shall maintain records documenting inspections, maintenance, tests and all other matters required under this chapter for at least 5 years. Records shall be kept on file at the steam utility’s offices and be readily accessible to Commission staff.
The provisions of this § 61.49 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.49 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.50 Welding; qualification and nondestructive testing.
(a) Welding shall be performed by qualified welders employing qualified welding procedures. Welders and welding procedures shall be qualified in accordance with the most updated and applicable standards of the American Society of Mechanical Engineers, Two Park Avenue, New York, NY 10016-5990, https://www.asme.org/.
(b) Field welds that are inaccessible or not in a manhole on new steam pipelines shall be nondestructively tested. A new pipeline shall be tested at system pressure.
(c) Field welds made on existing mains and service lines shall be subject to a program of random unannounced nondestructive testing to assess the quality of welding and test the work of each welder. The required minimum testing rate shall be 10% of all welds made during a calendar year. If 10% or more of the welds tested in a calendar year are found to be unacceptable, the test rate shall increase by 5% for the ensuing calendar year. If fewer than 10% of the welds are found to be unacceptable in a year when the required test rate was greater than 10%, the test rate may be decreased by 5% for the ensuing calendar year.
(d) Pressure tests will not be required if 100% of the welds are tested with nondestructive methods.
The provisions of this § 61.50 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.50 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.51 Steam leaks and steam emergency reports.
(a) Emergency leaks require an immediate response to protect life and property and shall be worked continuously until repairs are completed or until the condition is no longer hazardous. An emergency leak includes any leak which could cause property damage or personal injury or any leak which, in the judgment of the operating personnel at the scene, is regarded as potentially hazardous.
(b) Nonemergency leaks include any leak which is not immediately hazardous at the time of discovery and can be reasonably expected to remain that way. Nonemergency leaks shall be re-examined within 6 months from the date of discovery, and repaired within a reasonable time.
(c) A steam leak record, identified by number, shall be used to depict the entire history of a leak from the time of discovery through repair. The record must contain information as to the nature of the repair.
(d) A steam utility shall record data and compile a written report of each steam leak and steam emergency leak as defined in subsection (a).
(e) An event log shall be kept and maintained on file recording the receipt and handling of each event and must contain all of the following information:
(1) The location of leak or emergency.
(2) The time the report is first received.
(3) A description as to type of leak or emergency.
(4) The time personnel are first dispatched to the location.
(5) The time of arrival of personnel at the location.
(6) The times of dispatch and arrival of additional personnel called to the location.
(f) A steam utility shall have available for inspection by the Commission’s Pipeline Safety Division, on or before the last day of each calendar month, a written summary of its performance in responding to reports of steam leaks and emergencies. The written summary shall be retained for 5 years.
(g) Vaporization of rain or groundwater from contact with a main or service line will not be considered a leak for the purposes of this section.
The provisions of this § 61.51 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.51 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
52 Pa. Code § 61.52 Facility failure investigation.
(a) A steam utility shall establish procedures to analyze each failure that causes injury or damage for the purpose of determining its cause and to minimize the possibility of recurrence. The procedures must include a method to select samples of the failed facility or equipment for laboratory examination when necessary. The steam utility’s procedures may include the use of independent consultants.
(b) The procedures must provide for complete cooperation between the steam utility, including its independent consultants, with Commission staff in testing or surveying equipment or systems deemed necessary by staff or the consultants for the investigation and analysis of a failure or accident to determine its cause and to minimize the possibility of recurrence.
(c) A facility failure occurs when the facility fails to perform the function it was designed for.
(d) When a steam utility chooses to employ one or more independent consultants, reasonable minimum requirements relating to knowledge, experience and certification must be included in the steam utility’s procedures.
The provisions of this § 61.52 issued under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 61.52 adopted December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314.
History
- Authority: The provisions of this Chapter 61 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 61 adopted March 11, 1946, unless otherwise noted.
Chapter 67 Service Outages
52 Pa. Code § 67.1 General provisions.
(a) Electric, gas, water, steam and telephone utilities holding certificates of public convenience under 66 Pa.C.S. § § 1101 and 1102 (relating to organization of public utilities and beginning of service; and enumeration of acts requiring certificate) shall adopt the following steps to notify the Commission with regard to unscheduled service interruptions.
(b) All electric, gas, water, steam and telephone utilities shall notify the Commission when 2,500 or 5.0%, whichever is less, of their total customers have an unscheduled service interruption in a single event for 6 or more projected consecutive hours. Steam utilities with fewer than 50 customers shall provide notice when 10% of total customers experience an interruption. A service outage report shall be filed with the Commission within 10 working days after the total restoration of service. Where storm conditions cause multiple reportable interruptions as defined by this section, a single composite service outage report shall be filed for the event. Each report must contain the following information:
(1) The approximate number of customers interrupted during the event.
(2) The approximate number of trouble cases for each county affected during the event. Trouble cases are non-outage cases such as primary and secondary line-down calls and emergency calls.
(3) The approximate number of outage cases for each county affected during the event.
(4) The number of outage cases exceeding 6 or more hours in duration.
(5) A listing of each outage case exceeding 6 or more hours in duration, including the following:
(i) Approximate geographic location (county, city, municipality or township).
(ii) Total number of customers affected.
(iii) Duration of the outage.
(iv) Initial date and time of the outage.
(v) Restoration time and date.
(6) The reason for the interruption.
(7) The projected time for service restoration of the event.
(8) A listing of the number of utility workers assigned specifically to the repair work by general function, that is linemen, troublemen, tree crew, and the like.
(9) A listing of the number of contract workers assigned specifically to the repair work by company and by general function, that is linemen, troublemen, tree crew, and the like.
(10) A listing of the number of workers received as mutual aid by company and by general function, that is linemen, troublemen, tree crew, and the like.
(11) The date and time of the first information of a service interruption.
(12) The date and time that repair crews were assembled.
(13) The actual time that service was restored to the last affected customer.
(14) A general description of the physical damage sustained by the utility facilities as a result of the event. The description must include facilities replaced due to damage and a listing of the number of poles, transformers, spans of wire, pipes or valves replaced.
(15) For weather-related events, the utility’s weather reports, outlooks or scenarios for the day before and the day of the interruption event.
(16) For all interruption events that caused outages to more than 10% of customers in the utility’s service territory, and to the best of the utility’s ability to access historical data, the historical ranking of the event in terms of the number and duration of outages and examples of two comparable events, including the number and duration of outages for those comparable events.
(c) In addition to the requirements of subsection (b), the utility shall notify the Commission by telephone within 1 hour after preliminary assessment of conditions reasonably indicates that the criteria listed in subsection (b) may be applicable. Subsection (b)(1), (3), (6) and (7) shall be used as guidelines for the telephone report. The Commission will maintain telephone lines for this purpose and will notify each utility of the numbers to be called. Blank outage reporting forms are available for download on the Commission’s web site.
(d) The Commission will implement a plan to govern its internal operations in receiving notification of service interruptions, in investigating such interruptions, and in assisting the customers of the utility, the utility and Commonwealth agencies in restoring service.
(e) All electric, gas, water, steam and telephone utilities shall list in the local telephone directories of their service areas, and on their web sites, a telephone number to be used during normal operating hours and an emergency telephone number to be used 24 hours in emergency service situations.
(f) As defined in subsection (b), the service outage report must contain the required information except for the following utilities:
(1) Gas and steam utilities are not required to submit the information under subsection (b)(2), (5), (14), (15) and (16).
(2) Water utilities are not required to submit the information under subsection (b)(2), (15) and (16).
(3) Telephone utilities are not required to submit the information under subsection (b)(2), (4), (5), (8), (9), (10), (12), (14), (15) and (16). Alternatively, in lieu of the service outage report required under subsection (b), telephone utilities may file a comparable outage report required by the Federal Communications Commission as long as the comparable report, at a minimum, contains the following information:
(i) The name of the reporting entity.
(ii) The reason for the interruption.
(iii) The date and time of the first information of a service interruption.
(iv) The approximate number of customers interrupted.
(v) The geographic area affected by the interruption.
(vi) The actual time that service was restored to the last affected customer.
(g) The reporting under this chapter is not limited to the requirements in this section and does not limit requests for additional information.
The provisions of this § 67.1 amended under the Public Utility Code, 66 Pa.C.S. § § 331, 501, 1501 and 1504.
The provisions of this § 67.1 amended December 14, 1984, effective December 15, 1984, 14 Pa.B. 4511; amended January 6, 2012, effective January 7, 2012, 42 Pa.B. 9; corrected September 21, 2012, effective January 7, 2012, 42 Pa.B. 5969; amended December 1, 2017, effective December 2, 2017, 47 Pa.B. 7314. Immediately preceding text appears at serial pages (363661) to (363662) and (371695).
This section cited in 52 Pa. Code § 57.52 (relating to emergency load control and energy conservation by electric utilities); 52 Pa. Code § 69.1603 (relating to other associated actions); and 52 Pa. Code § 69.1903 (relating to preparation and response measures).
History
- Authority: The provisions of this Chapter 67 issued under sections 901, 905 and 401 of the Public Utility Law (66 P.
- Source: The provisions of this Chapter 67 adopted March 12, 1976, effective March 13, 1976, 6 Pa.
Chapter 69 General Orders, Policy Statements and Guidelines on Fixed Utilities
52 Pa. Code § 69.1 General.
(a) Since 66 Pa.C.S. § 1307 (relating to sliding scale of rates; adjustments), enables a utility to pass fuel costs directly to the ratepayers, a utility has the highest degree of responsibility to take aggressive action on behalf of its ratepayers to control fuel costs. A utility should use every means reasonably available to monitor and enforce vendor adherence to all aspects of fuel procurement agreements. In addition to contract adherence, the Commission may exercise its independent right to review whether each utility purchases the lowest cost fuel that meets the necessary standards and specifications, which may include a review to determine if the utility is continually, thoroughly and aggressively searching the fuel market for reasonably priced fuel. The Commission may make constructive suggestions with regard to an individual company’s fuel procurement policies and procedures from time to time.
(b) The purpose of § § 69.1—69.2, 69.4 and 69.5 (relating to fuel procurement policies and procedures) is to establish guidelines that the Commission recommends an electric utility follow in its fuel procurement activities. The Commission realizes that fuel procurement practices of utilities may differ depending on individual circumstances. However, the Commission believes that there are certain common procedures that will result in the lowest reasonable fuel costs. The Commission defines lowest reasonable cost to be fuel purchases that result in the lowest generating costs. This fuel should be consistent with contracted quality, regulatory requirements and prevailing wage rates, and may or may not be the lowest priced fuel.
(c) If a utility believes that an otherwise nonconforming fuel procurement policy will, in the long term, result in lower costs, the utility should submit the details of the policy for review by the Commission prior to implementation.
(d) If it appears, through Commission review, that nonconforming fuel procurement practices have resulted in excessive fuel costs, a utility may be required to demonstrate the reasonableness of the costs.
(e) If the Commission determines after notice and hearing that a utility’s nonconforming fuel procurement policy has resulted in unreasonable fuel costs, the utility shall be required to apply credits against the applicable energy cost rate or to make refunds to its customers.
(f) In order for the Commission to monitor fuel costs properly, a utility should record fuel prices FOB supplier with transportation costs reported separately. For contracts which state only delivered costs, the company should impute transportation costs and report those costs separately.
(g) Sections 69.1—69.2, 69.4 and 69.5 represent the standard by which the Commission intends to assess a utility’s fuel purchasing policies and procedures. Sections 69.1—69.2, 69.4 and 69.5 serve as notice to electric utilities of the Commission’s expectations with regard to fuel procurement policies and procedures. Utilities should apply § § 69.1—69.2, 69.4 and 69.5 prospectively in planning fuel purchases. Where provisions of existing contracts are in conflict with § § 69.1—69.2, 69.4 and 69.5, utilities need not seek to immediately amend the contracts, but should move towards the policies set forth in § § 69.1—69.2, 69.4 and 69.5 as contracts are modified, renegotiated or extended.
The provisions of this § 69.1 issued under Public Utility Code,the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1307.
The provisions of this § 69.1 amended October 18, 1985, effective October 19, 1985, 15 Pa.B. 3730. Immediately preceding text appears at serial page (33013).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1a Organization and operation of utility staff involved in fuel procurement.
(a) A utility should maintain an appropriate staff to adequately fulfill its responsibility to procure fuel at the lowest reasonable cost. The utility should be prepared to solicit and handle numerous competent bids and investigate these potential sources for ability to fulfill contracts.
(b) A utility should have a detailed organization chart of the personnel involved in fuel procurement, with a key official designated to act as liaison with the Commission. A utility should maintain written job descriptions for personnel, as well as formal policies and procedures pertaining to the fuel procurement process.
(c) Utility personnel in a position to influence fuel procurement decisions should be prohibited from having either direct or indirect ties or affiliations with fuel suppliers. A utility should conduct investigations to insure that personnel have no affiliation.
The provisions of this § 69.1a issued under Public Utility Code,the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1307.
The provisions of this § 69.1a adopted October 18, 1985, effective October 19, 1985, 15 Pa.B. 3730.
This section cited in 52 Pa. Code § 69.1 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2 Fuel and power planning.
(a) A utility should submit to the Commission its long-term generation plans and a statement of how the plans affect fuel purchasing policy and planning. A plan should be submitted each time there are revisions. A utility should adopt fuel purchasing strategies that provide lowest reasonable cost with maximum flexibility. It should strive to stimulate competition by purchasing from numerous suppliers.
(b) [Reserved].
The provisions of this § 69.2 issued under Public Utility Code,the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1307.
The provisions of this § 69.2 amended October 18, 1985, effective October 19, 1985, 15 Pa.B. 3730. Immediately preceding text appears at serial pages (33013) to (33014).
This section cited in 52 Pa. Code § 69.1 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.4 Purchasing procedures.
(a) General. The Commission recommends that a utility adopt the following general purchasing guidelines:
(1) A balance of long-term, short-term and spot purchases should be utilized. This balance should provide a reasonably stable supply while allowing the utility the option of taking advantage of changing market conditions. At coal receiving sites, such as generating stations, central storage or loading facilities supplied by truck, coal handling equipment and procedures should be designed to accommodate numerous suppliers.
(2) Vendors should be selected on the basis of overall price and quality specifications of fuel that include, but are not limited to, Btu, moisture, ash and sulphur content. Service reliability is also a consideration. However, a utility is encouraged to give new suppliers every opportunity to compete, particularly in short-term/small-quantity fuel purchases. Documented service reliability becomes more important as contracts increase in duration and quantity. A utility should use its own staff in seeking and procuring adequate fuel supplies and should minimize the use of brokers, except where the use of brokers is consistent with the basic fuel procurement policy of obtaining fuel at the lowest reasonable price.
(3) Fuel agreements should include bonus/penalty provisions or be priced according to Btu, moisture, ash and sulphur content to insure that quality provisions are met. A utility should clearly state in fuel agreements the quality specifications of the fuel. Rejection limits for sulphur, ash and moisture content should be incorporated into contract or bid proposals.
(4) Fuel shipments should be adequately sampled when received at the generating plant. Contracts should include sampling procedures providing for an additional sealed and dated sample for independent verification if necessary.
(5) [Reserved].
(6) [Reserved].
(7) A utility should maintain documentation of reasons for rejection of bids on file in accordance with FERC’s Record Retention Table. During audits, Commission staff will inspect this documentation as deemed necessary.
(8) A utility should actively seek and maintain a significant number of vendors from which to solicit bids. This vendor list should be frequently updated with advertisements in newspapers and coal and oil publications.
(b) Short-term agreements and spot purchasing.
(1) [Reserved].
(2) Sealed bids should be considered on large orders covering more than 6 months’ supply.
(3) Verbal agreements, including telephone conversations relating to fuel price, quantity and quality, should be formalized by letter or a log confirming details. In securing vendors for inclusion on the vendor list referred to in subsection (a)(8), a utility should omit unnecessary provisions and requirements which restrict or discourage small suppliers from submitting bids. Requirements include engineering, geological and financial studies and reports which are not necessary for small, short-term or spot purchases.
(4) [Reserved].
(5) [Reserved].
(c) Long-term contracts.
(1) [Reserved].
(2) Cost escalation clauses included in long-term contracts should be based on measurable supplier costs, such as labor, material, transportation and equipment costs, and the like. Escalation clauses may also be based on regularly published relevant indices, such as those published by the United States Department of Interior, Bureau of Mines, the United States Department of Labor, and the like.
(3) Right to audit clauses should be included in contracts that provide for cost escalation. The right to audit clause gives the utility the authority to audit specific records of its suppliers. It is recommended that the utility enforce the right to audit provisions either through the use of qualified internal audit staff or outside independent auditors on a regular basis. Contracts should contain resumption clauses to provide for continuation (at the utility’s discretion) of contracts that are temporarily curtailed due to strikes or similar occurrences.
(4) It is recommended that all contracts, escalation clauses, or terms of purchase of fuel agreements be reviewed by the legal office of the utility. Contracts should include specific reference to special arrangements, such as loan agreements, which may affect the operation of the utility or the price of fuel.
(5) [Reserved].
(6) Minimum tonnage requirements should not be set at unreasonably high quantity levels which would prohibit competitive proposals from reliable and competent small suppliers. Investigations should be conducted to insure that potential vendors have adequate owned or contracted supplies to fulfill all contract provisions.
(7) A utility should seek contracts with greater ranges in minimum/maximum tonnage requirements to be exercised at the utility’s discretion. Contract tonnage would increase or decrease based on market conditions. The contracts would also provide a means of control over suppliers with excessive price or inferior quality.
(8) Escalation clauses based on market prices are discouraged. Market escalators, if used, should have a reasonable geographic limitation, yet should be sufficiently broadly based so that no supplier or group of suppliers could materially influence the market price. De-escalation should also be incorporated in the contracts based on the same market data. Data used to calculate the increment or decrement in coal prices should be based on comparable fuels and should not be influenced by short-term aberrations in coal prices. When incorporating market price escalators/de-escalators, the utility should delineate in the contract the comparable market data to be used and the time frames for adjustments. The Commission will review the reasonableness of market priced data on a case-by-case basis.
(d) Dedicated fuel supplies. Dedicated fuel supplies are those in which a utility, through ownership, contract tonnage requirements, location, or guarantee of debt, has substantial influence and interest in the contracted fuel supply. The following guidelines are recommended for dedicated fuel supplies and are in addition to the general and long-term contract guidelines in subsections (a) and (c):
(1) In order to insure efficient management over dedicated fuel supply, a utility should not provide, assume or guarantee an excessive amount of the project financing. The owner, operator or developer of the mine, or fuel supplier, should maintain substantial equity in the project or guarantee a substantial portion of the project financing.
(2) The use of cost-plus contracts is strongly discouraged.
(3) Contracts for dedicated fuel supplies should contain additional provisions so that if fuel prices exceed an average range of prices for fuel with similar characteristics for an extended period of time, the fuel price charged by the dedicated supplier would be adjusted to fall within the price range of the similar fuel. Under certain circumstances, similarities in methods of producing the fuel, contract provisions and geographic areas may also be considered. As with market-adjusted long-term contracts, the utility should establish and monitor the comparable market data that is to be utilized.
(e) Wholly-owned fuel sources. The following guidelines are in addition to the general, long-term contract, and dedicated fuel supply guidelines in subsections (a), (c) and (d):
(1) A utility should regularly compare the costs of fuel from its wholly-owned sources to that available in the competitive market place for fuel with similar characteristics. The Commission may take appropriate action when wholly-owned fuel costs differ significantly from comparable market prices for an extended period. A utility may be called upon to explain why its coal prices should not be reduced to the comparable market price. Decisions on a long-term deviation from market prices will be made by the Commission on a case-by-case basis.
(2) A utility should retain independent auditors to verify the charges affecting wholly-owned fuel costs. The Commission may review the audit of the fuel subsidiary or division and conduct reexaminations considered necessary.
The provisions of this § 69.4 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1307.
The provisions of this § 69.4 amended October 18, 1985, effective October 19, 1985, 15 Pa.B. 3730. Immediately preceding text appears at serial pages (33014) to (33016).
This section cited in 52 Pa. Code § 69.1 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.5 Transportation.
(a) Since transportation costs often are a significant part of the cost of fuel, and are ultimately passed on to the consumer, the goal of the utility should be to provide reliable, timely transportation at a reasonable cost to the plant facility.
(b) A utility should maintain proper documentation and submit the information to the Commission upon request to insure that:
(1) Effective methods are used to schedule and control individual shipments of fuel.
(2) Transportation means available to insure the necessary service levels of reliability.
(3) Responsibility for negotiation of transportation costs is placed upon the appropriate persons who actively participate in the fuel procurement policies.
(4) Sufficient lead times are planned to permit delivery of fuels on a timely basis.
(5) Transportation costs are held to a minimum, considering reliability and quality of service.
The provisions of this § 69.5 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301 and 1307.
The provisions of this § 69.5 amended October 18, 1985, effective October 19, 1985, 15 Pa.B. 3730. Immediately preceding text appears at serial page (33017).
This section cited in 52 Pa. Code § 69.1 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.11 Definitions.
The following words and terms, when used in this section and § § 69.12—69.19, have the following meanings, unless the context clearly indicates otherwise: Act—66 Pa.C.S. § § 2201—2212 (relating to Natural Gas Competition Act). Design day conditions—The extreme weather conditions that an NGDC uses to project customer requirements. Essential human needs retail gas customer—Customers consuming gas service in buildings where persons normally dwell including apartment houses, dormitories, hotels, hospitals and nursing homes, as well as the use of natural gas by sewage plants. (See § 69.22 (relating to definitions).) Firm capacity—Assigned capacity or comparable capacity that can be called upon to serve customer requirements on a reliable basis even under design day conditions. Gas supply assets—Includes all sources and components associated with the acquisition and delivery of natural gas. Interruptible gas service—Indicates natural gas service that can be interrupted under the terms and conditions specified by tariff or contract. Interstate capacity—Services provided by a Federal Energy Regulatory Commission-regulated entity, including pipeline transportation, storage, peaking, balancing and no-notice services. NGDC—Natural gas distribution company. NGS—Natural gas supplier. Operational flow order—An order issued by an NGDC to protect the safe and reliable operation of its gas system, either by restricting service or requiring affirmative action by shippers. Reliability plan—A plan provided for in 66 Pa.C.S. § 1317(c) (relating to regulation of natural gas costs). Residential retail gas customer—As defined in the tariff of each NGDC. SOLR—Supplier of last resort.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.12 Delivery standards for NGSs.
(a) NGSs should deliver natural gas supplies under the terms of service specified in NGDC tariffs. Failure to deliver natural gas supplies in accordance with the tariffs may subject NGSs to penalties under procedures specified in the tariffs or revocation of licenses, or both. (See section 2203(12) of the act (relating to standards for restructuring of natural gas utility industry).) The NGSs may serve customers with different quality of service requirements, as permitted under the act and applicable NGDC tariffs.
(b) NGSs should utilize firm capacity sufficient to meet the requirements of their firm service customers except to the extent otherwise provided in each NGDC’s reliability plan. Service to any essential human needs retail gas customer lacking installed and operable alternative fuel capability and any residential retail gas customer should be firm service.
(c) NGSs should warrant to the NGDC that they have sufficient firm capacity to meet the requirements of the essential human needs retail gas customers, as defined in § 69.11 (relating to definitions), and should describe the characteristics of any firm capacity to the NGDC. The NGDC should take commercially reasonable steps to attempt to verify that the firm capacity contract rights exist. The failure or inability of an NGDC to verify the existence of the contract rights using commercially reasonable steps does not relieve an NGS from any liability for failing to deliver gas, or subject the NGDC to any liability resulting from the NGS’s failure to deliver.
(d) Natural gas service to interruptible gas service customers should be interrupted, pursuant to the terms and conditions of the NGDC’s tariff, if the safety and reliability of firm service would be impeded by the interruptible customer’s continued use of natural gas.
This section cited in 52 Pa. Code § 62.111 (relating to bonds or other security); 52 Pa. Code § 69.11 (relating to definitions); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.13 Service obligations of the supplier of last resort.
(a) The SOLR is the NGDC or an NGS, which has been designated by the Commission under section 2207 of the act (relating to obligations to serve) to provide SOLR service. Each of the following services will be provided by an SOLR:
(1) Natural gas supply services to those customers who have not chosen an alternative NGS or who choose to be serviced by their SOLR.
(2) Natural gas supply services to those customers who are refused supply service from an NGS.
(3) Natural gas supply services to those customers whose NGS has failed to deliver its requirements.
(b) A customer should not have more than one SOLR designated for any of the services in subsection (a).
(c) An SOLR under subsection (a)(3) should provide sufficient supplies as to quantity, quality, pressure and location to meet the operational reliability requirements of the NGDC’s system including a failure of one or more NGSs to do one of the following:
(1) Supply natural gas to their retail gas customers in conformance with their contractual obligations to the customers.
(2) Satisfy applicable reliability standards and obligations.
This section cited in 52 Pa. Code § 69.11 (relating to definitions); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.14 Obligations of the system operator.
An NGDC should, in addition to performing any other roles such as selling natural gas, function as the system operator in ensuring that its distribution system is designed, constructed, managed and operated to safely and reliably receive and deliver natural gas throughout its facilities to customers connected to them. An NGDC, in performing its responsibilities as a system operator, may retain or acquire gas supply assets as required to perform its system operator functions in a manner which permits it to operate its system in a safe and reliable manner. The identity of the gas supply assets utilized by the NGDC to perform its system operator function should be reviewed by the Commission annually in the NGDC’s Section 1307(f) proceeding as part of the NGDC’s reliability plan.
This section cited in 52 Pa. Code § 69.11 (relating to definitions); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.15 Ensuring sufficient firm capacity availability.
(a) NGSs using firm gas supply contracts with Pennsylvania producers or storage or transportation capacity contracts acquired through assignment or release by NGDCs or acquired as the result of the nonrenewal of a storage or transportation capacity contract previously held by the NGDC should offer the SOLR, or the successor NGS, a right of first refusal to utilize the contracts at the NGS’s contract cost as long as needed to serve retail gas customers being relinquished by the NGS.
(b) NGSs using storage or transportation capacity contracts acquired in a manner other than through assignment, release or nonrenewal by the NGDC should provide the SOLR a right of first refusal to use the capacity at contract cost if the NGS failed to give the SOLR and the NGDC sufficient notice or if there is insufficient alternative capacity available to serve the market being relinquished by the NGS.
(1) The SOLR may retain the right to use the capacity at cost until the SOLR, through reasonable and diligent efforts, is able to acquire replacement capacity sufficient to serve the customers being relinquished by the NGS.
(2) The NGDC or the SOLR should acquire the replacement capacity in a manner consistent with the Commission’s least cost fuel procurement policy.
This section cited in 52 Pa. Code § 69.11 (relating to definitions); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.16 Penalties.
Nonperformance penalties should be established at levels sufficiently high to deter NGSs from failing to comply with their delivery obligations.
(1) The penalties should be independent of and in addition to the costs incurred by the NGDC, or, in the alternative, the supplier of last resort, for replacement gas supplies, including pipeline penalties.
(2) NGDCs may take into consideration the operational costs and other liabilities NGDCs may be exposed to by virtue of an NGS’s failure to deliver in establishing penalties.
(3) Failure of an NGS to honor delivery obligations may lead to disqualification from NGDC programs, suspension or revocation of the NGSs license.
(4) The disqualification, suspension or revocation should not relieve the NGS of its obligations to pay all penalties and costs incurred by the NGDC as a result of the NGS’s failure to deliver.
This section cited in 52 Pa. Code § 69.11 (relating to definitions); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.17 Critical period procedures.
(a) A critical period exists when the NGDC declares an Operational Flow Order (OFO). A critical period implies the need for heightened awareness and attention by all parties.
(1) OFOs are issued to alleviate stress, or potential stress, to the NGDC system that threatens safety or reliability, or both.
(2) OFOs are an action of last resort, are never issued lightly, and are only issued for safety or reliability reasons.
(3) OFOs are distinct from, and do not preclude, other types of flow orders which an NGDC may issue to satisfy other obligations of the NGDC or the SOLR under the code or this title, such as the obligation to fulfill the least cost fuel procurement requirements of section 1318 of the act (relating to determination of just and reasonable gas cost rates).
(b) The NGDC should describe in detail, in its tariff, the actions it will take in advance of, and during a critical period. At a minimum, those actions should include the following:
(1) Exercises wherein critical period communications between, and the required responses of, the parties can be tested.
(2) A protocol for issuing and communicating system alerts that announce actual or pending events that, if unchecked, may result in a critical period, and call for voluntary actions or responses from NGSs and customers.
(3) A protocol for issuing and communicating OFOs. The protocol should address how and when the OFOs will be announced, and provide for disseminating periodic status reports during the period an OFO is in effect. OFOs should state the actions required and the reasons for the actions, be as localized as possible and be applied in a nondiscriminatory manner.
This section cited in 52 Pa. Code § 69.11 (relating to definitions); 52 Pa. Code § 69.18 (relating to communications protocols); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.18 Communications protocols.
Communications protocols are tools by which NGDCs, NGSs and other parties, define and describe the type, form and frequency of communications necessary to successfully fulfill customer requirements in an operating environment of increased retail choice. Effective and consistent communications are critical to reduce errors, and provide all entities with the information necessary to properly fulfill their respective responsibilities, both in normal and emergency circumstances. A communications protocol should include at minimum, in addition to the specific requirements in § 69.17(b)(2) and (3) (relating to critical period procedures) the following:
(1) A detailing of contact data for both NGDC and NGS personnel responsible for the various aspects of customer contact, gas deliveries and distribution, including mechanisms for ensuring that the data is kept current for all parties.
(2) The specification that regular meetings will be held, with joint agenda development responsibilities, including the potential scheduling of operational conference calls.
(3) Communications, to the extent not otherwise set forth in the NGDC’s tariff, associated with the NGDC’s procedures for customer enrollment, billing arrangements, daily or monthly delivery quantity determination, nominations (monthly, daily, intra-day, and weekend), balancing options, reconciliation or true-ups, cash-outs and electronic data exchange requirements.
(d) Procedures utilized by NGDCs to inform NGSs of changes to NGS delivered supplies or customer demand, or both, required to assure system reliability, both daily and seasonal, and to avoid pipeline penalties.
This section cited in 52 Pa. Code § 69.11 (relating to definitions); and 52 Pa. Code § 69.19 (relating to operational and capacity councils).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.19 Operational and capacity councils.
(a) Each NGDC should create an operational and capacity council for parties referred to in section 2204(f) of the act (relating to implementation) to discuss and attempt to resolve operational and capacity issues related to customer choice, including the reliability effects of those operational and capacity issues related to customer choice and the ongoing implementation of this section and § § 69.11—69.18 (relating to safety and reliability guidelines). The intent of these councils is to explore the possibility of building consensus among council participants relating to operational, capacity and operational and capacity-related safety and reliability issues in a fair and nondiscriminatory manner.
(b) Each NGDC’s operational and capacity council should, at a minimum, establish, in consultation with council participants, the following:
(1) A regular meeting schedule.
(2) An agenda for each meeting.
(c) The final determination of operational and reliability issues resides with the NGDC, subject to Commission review.
(d) The fact that statements were made, or positions were taken and were not considered or accepted, in operational and capacity council meetings should not be considered, or entered into evidence, in any formal proceeding before the Commission relating to any matter addressed in the council meetings.
This section cited in 52 Pa. Code § 69.11 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.31 Importance of energy supply alternatives.
The Commission believes that energy supply alternatives such as conservation, load management, and alternate energy supply products are viable supply options which must be considered by the jurisdictional electric utilities as alternatives to capacity expansion and to reduce operating costs.
The provisions of this § 69.31 issued under the Public Utility Code, 66 Pa.C.S. § 308(c).
The provisions of this § 69.31 adopted October 21, 1983, effective October 22, 1983, 13 Pa.B. 3222.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.32 Rate treatment for cost of energy supply alternatives.
Reasonable and prudently incurred costs associated with the development, management, and operation of a cost effective alternative to energy supply shall be afforded rate treatment at least on a par with any other supply option.
The provisions of this § 69.32 issued under the Public Utility Code, 66 Pa.C.S. § 308(c).
The provisions of this § 69.32 adopted October 21, 1983, effective October 22, 1983, 13 Pa.B. 3222.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.33 Recovery of costs.
Subject to Commission approval, electric utilities may request recovery of costs of energy supply alternatives by methods such as treating them as normal operating expenses, amortizing them over several years, capitalizing them for inclusion in rate base, or any combination thereof. Based upon Commission policy and recent Commission actions, the utilities shall determine how they will design their rate filings to recover these costs.
The provisions of this § 69.33 issued under the Public Utility Code, 66 Pa.C.S. § 308(c).
The provisions of this § 69.33 adopted October 21, 1983, effective October 22, 1983, 13 Pa.B. 3222.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.34 Types of energy supply alternatives.
Energy supply alternatives may include but are not limited to conservation programs, load reducing or load shifting programs, and alternate energy supply projects.
The provisions of this § 69.34 issued under the Public Utility Code, 66 Pa.C.S. § 308(c).
The provisions of this § 69.34 adopted October 21, 1983, effective October 22, 1983, 13 Pa.B. 3222.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.35 Evaluation methodology.
A common evaluation methodology, developed by the Commission with the cooperation and assistance of the utilities, will be utilized to determine whether an energy supply alternative may be considered cost effective.
The provisions of this § 69.35 issued under the Public Utility Code, 66 Pa.C.S. § 308(c).
The provisions of this § 69.35 adopted October 21, 1983, effective October 22, 1983, 13 Pa.B. 3222.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.36 Performance criteria regarding energy supply alternatives—statement of policy.
The Pennsylvania Public Utility Commission intends to examine specific factors in rate proceedings of electric and gas utilities regarding the action or failure to act to encourage development of cost effective energy supply alternatives. Specifically, the Commission will review utilities’ efforts to meet the criteria inthis section when determining just and reasonable rates in future rate proceedings and may consider those efforts in other proceedings instituted by the Commission.
(1) Information. At least twice annually utilities should provide customers with information on specific means of utilizing their energy services more effectively and efficiently. Topic areas should include insulation, lighting efficiencies, appliance efficiencies, conservation practices, load management techniques or other relevant information that informs the customer of the efficient use of energy.
(2) Energy surveys. Class A utilities should offer onsite energy surveys to the residential, commercial and industrial classes on an ongoing basis. Surveys should be conducted by trained personnel and the results of the survey, upon written request of the customer, be delivered in writing with a clear explanation of the resulting components.
(3) Cogeneration and small power production. Electric utilities for which a need for capacity is projected should establish effective programs to explore and encourage the development of additional cogeneration and small power production facilities within their respective service territories.
(4) Least cost planning. Gas and electric utilities should actively pursue a least-cost strategy by acquiring and developing the resources necessary to effectively meet their customers’ future energy needs, consistent with established availability and reliability criteria. Utilities should make a reasonable effort to promote the utilization of practical and economical energy conservation and demand management through cost effective programs.
(5) Evaluation. Class A utilities should demonstrate progressive work regarding development of a reliable customer data base, including, but not limited to:
(i) End-use applications for each class of customer in terms of energy and demand.
(ii) Customer behavior with regard to the decision-making process.
(iii) The impact of program decisions or strategies and how they effect the overall planning process.
(6) Natural gas co-firing. Electric utilities should explore the potential for increasing capacity and output at coal-fired generating stations through gas cofiring.
The provisions of this § 69.36 adopted March 10, 1989, effective March 11, 1989, 19 Pa.B. 1095.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.51 Definitions.
The following words and phrases, when used in § § 69.51—69.56, have the following meanings, unless the context clearly indicates otherwise: Gross receipts tax rider—The separate rider which certain gas utilities impose on customer bills at a rate of 2.04% to collect the 20 mills gross receipts tax which was in effect prior to January 1, 1970. On that date the gross receipts tax was increased by 25 mills, which additional amount was included in the State tax adjustment surcharge. State tax adjustment surcharge—The surcharge implemented under the State Tax Adjustment Procedure Order of the Commission dated March 10, 1970, as amended, which permits utilities under its jurisdiction to recover portions of the Capital Stock Tax, Corporate Net Income Tax and Gross Receipts Tax and the Public Utility Realty Tax through a surcharge on rates charged to customers.
The provisions of this § 69.51 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301, 1302, 1504 and 1509.
The provisions of this § 69.51 adopted January 8, 1988, effective January 9, 1988, 18 Pa.B. 185.
This section cited in 52 Pa. Code § 54.92 (relating to definitions); 52 Pa. Code § 54.94 (relating to recovery of charges in State tax liability); and 52 Pa. Code § 54.97 (relating to State tax adjustment surcharge).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.52 General.
Unless necessitated by a change in the Pennsylvania Capital Stock Tax, Corporate Net Income Tax, Gross Receipts Tax or Public Utility Realty Tax which would increase or decrease rates in a manner governed by the Commission’s State Tax Adjustment Procedure, 44 Pa. P.U.C. 545 (1970), a utility which has a State tax adjustment surcharge or gross receipts tax rider shall maintain its surcharge and rider rates at 0%.
The provisions of this § 69.52 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301, 1302, 1504 and 1509.
The provisions of this § 69.52 adopted January 8, 1988, effective January 9, 1988, 18 Pa.B. 185.
(Editor’s Note: The following Exhibit is codified under 1 Pa. Code § 3.1(a)(9) (relating to contents of Code) as a document which the Legislative Reference Bureau finds to be general and permanent in nature.)
BY THE COMMISSION, March 10, 1970:
By enactments at the end of 1969 and during February of 1970, the Legislature has retroactively increased the rates of three types of taxes paid by public utilities, and has imposed a new tax upon real estate of public utilities, as follows:
It should be noted here that the increase of 25 mills in the gross receipts tax, which will produce the greatest tax revenues, was enacted as a temporary tax effective for the period January 1, 1970 to September 1, 1971. Prescribed assessment procedures for the realty tax may cause the relative effective rate for each utility to fluctuate in subsequent years. It is also possible that predicted tax reform may modify or eliminate these recent tax increases.
Public utilities under our jurisdiction are subject to regulation, which permits them to recover, in the form of rates, their legitimate costs, plus a fair return which compensates investors for the use of the funds they have provided for the construction of utility facilities.
The new and increased taxes constitute a legitimate cost, and, unless compensated for, will reduce the return of public utilities at a time when many of them, particularly the electric and telephone groups, are engaged in unprecedented construction programs in order to assure adequate facilities for service to customers. These large construction programs must be financed by attracting funds from investors; and such attraction will be difficult in many instances, and impossible in others, if the returns of the public utilities are permitted to decline appreciably as a result of these increases in taxes. Unless relief is granted, there could be serious deterioration of service to the public.
The public utilities are deluging us with requests to preserve their present returns by filing individually for rate increases which are retroactive because the new taxes are retroactive and any delay for rate relief would make the impairment of return inescapable. We have 620 electric, gas, water and telephone utilities, as well as many utilities of other types, under our jurisdiction and to attempt to give necessary and prompt relief on an individual basis would be an impossibility.
A more sensible and practicable approach is to temporarily allow those public utilities which are affected by the increased taxes to recover, prospectively but not retroactively, such costs by a surcharge on service furnished after the charge is approved; to study various long-term procedures; to compute the surcharge so as to prevent overcompensation for the increased costs; to provide for subsequent modification of the surcharge to reflect any elimination or modification of these tax increases; and to later review each public utility’s situation to enable us to require refunds or other remedies to customers in any appropriate case; THEREFORE,
IT IS ORDERED:
A. Every public utility which has been subjected to new or increased taxes enacted by the General Assembly of 1969-1970, and proposing to impose a surcharge to recover such taxes, shall compute the surcharge in the following manner and submit the computation to this Commission:
-
The one-mill increase in the capital stock and franchise tax rate shall be applied to the most recently settled valuation placed on the utility for that tax.
-
For the 4 1/2% increase in the corporate net income tax rate, add together (a) the Pennsylvania corporate net income tax liability for the most recently completed calendar year and (b) the net income, as defined in Section 2 of the Corporate Net Income Tax Act, upon which that liability was computed; and multiply the resulting total by (c) the factor 4.186%. (Note: This factor is the increase of 3.738% in the effective tax rate, divided by .983 which is the complement of the effective tax rate; and this factor shall be changed if the effective tax rate changes.)
-
The new 30-mill Public Utility Realty Tax shall be applied to the utility’s ‘‘State taxable value’’ (as defined in section 2(d) of the tax act) at the end of the most recently completed calendar year.
-
For any utility subject to the gross receipts tax (act of 1889), the 25-mill increase in the gross receipts tax rate shall be applied to the gross receipts tax base for the most recently completed calendar year.
-
Items 1, 2, 3, and 4 where applicable, shall be totaled.
-
For any public utility subject to the gross receipts tax, the total of item 5 shall be divided by a factor which is the complement of the gross receipts tax rate (such factor being .955 as of the date of this order).
-
The total of item 5 for any utility not subject to the gross receipts tax, and the quotient of item 6 for any utility subject to such tax, shall be divided by the utility’s gross intrastate operating revenues derived from service under rates subject to the jurisdiction of this Commission for the most recently completed calendar year, exclusive of the revenues produced by the surcharge permitted by Section A. The quotient of such division shall be expressed as a percentage.
-
If the utility shall have increased or decreased its rates under this Commission’s jurisdiction during or after the most recently completed calendar year, it shall include in its computation the appropriate adjustments to items 2, 4, 5, 6, and 7, as if such increased or decreased rates had been in effect for all of such year.
-
The surcharge imposed shall not exceed the percentage determined by item 7, subject to the adjustments prescribed by item 8.
-
Any public utility which, prior to the effective date of its initial surcharge permitted by this order, shall have placed new rates in effect, or has filed a proposed rate increase, which include any compensation for the tax increases referred to in section A, shall adjust those rates or filings to eliminate such compensation, and instead incorporate those increases in the surcharge permitted by this order as prescribed by section A.
B. Every tariff or supplement imposing such surcharge shall provide that the utility will recompute the surcharge, using the elements prescribed by section A:
-
Whenever any of the tax rates referred to in section A is changed, in which case the recomputation shall take into account the changed tax rate.
-
Whenever the utility makes effective increased or decreased rates under this Commission’s jurisdiction, in which case the recomputation shall take into account the adjustments prescribed by section A-8.
-
And on March 31, 1971, and each year thereafter.
C. Every tariff or supplement imposing such surcharge shall also provide that every recomputation prescribed by section B shall be submitted to this Commission within ten days after the occurrence of the event or date which occasions such recomputation; and that if the recomputed surcharge is less than the one then in effect the utility will, and if the recomputed surcharge is more than the one then in effect the utility may, accompany such recomputation with a tariff or supplement to reflect such recomputed surcharge.
D. Every tariff or supplement filed pursuant to this order shall carry an effective date which shall be ten days after its filing with this Commission, and be applicable for service rendered on or after the effective date.
E. Nothing in this order shall be deemed to preclude this Commission from investigating the financial affairs of any utility and, in appropriate cases, ordering refunds or other proper remedies for its customers. This order is intentionally couched in permissive rather than mandatory language, to preclude the possibility that any surcharge imposed hereunder is a Commission-made rate.
This section cited in 52 Pa. Code § 54.94 (relating to recovery of changes in State tax liability); 52 Pa. Code § 54.97 (relating to State tax adjustment surcharge); and 52 Pa. Code § 69.51 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.53 Zeroing of State tax adjustment surcharge.
A fixed service utility which has a State tax adjustment surcharge shall roll revenues collected through the surcharge into base rates to set the surcharge rate at 0%.
The provisions of this § 69.53 issued under the Public Utility Code, 66 Pa.C.S. § 501, 1301, 1302, 1504 and 1509.
The provisions of this § 69.53 adopted January 8, 1988, effective January 9, 1988, 18 Pa.B. 185.
This section cited in 52 Pa. Code § 54.94 (relating to recovery of changes in State tax liability); 52 Pa. Code § 54.97 (relating to State tax adjustment surcharge); 52 Pa. Code § 69.51 (relating to definitions); and 52 Pa. Code § 69.55 (relating to inclusion of State taxes in base rates).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.54 Zeroing of gross receipts tax rider.
A fixed service utility which has a gross receipts tax rider shall roll revenues collected through the rider into base rates to set the rider rate at 0%.
The provisions of this § 69.54 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301, 1302, 1504 and 1509.
The provisions of this § 69.54 adopted January 8, 1988, effective January 9, 1988, 18 Pa.B. 185.
This section cited in 52 Pa. Code § 54.94 (relating to recovery of changes in State tax liability); 52 Pa. Code § 54.97 (relating to State tax adjustment surcharge); 52 Pa. Code § 69.51 (relating to definitions); and 52 Pa. Code § 69.55 (relating to inclusion of State taxes in base rates).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.55 Inclusion of State taxes in base rates.
Compliance with § 69.53 (relating to zeroing of State tax adjustment surcharge) or § 69.54 (relating to zeroing of gross receipts tax rider) shall be accomplished in one of the following manners:
(1) Rate case method. If a utility has on file a State tax adjustment surcharge or gross receipts tax rider at a rate other than zero, the State tax adjustment surcharge and gross receipts tax rider shall be zeroed and the tax expense recovered by the surcharge and rider shall be rolled into base rates in the next general rate increase filed by the utility. If the utility files a cost of service study with its proposed rate increase, the tax expense previously recovered through the surcharge and rider shall be allocated to the various classes of service in a manner consistent with the cost of service study. If a cost of service study is not provided with the rate filing, the surcharge and rider revenues shall be rolled into base rates by applying the same percentage rate to each class of service so that there will be no effective change in total revenues recovered from each service classification as a result of the roll-in.
(2) Nonrate case method. The State tax adjustment surcharge and gross receipts tax rider shall be zeroed, and the tax expenses recovered through application of the surcharge and rider shall be rolled into base rates by filing a tariff or tariff supplement and supporting data on 60-days’ statutory notice to the Commission. The transfer of revenues to base rates shall be accomplished so that there will be no effective change in total revenues recovered from each service classification as a result of the roll-in. The supporting data shall include calculations showing the development of the new tariff rates as well as the revenues which they will produce on an annual basis. Customers shall be advised of the roll-in of the surcharge and rider revenues by bill insert to be mailed during the normal monthly or quarterly billing cycle.
The provisions of this § 69.55 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301, 1302, 1504 and 1509.
The provisions of this § 69.55 adopted January 8, 1988, effective January 9, 1988, 18 Pa.B. 185.
This section cited in 52 Pa. Code § 54.94 (relating to recovery of changes in State tax liability); 52 Pa. Code § 54.97 (relating to State tax adjustment surcharge); and 52 Pa. Code § 69.51 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.56 Time for compliance.
Tariff filings effectuating the zeroing of the State tax adjustment surcharge and gross receipts tax rider shall be submitted to the Commission by January 9, 1990, or thereafter, within 24 months of a change in the State tax adjustment surcharge or gross receipts tax rider which causes either to be set at a rate other than zero.
The provisions of this § 69.56 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 1301, 1302, 1504 and 1509.
The provisions of this § 69.56 adopted January 8, 1988, effective January 9, 1988, 18 Pa.B. 185.
This section cited in 52 Pa. Code § 54.94 (relating to recovery of changes in State tax liability); 52 Pa. Code § 54.97 (relating to State tax adjustment surcharge); and 52 Pa. Code § 69.51 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.87 Tariff provisions that limit the liability of utilities for injury or damage as a result of negligence or intentional torts—statement of policy.
The Commission, after review of applicable State law, and on consideration of the various policy considerations relative to the inclusion in tariffs of provisions which limit the liability of utilities for injury or damages as a result of negligence or intentional torts, finds that State law permits utilities to limit their liability for interruption or cessation of service. If a utility seeks to place the language in its tariff, a tariff filing should be made under section 1308 of the code (relating to voluntary changes in rates), and should include a company-specific dollar amount for the proposed limitation and work papers to substantiate the dollar amount. A copy of the tariff filing should be served on the Office of Consumer Advocate and on the Office of Small Business Advocate.
The provisions of this § 69.87 adopted April 23, 1999, effective April 24, 1999, 29 Pa.B. 2147.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.91 Policy.
(a) In rate cases where either an ‘‘option order’’ or a settlement petition is approved by the Commission, there may arise a problem of the prompt resolution of any outstanding complainant where the complaint does not acquiesce to the approved option or settlement and, instead, elects to pursue the outstanding complaint. Oftentimes resolution of the outstanding complaint does not occur within the statutory suspension period, but rather extends well beyond the period required to decide a rate case.
(b) The Commission believes that lengthy and avoidable delays in the disposition of consumer complaints in rate cases which are optioned or settled undermine public trust in our rate setting process. Further, delay makes the administration of any refund found appropriate, should the complainant ultimately prevail on the merits, more difficult.
(c) Therefore, to the extent practicable, it is the policy of the Commission to:
(1) Require in any option order or order approving a settlement petition, that the Office of Administrative Law Judge proceed with hearings on any outstanding complaint, where desired by the complainant, on a schedule that would provide the Commission with a recommended decision in sufficient time for a final Commission order within the statutory suspension period which would have applied had the case not been optioned or settled; and
(2) Issue a final Commission order on any outstanding complaint, where desired by the complainant, within the statutory suspension which would have applied had the case not been optioned or settled.
The provisions of this § 69.91 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 703 and 1308.
The provisions of this § 69.91 adopted April 8, 1983, effective April 9, 1983, 13 Pa.B. 1258.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.101 Definitions.
The following words and terms, when used in § § 69.101—69.107, have the following meanings, unless the context clearly indicates otherwise: Act—The Building Energy Conservation Act (35 P. S. § § 7201.101—7201.602). Addition—An addition to an existing building. See § 69.102 (relating to scope). Building energy conservation standards—The standards promulgated by the Department at 12 Pa. Code Chapter 147 (relating to building energy conservation standards). Compliance certification copy—The part of the notice of intent to construct returned by the Department or municipality after receipt and processing of the notice of intent to construct, which bears the ID number assigned to the notice of intent to construct by the Department or municipality. Department—The Department of Community Affairs of the Commonwealth. Municipality—A city, borough, incorporated town, township or home rule municipality which has elected to administer the act under section 501 of the act (35 P. S. § 7201.501). Notice of intent to construct—The notice required to be filed with the Department, or a municipality, under section 306 of the act (35 P. S. § 7201.306). Person—Individuals, partnerships, associations, sole proprietorships, companies, corporations and their lessees, assignees, trustees, receivers, executors, administrators or other successors in interest. Public utility—Persons or corporations in this Commonwealth owning or operating equipment or facilities for producing, generating, transmitting, distributing or furnishing electricity to or for the public for compensation for any purpose. The term does not include the following:
(i) A generator or producer of electricity not engaged in distributing the electricity directly to the public for compensation.
(ii) A person not otherwise a public utility who furnishes service only to himself.
(iii) A bona fide cooperative association which furnishes services only to its stockholders or members on a nonprofit basis. Renovation—The rehabilitation of an existing building which requires more than 25% of the gross floor area or volume of the entire building to be rebuilt. Cosmetic work, such as painting, wall covering, wall paneling, floor covering and suspended ceiling work is not required to be included. Sections 69.101—69.107 apply to the portion of the building being renovated and not to the entire building. Residential building—A building as defined in section 103 of act (35 P. S. § 7201.103), and renovations thereto, the actual construction of which commenced after March 19, 1986, and which is arranged for the use of one or two family dwelling units, and rowhouses, townhouses and garden apartment construction not exceeding three stories in height used for residential purposes, whenever each unit has its own individual and self-supporting heating, ventilating or air conditioning system.
The provisions of this § 69.101 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.101 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial pages (90049) to (90051).
This section cited in 52 Pa. Code § 69.102 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.102 Scope.
(a) Sections 69.101—69.107 apply to all applications for electric service to or for residential buildings received by a public utility after March 19, 1986.
(b) Sections 69.101—69.107 apply to the portion of the building which is being added and not to the entire building.
The provisions of this § 69.102 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.102 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial page (90051).
This section cited in 52 Pa. Code § 69.101 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.103 Utilities to require receipt of compliance certification copy of notice of intent to construct.
Except as provided in § 69.107 (relating to exemptions), a public utility, prior to furnishing electric service to or for a residential building, shall require that the compliance certification copy be submitted to it by the person requesting service to or for the residential building. A public utility shall require that the compliance certification copy be submitted not later than the date on which electric service to or for a residential building is provided by the utility.
The provisions of this § 69.103 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.103 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial page (90051).
This section cited in 52 Pa. Code § 69.101 (relating to definitions); 52 Pa. Code § 69.102 (relating to scope); and 52 Pa. Code § 69.107 (relating to exemptions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.104 Reliance upon compliance certification copy; effect of reliance.
(a) The receipt by a public utility of the compliance certification copy constitutes conclusive evidence to the utility that the residential building, for which electric service has been requested, has been or will be constructed in compliance with the building energy conservation standards. Public utilities shall rely absolutely on the compliance certification copy in furnishing electric service to or for a residential building, and no public utility, which is in receipt of the compliance certification copy may conduct an audit, examination or inspection of the residential building for the purpose of determining compliance with the building energy conservation standards.
(b) The furnishing, rendering or supplying of electric service to or for a residential building by a public utility, in reliance upon the compliance certification copy may not constitute a certification or determination by the utility that the residential building has been constructed in compliance with the building energy conservation standards.
The provisions of this § 69.104 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.104 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial pages (90051) and (95685).
This section cited in 52 Pa. Code § 69.101 (relating to definitions); 52 Pa. Code § 69.102 (relating to scope); and 52 Pa. Code § 69.107 (relating to exemptions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.105 Service to certain residential buildings prohibited.
Except as provided in § 69.107 (pertaining to exemptions), no public utility may furnish electric service to a residential building unless it has first received the compliance certification copy.
The provisions of this § 69.105 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.105 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial page (95685).
This section cited in 52 Pa. Code § 69.101 (relating to definitions); 52 Pa. Code § 69.102 (relating to scope); and 52 Pa. Code § 69.107 (relating to exemptions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.106 Record retention.
A public utility shall be required to retain the compliance certification copy which is submitted to it for at least 2 years. If a public utility uses data processing equipment to record and maintain information derived from the compliance certification copy, the utility may not be required to retain the compliance certification copy.
The provisions of this § 69.106 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.106 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial page (95685).
This section cited in 52 Pa. Code § 69.101 (relating to definitions); 52 Pa. Code § 69.102 (relating to scope); and 52 Pa. Code § 69.107 (relating to exemptions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.107 Exemptions.
(a) A public utility is exempt from § § 69.103—69.106 (relating to utilities to require receipt of compliance certification copy of notice of intent to construct; reliance upon compliance certification copy; effect of reliance; service to certain residential buildings prohibited; and record retention), for an application for electric service to or for a residential building which is located in a municipality which has elected under sections 501 and 502 of the act (35 P. S. § § 7201.501 and 7201.502) to administer the act and which requires that a notice of intent to construct be filed with the municipality prior to or at the time that a building permit is applied for.
(b) A public utility is exempt from § § 69.103—69.106, if in the utility’s judgment, strict compliance may jeopardize the public health or safety or impose an undue hardship. In this event, the utility shall notify the Department or the municipality, in writing, of the exemption.
The provisions of this § 69.107 issued under the Public Utility Code, 66 Pa.C.S. § § 308, 501, 1501 and 1704; amended under the Public Utility Code, 66 Pa.C.S. § § 308, 331, 501, 1501 and 1704.
The provisions of this § 69.107 adopted April 20, 1984, effective July 20, 1984, 14 Pa.B. 1393; amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 389. Immediately preceding text appears at serial pages (95685) to (95686).
This section cited in 52 Pa. Code § 69.101 (relating to definitions); 52 Pa. Code § 69.102 (relating to scope); 52 Pa. Code § 69.103 (relating to utilities to require receipt of compliance certification copy of notice of intent to construct); and 52 Pa. Code § 69.105 (relating to service to certain residential buildings prohibited).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.169 Definitions—statement of policy.
The following words and terms, used in 66 Pa.C.S. § 1326 (relating to standby charge prohibited), have the following meanings: Residential structure—A building which contains only individually metered dwelling units intended for human habitation. Standby charge—The charge for the availability of water supply during fire emergencies. Costs for the upsizing of company-owned service lines and meters, for the installation of additional lines and for backflow prevention devices are not standby charges for purposes of residential sprinkler systems, and these costs shall be borne by the applicant for service on a one-time basis.
The provisions of this § 69.169 adopted June 30, 1989, effective July 1, 1989, 19 Pa.B. 2787.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.191 General.
(a) Given the unbundling of monopoly distribution services in the natural gas industry and the development of customer access to commodity gas and transportation services, the Commission has developed policies for local distribution companies (LDCs), marketers and customers with regard to the affiliated and nonaffiliated interests of LDCs. Unless otherwise stated, the phrase ‘‘marketer’’ or ‘‘marketers or brokers’’ includes all LDC affiliates, subsidiaries, parents, divisions, and the like providing gas supply to a respective LDC’s customer. This section and § 69.192 (relating to affiliated interest—statement of policy) are intended to clarify additional aspects of the Commission’s authority in this area. The Commission has a strong policy against direct or indirect discrimination by LDCs in favor of their marketing affiliates or marketing divisions and against independent gas marketers. The discrimination impermissibly hinders the unbundling of services and the entry of new competitors into the marketplace. This discrimination also violates section 1502 of the code (relating to discrimination in service).
(b) Many Pennsylvania LDCs have affiliated marketing divisions. Some Pennsylvania LDCs may have divisions or marketing sections that are not separately organized as affiliates as defined in 66 Pa.C.S. (relating to Public Utility Code). This section and § 69.192 provide guidance to an LDC’s affiliate, regardless of the format used to operate an LDC’s affiliate, in order to be effective, to prevent discriminatory behavior, and insure compliance with section 1502 of the code (relating to discrimination in service). This section and § 69.192 will apply without regard to the structural relationship of the LDC’s marketer to the LDC.
(c) This section and § 69.192 cover both the LDC’s affiliates and gas marketing divisions or marketing sections, even those without any distinct organizational structure, that do not have affiliate status. This section and § 69.192 will not require any generic structural separation of an LDC’s affiliate, notwithstanding actions taken to the contrary in other states, because the Commission does not believe this is necessary as long as the LDC fairly allocates costs to an LDC’s affiliate and refrains from giving the LDC’s affiliate any unfair advantage vis-a-vis a marketer or broker not affiliated with an LDC. The Commission may impose such a structural requirement if and when warranted by the facts and circumstances.
(d) The Commission’s authority with respect to affiliates and marketing divisions derives from different portions of the code. Chapter 21 of the code (relating to relations with affiliated interests) directly governs affiliated interests. Section 1318(b) of the code (relating to just and reasonable natural gas rates), addresses gas purchased from affiliates. Other provisions govern natural gas costs such as sections 1307, 1308, 1317, and 1318. The code requires adherence to tariffs under section 1303 (relating to adherence to tariffs) and thus prohibits a lack of uniformity or discrimination in the application of tariff provisions. Likewise under section 1304 (relating to discrimination in rates) it prohibits rate discrimination. Other provisions reenforce these policies: section 1501 (relating to character of service and facilities) requires utilities to furnish ‘‘adequate, efficient, safe and reasonable service,’’ while section 1502 prohibits ‘‘any unreasonable preference or disadvantage’’ and forbids ‘‘any unreasonable prejudice or disadvantage.’’ These provisions require equal treatment of similarly situated parties, in this case customers of an LDC’s transportation tariff services, regardless of whether that customer chooses to use the gas supply services of an LDC or otherwise.
(e) Under sections 505 and 506 of the code (relating to duty to furnish information to the Commission; cooperation in valuing property; and inspection of facilities and records), the Commission has authority to require utilities to keep and furnish information in accordance with requirements set forth by the Commission. As part of this section and § 69.192 the Commission has set forth certain recordkeeping requirements to help ensure that parties are fairly treated. The Commission expects the LDC, in consultation with marketers or brokers to propose a process for reporting and managing marketer or broker complaints as part of any tariff proposed as a result of this section and § 69.192. The Commission may expect additional recordkeeping or conflict resolution processes if the parties are unable to resolve this or if warranted by subsequent facts and circumstances.
The provisions of this § 69.191 adopted August 15, 1997, effective August 16, 1997, 27 Pa.B. 4102.
This section cited in 52 Pa. Code § 69.192 (relating to affiliated interest—statement of policy).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.192 Affiliated interest—statement of policy.
The following policies should be applied by the local distribution companies (LDCs):
(1) The LDC should apply its tariffs in a nondiscriminatory manner to its affiliate, its own marketing division and any nonaffiliate.
(2) The LDC should likewise not apply a tariff provision in any manner that would give its affiliate or division an unreasonable preference over other marketers with regard to matters such as scheduling, balancing, transportation, storage, curtailment or nondelivery.
(3) If a tariff provision is mandatory, the LDC should not waive the provision for its affiliate or division absent prior approval of the Commission.
(4) If a tariff provision is not mandatory or provides for waivers, the LDC should grant the waivers without preference to affiliates and divisions or nonaffiliates.
(5) The LDC should maintain a chronological log of tariff provisions for which it has granted waivers. Entries should include the name of the party receiving the waiver, the date and time of the request, the specific tariff provision waived and the reason for the waiver. Any chronological log should be open for public inspection during normal business hours.
(6) The LDC should process requests for transportation promptly and in a nondiscriminatory fashion with respect to other requests received in the same or a similar period. The LDC should maintain a chronological log showing the processing of requests for transportation services. Any chronological log should be open for public inspection during normal business hours.
(7) Transportation discounts provided to the LDC’s or its marketing affiliate’s favored customers should be offered to other similarly situated customers and should not be tied to any unrelated service, incentive or offer on behalf of either the parent or affiliate. A chronological log should be maintained showing the date, party, time and rationale for the action. Any chronological log should be open for public inspection during normal business hours.
(8) The LDC should not disclose any customer proprietary information to its marketing affiliate or division, and to the extent that it does disclose customer information, it should do so to other similarly situated marketers in a similar fashion so as not to selectively disclose, delay disclosure, or give itself or its affiliate any undue advantage related to the disclosure. A chronological log should be maintained showing the date, time and rationale for the disclosure. Any chronological log should be open for public inspection during normal business hours.
(9) An LDC should justly and reasonably allocate to its marketing affiliate or division the costs or expenses for general administration or support services.
(10) An LDC selling surplus gas supplies and/or upstream capacity on a short-term basis (as defined by the Federal Energy Regulatory Commission’s definition) to its affiliate should make supplies available to similarly situated marketers on a nondiscriminatory basis. An LDC should not make any gas supplies and/or upstream capacity available through private disclosure to an LDC’s affiliate unless the availability is made simultaneously with public dissemination in a manner that fairly apprises interested parties of the availability of the gas supplies and/or upstream capacity. An LDC should maintain a chronological log of these public disseminations. Any chronological log should be open for public inspection during normal business hours.
(11) The LDC should not condition or tie agreements to release interstate pipeline capacity to any service in which the LDC or affiliate is involved.
(12) The LDC should not directly or by implication unfairly represent to any customer, supplier or third party that an advantage may accrue to any party through use of the LDC’s affiliate or subsidiary.
(13) The LDC should establish and file with the Commission a complaint procedure for dealing with any alleged violations of any of the standards listed in paragraphs (1)—(12), this paragraph or paragraphs (14) and (15), excepting for paragraph (9), which should be exclusively under the purview of the Commission. These procedures should be developed in consultation with interested parties during consideration of any tariff guided by this section and § 69.191 (relating to general). The Commission may expect establishment of a complaint procedure or other recordkeeping requirements if warranted by subsequent facts or circumstances.
(14) The LDC should keep a chronological log of any complaints, excepting paragraph (9), regarding discriminatory treatment of brokers. This chronological log should include the date and nature of the complaint and the LDC’s resolution of it. Any chronological log should be open for public inspection during normal business hours.
(15) Parties alleging violations of these standards may pursue their allegations through the Commission’s established complaint procedures. A complainant bears the burden of proof consistent with 66 Pa.C.S. (relating to Public Utility Code) in regard to the allegations.
The provisions of this § 69.192 adopted August 15, 1997, effective August 16, 1997, 27 Pa.B. 4102.
This section cited in 52 Pa. Code § 69.191 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.195 Fitness of natural gas marketer or broker (including an LDC’s affiliate).
(a) Fitness of brokers and marketers.
(1) Unless otherwise stated, the phrase marketers or brokers, or both, includes all local distribution company (LDC) affiliates, subsidiaries, parents, divisions, and the like providing gas supply to the respective LDC’s customers.
(2) To retain reliable service when the gas industry unbundles, the Commission seeks to insure that brokers and marketers operating in this Commonwealth possess the financial or technical, or both, fitness necessary to meet their obligations consistent with the public interest in system reliability and gas supplies. As assurance of the continuation of reliable service and secure supplies is a prerequisite for opening Pennsylvania’s gas markets to full retail competition, both new and incumbent providers of gas should be fully capable of providing reliable service and supplies.
(3) The LDCs should address the issue of financial and technical fitness in their tariffs, in consultation with marketers or brokers, to assure the reliability of supplies to the end user and the public interest in system reliability. The LDCs should also address the matter of enforcement in any tariff, developed in consultation with customers, marketers or brokers, submitted in adherence to this section.
(b) Demonstration of fitness to deliver gas. Gas suppliers that wish to deliver gas to retail customers should demonstrate that they have the requisite financial and technical fitness to meet their obligations to customers consistent with the public interest in system reliability and LDC’s underlying supplier-of-last-resort obligation. The financial and technical fitness is expected for any marketer or broker that wants to serve any or all retail commercial, industrial or retail classes. Financial and technical fitness is aimed at ensuring that a marketer or broker has the requisite ability to offer service to the public.
(c) Nondiscriminatory transportation tariff rules. The LDCs may offer nondiscriminatory transportation tariff rules, developed in consultation with marketers or brokers, governing the qualifications of marketers and brokers. The rules should be consistent with any registration requirements for marketers and brokers of the Federal Energy Regulatory Commission. The tariff rules should address the following:
(i) Financial fitness, including the ability to comply with any penalties stemming from nonperformance or in response to changed circumstances.
(ii) Operational fitness, including the ability of the firm to meet peak demand of contracted customers which could be met by a showing of sufficient gas reserves or sufficient supply and capacity to meet the maximum daily delivery obligations with sufficient emergency back up supplies.
(2) The information expected by this section should be as generic as possible and be limited to the information needed for system reliability and performance of an LDC’s supplier-of-last-resort obligations. The information expected by this section should avoid information wanted solely or largely for an LDC’s merchant function. The information expected by this section should avoid mandating the disclosure of specific and commercially sensitive information such as price, origin, destination, and the like. Information provided to an LDC as part of its system reliability and supplier-of-last-resort obligations may not be provided to an LDC’s affiliate as part an LDC’s merchant operations.
The provisions of this § 69.195 adopted August 15, 1997, effective August 16, 1997, 27 Pa.B. 4109.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.201 General.
(a) Since 66 Pa.C.S. § 1307 (relating to sliding scale of rates; adjustments) enables a utility to collect certain fuel costs on a dollar-for-dollar basis from its ratepayers, a utility has the highest degree of responsibility to take aggressive action on behalf of its ratepayers to control nuclear fuel costs. A utility should use every means reasonably available to monitor and enforce vendor adherence to all aspects of nuclear fuel procurement agreements. In addition to contract adherence, the Pennsylvania Public Utility Commission (Commission) may exercise its independent right to review each utility’s purchasing practices, which may include a review to determine if the utility is actively making every effort to secure competitive sources for every phase of the nuclear fuel cycle and is obtaining its nuclear fuel at the lowest reasonable cost. The Commission defines ‘‘lowest reasonable cost,’’ relating to nuclear fuel procurement, as contracting for or purchasing nuclear fuel at the lowest available price without sacrificing dependability or quality of service. The Commission may make constructive suggestions with regard to an individual company’s nuclear fuel procurement policies and procedures from time to time. As the process of acquiring nuclear fuel is somewhat more complex than fossil fuel, an explanation has been included to describe in general terms the elements of the nuclear fuel procurement process.
(b) The purpose of § § 69.202—69.206 is to establish guidelines that the Commission recommends an electric utility follow in its nuclear fuel procurement activities. The Commission realizes that nuclear fuel procurement policies of utilities may differ depending on individual circumstances. The Commission believes that there are certain common practices that will result in the lowest rea
sonable nuclear fuel costs. Nuclear fuel procurement should be consistent with regulatory requirements, and may or may not result in the lowest priced nuclear fuel.
(c) If a utility believes that a nuclear fuel procurement policy that differs from that described in § § 69.202—69.206 will, in the long term, result in lower costs, the utility should submit the details of the policy for review by the Commission prior to implementation.
(d) If it appears through Commission review, that nuclear fuel procurement practices which differ from those described in this section and § § 69.202—69.207 have resulted in unreasonable nuclear fuel costs, a utility may be requested by the Commission to demonstrate the reasonableness of the costs.
(e) If the Commission determines after notice and hearing that a utility’s nuclear fuel procurement practices which differ from those described in this section and § § 69.202—69.207 have resulted in unreasonable nuclear fuel costs, the utility will be required to apply credits against the applicable energy cost rate or to make refunds to its customers.
(f) Specifications for the procurement of nuclear fuel should not be set at quantity levels which would preclude competitive proposals from reliable and competent suppliers. Investigations should be conducted to insure that potential vendors have adequate owned or contracted supplies to fulfill all contract provisions.
(g) Sections 69.202—69.206 represent the standard by which the Commission intends to assess the reasonableness of a utility’s nuclear fuel purchasing policies and practices. Sections 69.202—69.206 serve as notice to electric utilities of the Commission’s expectations with regard to nuclear fuel procurement policies and practices. Utilities should apply § § 69.202—69.206 prospectively in planning nuclear fuel purchases. If provisions of existing contracts are in conflict with § § 69.202—69.206, utilities need not seek to immediately amend the contracts, but should move towards the policies in § § 69.202—69.206 as contracts are modified, renegotiated or extended. Prior imprudent activities are not deemed to be exonerated with the promulgation of this section.
The provisions of this § 69.201 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.205 (relating to purchasing procedures); and 52 Pa. Code § 69.206 (relating to inventory management).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.202 Organization and operation of utility staff involved in nuclear fuel procurement.
(a) A utility should maintain an appropriate staff to adequately fulfill its responsibility to procure nuclear fuel at the lowest reasonable cost. The utility should be prepared to solicit and handle competent bids and investigate these potential sources for ability to fulfill contracts.
(b) A utility should have a detailed organization chart of the personnel involved in nuclear fuel procurement, with a key official designated to act as liaison with the Commission. A utility should maintain written job descriptions for personnel, as well as formal policies and procedures pertaining to the nuclear fuel procurement process. These should be retained by the utility in the event of Pennsylvania Public Utility Commission review.
(c) Utility personnel in a position to influence nuclear fuel procurement decisions should be prohibited from having either direct or indirect ties or affiliations with the utility’s nuclear fuel suppliers. A utility should take appropriate steps to ensure that personnel making procurement decisions have no conflicting interests or affiliations, or the appearance of conflict.
The provisions of this § 69.202 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.201 (relating to general); 52 Pa. Code § 69.205 (relating to purchasing procedures); and 52 Pa. Code § 69.206 (relating to inventory management).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.203 Nuclear fuel and power planning.
(a) A utility’s nuclear fuel strategy should keep abreast of technological improvements which would provide reliable fuel at the lowest reasonable cost with maximum flexibility.
(b) A utility should maintain a written nuclear fuel procurement and management plan. The plan should include consideration of overall procurement goals as well as the procurement and overall fuel management strategies established to achieve those goals. Specific strategic elements to be considered include supply reliability, inventory management, competitive bidding, the use of multiple suppliers, contracting practices, and the like.
The provisions of this § 69.203 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.201 (relating to general); 52 Pa. Code § 69.205 (relating to purchasing procedures); and 52 Pa. Code § 69.206 (relating to inventory management).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.204 Financing of nuclear fuel acquisitions.
(a) A utility should have a written policy setting forth economic and other conditions under which different methods of financing—leasing or owning—nuclear fuel should be utilized.
(b) A utility should perform an economic analysis in conjunction with nuclear fuel financings. The analysis should include a study of financing costs for owning versus leasing nuclear fuel and the impact on the utility’s overall revenue requirements under both alternatives. The method of rate recovery of nuclear fuel costs should not be a primary factor when deciding to own or lease nuclear fuel.
(c) A utility should document the economic analyses required to comply with this section. These documents should be retained by the utility in accordance with the Federal Energy Regulatory Commission’s Record Retention Table and made available in the event of Pennsylvania Public Utility Commission’s review.
The provisions of this § 69.204 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.201 (relating to general); 52 Pa. Code § 69.205 (relating to purchasing procedures); and 52 Pa. Code § 69.206 (relating to inventory management).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.205 Purchasing procedures.
(a) General guidelines. The Pennsylvania Public Utility Commission (Commission) recommends that a utility adopt the following general nuclear fuel purchasing guidelines:
(1) A balance of long-term, short-term and spot purchases should be utilized if possible and economic to maximize the utility’s flexibility in its nuclear fuel procurement practices. This balance can provide a reasonably stable supply while allowing the utility the option of taking advantage of changing market conditions.
(2) Suppliers should be selected on the basis of the best evaluated bid, as collectively determined from reliability, quality of service and pricing considerations. A utility should use its own staff in seeking and qualifying adequate nuclear fuel suppliers and should minimize the use of brokers, except if the use of brokers is consistent with the basic nuclear fuel procurement policy of obtaining nuclear fuel at the lowest reasonable price.
(3) A utility should maintain documentation of reasons for selection of any bid on file in accordance with the Federal Energy Regulatory Commission’s Record Retention Table. Commission staff may inspect this documentation as deemed necessary.
(4) A utility should actively seek and maintain a reasonable number of acceptable suppliers from which to solicit bids. This supplier list should be updated frequently.
(5) Utilities should consider sealed bids on large orders.
(6) A utility’s verbal agreements, including telephone conversations relating to nuclear fuel price and quantity, should be formalized by letter or log confirming details of the agreement.
(b) Long term contracts.
(1) Price escalation clauses included in long-term contracts should be based on measurable supplier costs or on regularly published relevant indices.
(2) A utility should seek contracts with broad ranges in minimum/maximum quantity deliverables to be exercised at the utility’s discretion. Contract quantities could increase or decrease at the utility’s discretion based upon market conditions and contractor’s performance. The contracts could also provide a means of control over suppliers whose pricing has become noncompetitive due to changes in market conditions.
(3) Right to audit clauses should be included in long-term contracts that provide for price escalation based on cost. The right to audit clause gives the utility the authority to audit specific records of its suppliers. It is recommended that the utility enforce the right to audit provisions either through the use of qualified internal audit staff or outside independent auditors on a regular basis. Contracts should contain resumption clauses to provide for continuation, at the utility’s discretion, of contracts that are temporarily curtailed. The Commission may review the audit reports of long-term contracts of nuclear fuel and conduct reexaminations of the utility as considered necessary.
(4) It is recommended that contracts, escalation clauses or terms of purchase of nuclear fuel agreements be reviewed by the legal counsel for the utility. Contracts should include specific reference to special arrangements, such as financial loan agreements, which may affect the operation of the utility or the price of nuclear fuel.
(5) A utility should regularly compare the price of nuclear fuel (U3O8) from its sources to that available for similar sources in the competitive market place. A utility may be called upon to explain why its U3O8 prices differ significantly from those published for similar competitive markets. The Commission may take appropriate action upon discovery of significant differences for an extended period. Decisions on the reasonableness of a utility’s deviation from the respective published prices will be made by the Commission on a case-by-case basis.
(6) This section, § § 69.201—69.204, 69.206 and 69.207 also apply to wholly-owned nuclear fuel sources.
(c) Dedicated nuclear fuel supplies. Dedicated nuclear fuel supplies are those in which a utility, through ownership, contract quantity requirements or guarantee of debt, has substantial influence and interest in the contracted nuclear fuel supply. The following guidelines are recommended for dedicated nuclear fuel supplies:
(1) To insure efficient management over a dedicated nuclear fuel supply, a utility should not provide, assume or guarantee an excessive amount of the project financing. The owner, operator or developer of the mine, or nuclear fuel supplier, should maintain substantial equity in the project or guarantee a substantial portion of the project financing.
(2) The use of cost-plus contracts is strongly discouraged unless justification can be provided that the contract is essential for assurance of supply.
(3) Contracts for dedicated nuclear fuel supplies should contain additional provisions so that if nuclear fuel prices exceed the range of prices from other available suppliers for nuclear fuel with similar characteristics for an extended period of time, the nuclear fuel price charged by the dedicated supplier would be adjusted to fall within the price range of the similar nuclear fuel.
The provisions of this § 69.205 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.201 (relating to general); and 52 Pa. Code § 69.206 (relating to inventory management).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.206 Inventory management.
(a) A utility should have a written policy stating its nuclear fuel inventory management objectives. The policy should include inventory target levels, ordering points or cycles, and the like.
(b) The term ‘‘inventory,’’ for the purpose of this section, § § 609.201—69.205 and 69.207, includes uranium in the form of U3O8 or natural and enriched UF6 in process or in storage and all other uranium which is already processed but not in the reactor—for example, fabricated fuel assemblies—and held in storage.
(c) The inventory management objectives should be reevaluated annually for conformance with supply and demand conditions as they exist in the nuclear fuel marketplace. The written inventory management objectives should be revised if it is determined through the reevaluation process, that the objectives are not synchronized with current market conditions.
(d) A utility has an obligation to its ratepayers to maintain its nuclear fuel inventory at a level which achieves optimum fuel cost savings without endangering normal plant operations. When determining the proper inventory level, the use of innovative core design solutions to accommodate the unexpected loss of nuclear fuel assemblies should be considered.
(e) A utility will be expected to justify, for recovery purposes, the costs associated with carrying excess levels of inventory. Excess inventory levels are defined as those levels which exceed the quantity necessary to satisfy, per licensed nuclear generating unit, one standard reload in process, that is, conversion, enrichment or fabrication. Completely fabricated fuel assemblies should be held in storage no longer than 4 months before they are loaded into the reactor. The Pennsylvania Public Utility Commission (Commission) recognizes that nuclear fuel inventories in excess of the levels in this subsection are occasionally necessary and proper. The utility shall be able to cost justify the excess amounts. A demonstrable, extraordinary operational requirement or nuclear fuel market situation may provide an instance where excess inventory levels could be deemed proper.
(f) Pertinent data, related to this subsection, should be retained by the utility in accordance with the Federal Energy Regulatory Commission’s Record Retention Table and made available for Commission review upon request.
The provisions of this § 69.206 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.201 (relating to general); and 52 Pa. Code § 69.205 (relating to purchasing procedures).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.207 Nuclear fuel procurement process.
(a) The nuclear fuel procurement process consists of the following major procurement and processing steps prior to delivery of fuel bundles to the nuclear plant, where the bundles are receipt-inspected prior to insertion in the reactor.
(1) Mining/milling. Purchase of uranium concentrates (U3O8) from a supplier who processes the material as follows: After mining, the uranium ore is shipped to a milling facility which extracts uranium concentrates by a chemical leaching process. After drying and further processing, the substance consists of about 90% uranium oxide compound (U3O8), which is referred to as ‘‘yellow cake’’. In the nuclear fuel procurement process, the most options exist for the acquisition of ‘‘yellow cake’’ where many suppliers exist. A utility generally procures U3O8 (‘‘yellow cake’’) delivered to a preselected convertor.
(2) Conversion. The next step in the procurement process is the purchase of conversion services. Conversion is a chemical process where the U3O8 is further refined, impurities are extracted and in a series of additional steps the U3O8 is converted to natural uranium hexafluoride (UF6). Conversion services represent a very small component of the total cost of nuclear fuel.
(3) Enrichment.
(i) Natural UF6 is shipped to an enrichment facility where it is subjected to a process to increase the percentage of U-235 above that of the natural uranium. Enrichment is a complex, costly and energy intensive procedure.
(ii) Domestic facilities owned and operated by the United States Government enrich a major portion of uranium used by the worldwide commercial reactor industry. Enrichment is performed under contracts that are negotiated many years in advance of the actual work and are now typically based upon the actual reactor requirements at time of order placement.
(iii) New enrichment technologies are currently being developed. These technologies, if successfully demonstrated and licensed, may offer lower cost alternatives to that currently provided by the United States Government.
(4) Fabrication. Fabrication services usually include shipment of the enriched UF6 to the fabricator, where it is converted to solid (UO2) fuel pellets. The fuel pellets are loaded into hollow fuel rods made of a special zirconium alloy which are then assembled into fuel bundles for use in the reactor. Fuel assembly fabrication services have historically been provided by the manufacturer of the nuclear steam supply system. In most cases, however, other vendors are capable of performing fuel assembly services.
(5) Receipt/inspection. At the reactor site the fabricated fuel bundles shall be loaded, moved to the fuel floor and receipt/inspected prior to loading in the reactor in a predetermined sequence. The fuel is normally delivered 2 to 3 months before the reactor is shut down.
(b) The nuclear fuel procurement process for reload quantities of fuel bundles, excluding contract negotiations, from purchase of U3O8 through loading in the reactor normally requires between 15 months and 24 months to complete.
The provisions of this § 69.207 adopted March 29, 1991, effective May 30, 1991, 21 Pa.B. 1331.
This section cited in 52 Pa. Code § 69.201 (relating to general); 52 Pa. Code § 69.205 (relating to purchasing procedures); and 52 Pa. Code § 69.206 (relating to inventory management).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.221 Application of accessibility and usability standards to pay telephone service providers—statement of policy.
(a) Background. The Pennsylvania General Assembly has enacted the act of December 20, 1988 (P. L. 1296, No. 166), known as the Universal Accessibility Act (UAA) (71 P. S. § § 1455.1—1455.3b), to provide for the accessibility and usability of public buildings to persons with disabilities. The UAA is being implemented by the Department of Labor and Industry through regulations promulgated at 34 Pa. Code Chapter 60 (relating to Universal Accessibility Standards). The United States Congress enacted the Americans With Disabilities Act of 1990 (ADA) (42 U.S.C. § § 12101—12213) to similarly provide comprehensive civil rights protections to persons with disabilities. Protections involved in the Federal legislation include accessibility and usability of public accommodations. The Federal Department of Justice has promulgated regulations at 28 CFR Part 36 (relating to non-discrimination on the basis of disability by public accommodations and in commercial facilities), implementing the ADA and has adopted standards referred to as the Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG). Both statutes and the underlying regulations are consistent with ADAAG and are applicable to the usability and accessibility of pay telephones in public buildings or accommodations; however, the compliance obligation is placed on the owner of the building or accommodation. While compliance with accessibility standards is under the primary control of the building owner or lessee, compliance with usability standards is clearly under the primary control of the pay telephone service provider. The Commission regulates the adequacy of service of pay telephone service providers operating in this Commonwealth under 66 Pa.C.S. § 1501 or Chapter 29 (relating to character of service and facilities; and telephone and telegraph wires). Clearly, the Commission has authority to exercise its jurisdiction over Pennsylvania pay telephone compliance with usability standards as required by the ADA as a component of adequacy of service. In this regard, the Commission finds it is in the public interest that ADAAG usability standards apply to pay telephones when compliance is required by the ADA.
(b) Statement of policy. The provision of legally adequate pay telephone service in this Commonwealth should include compliance with ADAAG usability standards in the following instances where compliance with usability standards is required by the ADA:
(1) Pay telephone service in new or altered public accommodations.
(2) Pay telephone service in new or existing facilities used by public entities.
(3) Text telephone service in stadiums, arenas, convention centers and covered shopping malls.
(4) Text telephone service adjacent to hospital emergency rooms, hospital recovery rooms or hospital waiting rooms.
(c) Compliance. The Commission intends to exercise its jurisdiction by promoting compliance with ADA requirements applicable to pay telephones and views pay telephone service providers legally responsible for usability violations.
The provisions of this § 69.221 adopted November 18, 1994, effective November 19, 1994, 24 Pa.B. 5755.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.251 Plain language—statement of policy.
(a) General. The Commission recommends that public utilities adopt the following guidelines for written material provided to residential customers. Each utility shall designate appropriately trained staff persons to serve as liaisons to the Bureau of Consumer Services regarding this policy statement. Companies shall conduct field tests, use consumer advisory panels or focus groups to prepare plain language materials for Commission review. The Bureau of Consumer Services will selectively review the materials prior to final company publication and mailing to residential customers.
(1) In preparing information, the utility shall include use of the following:
(i) Short sentences.
(ii) Active voice rather than passive voice.
(iii) Personal pronouns.
(iv) Definition of necessary terms that are technical and not commonly understood.
(v) Clear section headings which accurately describe the information that follows.
(vi) Separate listing of each condition of any agreement, offer or requirement.
(vii) Commonly understood words.
(2) The utility shall avoid the following practices:
(i) Technical, legal or utility terms not commonly understood.
(ii) Double negatives.
(iii) Abbreviations not commonly used.
(iv) Foreign words, except for information aimed at non-English speaking customers, or words with obsolete meanings.
(b) Visual guidelines. In addition to plain language, the Commission recommends that the utilities adopt the following visual guidelines for written materials provided to residential customers:
(1) Clear section headings which use bold face, italics, underlining or color to set them apart from the rest of the text.
(2) Ink that sharply contrasts with the paper.
(3) Spacing and margins which make materials easy to read.
(4) The use of both upper and lower case letters.
(5) The use of large typeface, at least 8 to 10 point type.
(6) Line length shall contain between 50 and 70 characters.
(c) Billing format. The billing formats shall comply with § § 56.15 and 64.14 (relating to billing information; and billing information). The Commission recommends that the company’s phone number for questions or complaints be clearly located on the bill. Plain language shall be used in the billing format as follows:
(1) Gas and electric utilities.
(i) A display of the unit price per kilowatt hour (KWH), therm, hundred cubic feet (CCF) or thousand cubic feet (MCF) in calculating charges, in addition to the total usage and charges due.
(ii) A bar graph displaying comparative energy use indicating whether the amount shown is actual or estimated.
(iii) Information regarding the average temperature during the periods under comparison.
(iv) Technical terms regularly displayed on the bill clearly defined, listed alphabetically and prominently located on the bill.
(2) Water utilities.
(i) Calculation and display of the unit price per gallon in addition to the total usage and charges due. This is not applicable to flat rate billing.
(ii) A bar graph displaying comparative water use for the preceding five quarters or for 13 months, depending on the billing period and whether the amount shown is actual or estimated. This is not applicable to flat rate billing.
(iii) Technical terms regularly displayed on the bill clearly defined, listed alphabetically and prominently located on the bill.
(3) Telephone utilities.
(i) Clearly separated charges for Basic, Nonbasic and Toll Services.
(ii) Discount time periods for local, measured telephone service clearly defined and prominently located on the bill.
(iii) Information directing the customer to the local exchange carrier’s discount toll rates within its directory.
(iv) Clear, concise billing free of redundant information with a limited number of pages.
(v) Billing for each interexchange carrier displayed on a separate page with the exception of alternative operator service providers. Billing for alternative operator service providers may be grouped on one or more pages. The alternative operator service should clearly be identified by company name.
(vi) Technical terms regularly displayed on the bill clearly defined, alphabetically listed and prominently located on the bill.
The provisions of this § 69.251 adopted May 29, 1992, effective June 29, 1992, 22 Pa.B. 2852.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.261 General.
CAPs are designed as alternatives to traditional collection methods for low-income customers. Customers participating in CAPs agree to make monthly payments based on household size and gross household income. CAP customers make regular monthly payments, which may be for an amount that is less than the current tariff bill for utility service including pre-CAP arrearages, in exchange for continued provision of the service. Class A electric utilities and natural gas utilities with gross intrastate annual operating revenue in excess of $40 million should adopt the guidelines in § § 69.263—69.265 (relating to CAP development; scope of CAPs; and CAP design elements) implementing residential CAPs.
The provisions of this § 69.261 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended May 7, 1999, effective May 8, 1999, 29 Pa.B. 2495; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial pages (255452) to (255453).
This section cited in 52 Pa. Code § 69.262 (relating to definitions); 52 Pa. Code § 69.263 (relating to CAP development); and 52 Pa. Code § 69.267 (relating to alternative program designs).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.262 Definitions.
The following words and terms, when used in § § 69.261, 69.263—69.267 and this section, have the following meanings, unless the context clearly indicates otherwise: Alternative program designs—Program designs which include traditional utility collection methods, alternative collection approaches that do not include a CAP and CAP designs which substantially deviate from this chapter. CAP—Customer Assistance Program. CBO—Community-based organization. EDC—Electric distribution company—An electric distribution company as defined in 66 Pa.C.S. § 2803 (relating to definitions). FPIG—Federal Poverty Income Guidelines—The income levels published annually in the Federal Register by the United States Department of Health and Human Services. Household income—The combined gross income of all adults in a residential household who benefit from the public utility service, as defined in 66 Pa.C.S. § 1403 (relating to definitions). LIHEAP—Low Income Home Energy Assistance Program—A Federally funded program, administered in this Commonwealth by the Department of Human Services, which provides financial assistance grants to low-income households for home energy bills. Low-income customers—A residential utility customer whose annual gross household income is at or below 150% of the FPIG. Low-income payment-troubled customers—Low-income customers who have arrears or failed to maintain one or more payment arrangements. NGDC—Natural gas distribution company—A natural gas distribution company as defined in 66 Pa.C.S. § 2202 (relating to definitions). USAC—Universal Service Advisory Committee—A group of interested stakeholders who meet at least semiannually, receive universal service program updates and provide feedback on proposed utility initiatives. USECP—Universal Service and Energy Conservation Plan—A plan that contains the utility’s universal service programs as approved by the Commission.
The provisions of this § 69.262 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended May 7, 1999, effective May 8, 1999, 29 Pa.B. 2495; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial page (255453).
This section cited in 52 Pa. Code § 69.263 (relating to CAP development); and 52 Pa. Code § 69.267 (relating to alternative program designs).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.263 CAP development.
(a) A utility should develop and strive to improve its CAP consistent with the guidelines provided in § § 69.261, 69.262, 69.264—69.267 and this section.
(b) The Bureau of Consumer Services will work with the utility in CAP development. USACs and other interested stakeholders may assist the utility.
(c) Before implementing, revising or expanding a CAP, a utility should file its CAP proposal with the Commission and serve copies on the Bureau of Consumer Services and on stakeholders from the utility’s most recent USECP proceeding. This will allow for staff review, comments, discovery and revisions prior to Commission approval of design elements. This review is not for ratemaking purposes, and the rate consequences of any CAP will be addressed within the context of subsequent Commission rate proceedings as described in § 69.266 (relating to cost recovery).
The provisions of this § 69.263 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended May 7, 1999, effective May 8, 1999, 29 Pa.B. 2495; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial pages (255453) to (255454).
This section cited in 52 Pa. Code § 69.261 (relating to general); 52 Pa. Code § 69.262 (relating to definitions); and 52 Pa. Code § 69.267 (relating to alternative program designs).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.264 Scope of CAPs.
CAPs should be targeted to low-income customers. The participation limit for CAP should reflect a needs assessment, consideration of the estimated number of low-income households in the utility’s service territory, the number of participants currently enrolled in the CAP, participation rates for assistance programs and the resources available to meet the needs of the targeted population. A utility may use payment-troubled status to prioritize CAP enrollments and to control CAP costs if necessary and only if approved to do so by the Commission.
The provisions of this § 69.264 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended May 7, 1999, effective May 8, 1999, 29 Pa.B. 2495; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial page (255454).
This section cited in 52 Pa. Code § 69.261 (relating to general); 52 Pa. Code § 69.262 (relating to definitions); 52 Pa. Code § 69.263 (relating to CAP development); and 52 Pa. Code § 69.267 (relating to alternative program designs).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.265 CAP design elements.
The following design elements should be included in a CAP:
(1) Program funding. Program funding should be derived from the following sources:
(i) Payments from CAP participants.
(ii) Operations and maintenance expense reductions.
(iii) Universal service funding mechanism for EDCs and NGDCs.
(iv) Other sources as may be approved by the Commission.
(2) Payment plan. Generally, CAP payments for jurisdictional home energy should not exceed the percentages of CAP participants’ annual income specified in the schedule in subsection (i). Payment plans should be based on one or a combination of the following:
(i) Percentage of income plan (PIP). Total payment for total electric and natural gas home energy under a percentage of income plan is determined based upon a scheduled percentage of the participant’s annual gross income. The participating household’s gross income and size place the household at a particular poverty level based on the FPIG.
(A) Generally, maximum payments for electric nonheating service should not exceed the following maximums:
(I) Household income between 0—50% of FPIG at 2% of income.
(II) Household income between 51—100% of FPIG at 4% of income.
(III) Household income between 101—150% of FPIG at 4% of income.
(B) Generally, maximum payments for natural gas heating should not exceed the following maximums:
(I) Household income between 0—50% of FPIG at 4% of income.
(II) Household income between 51—100% of FPIG at 6% of income.
(III) Household income between 101—150% of FPIG at 6% of income.
(C) Generally, maximum payments for electric heating or for natural gas heating and electric nonheating combined should not exceed the following maximums:
(I) Household income between 0—50% of FPIG at 6% of income.
(II) Household income between 51—100% of FPIG at 10% of income.
(III) Household income between 101—150% of FPIG at 10% of income.
(ii) Percentage of bill plan. The participant’s household payment is calculated as a percentage of income payment and converted to a percentage of the annual bill. When a utility determines subsequent CAP payment amounts, a participant will continue to pay the same percentage of the total bill even if annual usage has changed.
(iii) Rate discount. The participant’s energy usage is billed at a reduced rate.
(iv) Minimum monthly payment. The participant’s payment contribution is calculated by taking the participant’s estimated monthly budget billing amount and subtracting the maximum, monthly CAP credit (previously called billing deficiency).
(v) Annualized, average payment. The participant’s payment contribution is calculated by determining the total amount the participant paid over the last 12 months and dividing by 12 months to determine a monthly budget.
(vi) An alternative payment formula. An alternative payment formula must be reviewed by the Bureau of Consumer Services and approved by the Commission.
(3) Control features. The utility should include the following control features to limit program costs:
(i) Minimum payment terms. Minimum payments should be set in utility-specific USECP proceedings. A utility may propose alternatives to a flat minimum payment for each account type.
(ii) Nonbasic services. A CAP participant may not subscribe to nonbasic services that would cause an increase in monthly billing and would not contribute to bill reduction. Nonbasic services that help to reduce bills may be allowable. CAP credits should not be used to pay for nonbasic services.
(iii) Consumption limits. Limits on consumption should be set at a percentage of a participant’s historical average usage. A level of 110% is recommended. Adjustments in consumption should be made for extreme weather conditions through the use of weather normalization techniques.
(iv) High usage treatment. Utilities should target for special treatment those participants who historically use high amounts of energy.
(v) Maximum CAP credits. These will be established in individual utility USECP proceedings, if deemed appropriate. If applied, CAP credit limits should consist of a tiered structure based on the household’s FPIG level such that lower income households receive higher CAP credit limits.
(vi) Exemptions. A utility may exempt a household from maximum CAP credit or consumption limits if one or more of the following conditions exist:
(A) The household experienced the addition of a household member.
(B) A member of the household experienced a serious illness.
(C) Energy consumption was beyond the household’s ability to control.
(D) The household is located in housing that is or has been condemned or has housing code violations that negatively affect energy consumption.
(E) Energy consumption estimates have been based on consumption of a previous occupant.
(4) Eligibility criteria. The CAP applicant should meet the following criteria for eligibility:
(i) Status as a utility ratepayer or new applicant for service is verified.
(ii) Household income is verified at or below 150% of the FPIG.
(5) Payment-Troubled Criterion. If appropriate, a utility may prioritize CAP enrollments or control CAP costs using a payment-troubled criterion. When determining if a CAP applicant is payment-troubled, a utility should apply one of the following criteria:
(i) A household that has a pre-program arrearage. The utility may define the amount of the pre-program arrearage.
(ii) A household that has received a termination notice or has failed to maintain a payment arrangement.
(6) Late Payment Charges. CAP customers should be exempt from late payment charges.
(7) Appeal process. The utility should establish the following appeal process for program denial:
(i) If the CAP applicant is not satisfied with the utility’s initial eligibility determination, the utility should use utility company dispute procedures in § § 56.151 and 56.152 (relating to general rule; and contents of the public utility company report).
(ii) The CAP applicant may appeal the denial of eligibility to the Bureau of Consumer Services in accordance with § § 56.161—56.165 (relating to informal complaint procedures).
(8) Administration. If feasible, the utility should include nonprofit CBOs in the operation of the CAP. The provisions of § 69.265(8) apply to CAP services whether they are provided by the utility or by a third-party on behalf of the utility. The utility should incorporate the following components into the CAP administration:
(i) Outreach. A utility should develop and incorporate a Consumer Education and Outreach Plan as part of its USECP. Education and outreach may be conducted by nonprofit CBOs and should be targeted to low-income customers. The utility should make automatic referrals to CAP when a low-income customer calls to make payment arrangements.
(ii) Intake and verification. The utility should accept applications for CAP through mail, telephone, electronically or in-person. The utility should also offer online platforms that allow customers to submit CAP applications and documentation electronically. Intake and verification may be conducted by nonprofit CBOs on behalf of the utilities. Intake should include verification of the following:
(A) Identification of the CAP applicant and household members. The utility may request, but not require, Social Security numbers (SSNs) to verify identity. Household members should be permitted to provide alternative identification in lieu of SSNs. The utility should clearly explain the identification options on CAP applications and other communications.
(B) The annual household income.
(I) The utility should accept income documentation of at least the last 30 days or 12 months, whichever is more beneficial to the household. CAP applications and recertification letters should identify acceptable income timeframes and explain how each may benefit the customer.
(II) A household reporting zero income should complete the standardized zero-income form and provide additional verification, if necessary.
(C) The household size.
(D) The ratepayer status.
(E) The class of service—heating or nonheating.
(iii) Calculation of payment. Calculation of the monthly CAP payment should be the responsibility of the utility. The utility may develop a payment chart so that the assisting CBOs may determine payment amounts during the intake interview.
(iv) Explanation of CAP. A complete and thorough explanation of the CAP components should be provided to participants.
(v) Application for LIHEAP grants. The utility should inform a CAP participant of the participant’s responsibility to apply for LIHEAP grants annually, as well as other energy assistance programs, if eligible.
(vi) Consumer education, outreach and referral.
(A) Consumer education and outreach plans should include information on benefits and responsibilities of CAP participation and the importance of energy conservation.
(B) Consumer education and outreach plans should be developed with input from USACs and reflect focused outreach and education efforts, specific to the demographics of the individual service territory, spanning the duration of the universal service plan period. The utility should include the following provisions in its plan:
(I) Specific efforts to educate and enroll eligible and interested customers at or below 50% of FPIG.
(II) Resources, translation services, and translated materials for those customers who are of Limited English Proficiency.
(C) Customer education should include referrals to other appropriate support services.
(vii) Account monitoring. Account monitoring should include both payment and energy consumption monitoring. A CAP participant’s bills should be evaluated at least quarterly to determine whether the CAP credit amount and billing method is appropriate.
(viii) Recertification.
(A) A utility should recertify a participant’s eligibility for CAP benefits within the following time frames:
(I) A household reporting no income should recertify at least every 6 months.
(II) A household with income that participates in LIHEAP annually should recertify at least once every 3 years.
(III) A household whose primary source of income is Social Security, Supplemental Security Income, or pensions should recertify at least once every 3 years.
(IV) All other CAP households should recertify at least once every 2 years.
(B) A utility should identify and implement more effective ways of communicating its recertification practices and procedures to CAP participants and improve its methods of collecting appropriate income information from customers in order to minimize disruption in CAP participation.
(ix) Pre-program arrearage forgiveness. Pre-program arrearage forgiveness should occur over a 1- to 3-year period contingent upon receipt of regular monthly payments by the CAP participant.
(A) A CAP participant should receive pre-program arrearage forgiveness for each on-time and in-full monthly CAP payment regardless of in-CAP arrears.
(B) A CAP participant should receive retroactive pre-program arrearage forgiveness for any monthly payment missed once the household pays in full its CAP balance/in-program arrears/debt.
(x) Routine management program progress reports. Progress reports that may be used to monitor CAP administration should be prepared at regular intervals. These reports should include basic information related to the number of participants, payments and account status.
(9) Default provisions. The failure of a participant to comply with one of the following should result in dismissal from CAP participation:
(i) Failure to abide by established consumption limits.
(ii) Failure to allow access or to provide customer meter readings in 4 consecutive months.
(iii) Failure to report changes in income or household size.
(iv) Failure to accept budget counseling, weatherization/usage reduction or consumer education services.
(v) Failure to recertify eligibility.
(10) Transfer of service. A CAP household should be able to retain program enrollment status when transferring service within the utility’s, or an affiliate’s, service territory.
(11) Collection Activity. A utility should initiate collection activity for CAP accounts after no more than two payments in arrears. A customer should not be removed or defaulted from CAP as a precursor to termination for non-payment.
(12) Reinstatement policy. A customer may be reinstated into CAP at the utility’s discretion.
(13) Evaluation. The utility should thoroughly and objectively evaluate its CAP in accordance with the following unless otherwise modified in § 54.76 (relating to evaluation reporting requirements) for EDCs or § 62.6 (relating to evaluation reporting requirements) for NGDCs.
(i) Content. The evaluation should include both process and impact components. The process evaluation should focus on whether CAP implementation conforms to the program design and should assess the degree to which the program operates efficiently. The impact evaluation should focus on the degree to which the program achieves the continuation of utility service to CAP participants at reasonable cost levels. At a minimum, the impact evaluation should include an analysis of the following:
(A) Customer payment behavior.
(B) Energy assistance participation.
(C) Energy consumption.
(D) Administrative costs.
(E) Program costs.
(ii) Time frame. Unless otherwise modified by § 54.76 or § 62.6, program impacts should be evaluated by an independent third-party at no more than 6-year intervals and submitted to the Commission. The impact evaluations should be filed and served at the utility’s then-current USECP docket and submitted to the Bureau of Consumer Services.
(iii) Evaluation plan approval. The utility should submit the impact evaluation plan to the Bureau of Consumer Services for review and approval.
(14) Industry-standardized forms. Utilities are encouraged to develop and use standardized CAP forms and CAP procedures.
The provisions of this § 69.265 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended May 7, 1999, effective May 8, 1999, 29 Pa.B. 2495; amended May 7, 2010, effective May 8, 2010, 40 Pa.B. 2443; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial pages (255454) to (255458) and (349287) to (349288).
This section cited in 52 Pa. Code § 69.261 (relating to general); 52 Pa. Code § 69.262 (relating to definitions); 52 Pa. Code § 69.263 (relating to CAP development); and 52 Pa. Code § 69.267 (relating to alternative program designs).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.266 Cost recovery.
(a) In evaluating utility CAPs for ratemaking purposes, the Commission will consider both revenue and expense impacts. Revenue impact considerations include a comparison between the amount of revenue collected from CAP participants prior to and during their enrollment in the CAP. CAP expense impacts include both the expenses associated with operating the CAPs as well as the potential decrease of customary utility operating expenses. Operating expenses include the return requirement on cash working capital for carrying arrearages, the cost of credit and collection activities for dealing with low income negative ability to pay customers and uncollectible accounts expense for writing off bad debt for these customers. When making CAP-related expense adjustments and projections, utilities should indicate whether a customer’s participation in a CAP produced an immediate reduction in customary utility expenses and a reduction in future customary expenses pertaining to that account.
(b) In rate cases, parties may raise the issue of recovery of CAP costs, whether specifically or as part of universal service program costs in general, from all ratepayer classes. No rate class should be considered routinely exempt from CAP and other universal service obligations.
The provisions of this § 69.266 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial page (349288).
This section cited in 52 Pa. Code § 69.262 (relating to definitions); 52 Pa. Code § 69.263 (relating to CAP development); and 52 Pa. Code § 69.267 (relating to alternative program designs).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.267 Alternative program designs.
Alternative program designs that differ from § § 69.261—69.266 and this section may reduce uncollectible balances and may provide low-income customers with needed assistance. These programs may be acceptable if the utility can provide support for design deviations. Before implementing an alternative program design, the utility should submit its proposal including an evaluation plan as described in § 69.265(13) (relating to CAP design elements) to the Bureau of Consumer Services for review. Thereafter, if the utility determines to proceed with proposing the alternative program design, it will need to file and serve the proposed alternative program design as it would a proposed USECP that conforms to this policy statement. The proposed alternative program design should not be implemented until it has received Commission approval.
The provisions of this § 69.267 adopted July 24, 1992, effective July 25, 1992, 22 Pa.B. 3914; amended May 7, 1999, effective May 8, 1999, 29 Pa.B. 2495; amended March 20, 2020, effective March 21, 2020, 50 Pa.B. 1652. Immediately preceding text appears at serial pages (349288) and (255461).
This section cited in 52 Pa. Code § 69.262 (relating to definitions); and 52 Pa. Code § 69.263 (relating to CAP development).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.291 General.
Electric utilities are subject to stringent emission reduction requirements under section 401 of the Clean Air Act Amendments of 1990 (CAAA) (42 U.S.C.A. § 7651). An innovative market-based system for the trading of allowances for the emission of sulfur dioxide was established under the CAAA in order to substantially reduce the cost of compliance with the Clean Air Act (See 42 U.S.C.A. § 7651b(b)). Because of the importance of allowance trading to the cost-effective implementation of the CAAA, the Commission promulgated the guidelines in this section and § § 69.292—69.294 to help facilitate a liquid allowance trading market.
The provisions of this § 69.291 adopted February 26, 1993, effective February 27, 1993, 23 Pa.B. 972.
This section cited in 52 Pa. Code § 69.292 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.292 Definitions.
The following words and terms, when used in § 69.291, this section and § § 69.293 and 69.294, have the following meanings, unless the context clearly indicates otherwise: Allowance—An authorization, allocated to an affected utility by the Administrator of the United States Environmental Protection Agency or the Administrator’s authorized representative to emit up to 1 ton of sulfur dioxide during a specified calendar year. Allowance futures—The negotiation of agreements among parties for the sale and purchase of allowances sometime in the future. Allowance options—A contract that conveys the right but not the obligation, to buy or sell allowances at a certain price for a limited time. Only the seller of the option is obligated to perform. Allowance pool—An agreement by two or more utilities whereby the allocation of allowances is divided among the pool members. Banked allowances—Allowances held in reserve for future use. Below-the-line—Revenues and expenses that are not associated with utility operations and which are not used to establish rates. Clean Air Act Compliance Plans—With regard to the 1990 Clean Air Act Amendments, this term refers to actions which a utility plans, prepared incompliance with 66 Pa.C.S. § 530 (relating to Clean Air Act implementation plans), to reduce SO2 emissions.
The provisions of this § 69.292 adopted February 26, 1993, effective February 27, 1993, 23 Pa.B. 972.
This section cited in 52 Pa. Code § 69.291 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.293 Regulatory oversight of emission allowance trading.
(a) Approval of compliance plans.
(1) The Commission will, upon request, review a jurisdictional utility’s proposed CAAA compliance plan under 66 Pa.C.S. § 530 (relating to Clean Air Act implementation plans), including planned sales or purchases of emission allowances. Absent special circumstances, the Commission will not approve specific transactions. A proposed plan shall detail the analysis used by the utility to derive its plan and the alternatives considered with enough specificity to permit reasonable evaluation. In addition, the Commission may require that companies supply specific information to support these plans.
(2) If a utility chooses not to have its compliance plan approved, the plan will only be reviewed in the context of a subsequent base rate or other proceeding in which that utility seeks recovery of its compliance costs.
(3) Public utilities are not required to obtain certificates of public convenience under 66 Pa.C.S. § 1102 (relating to enumeration of acts requiring certificate) to engage in emissions allowances transactions.
(4) Emissions allowances transactions, including the purchase and sale of emissions allowances, allowance options and future contracts, do not constitute the issuance or assumption of securities within the meaning of 66 Pa.C.S. § 1901(b) and (c) (relating to registration of securities to be issued or assumed) and therefore no registration of a securities certificate is required.
(b) Banking.
(1) A utility may bank some level of emission allowances to prepare for unforeseen future contingencies. The Commission will not set generic or benchmark reserve levels or benchmark prices. The determination of an appropriate number of banked allowances will depend upon a utility’s specific circumstances. The utility has the burden of proof concerning the appropriate number of banked allowances. The Commission will view a utility’s decision to bank allowances as a part of its overall compliance plan. Approval of a utility’s decision to bank allowances does not assure a prudency finding for purposes of ratemaking.
(2) The Commission finds it inappropriate to adopt a categorical approach to reserve allowances because individual utility circumstances will differ. Operating contingency allowance reserves, determined to be prudent, will be granted appropriate ratemaking treatment in base rate proceedings under § 69.294(b) (relating to ratemaking treatment of emission allowances).
(c) Pooling arrangements. The Commission recognizes that pooling arrangements which are consistent with section 405 of the Clean Air Act Amendments of 1990 (42 U.S.C.A. § 651d) may be appropriate. Pooling options will be reviewed by the Commission as part of the compliance plan review process.
(d) Sales of allowances to nonutility generators. The Commission will not require allowance preferences for the sale of emissions allowances to nonutility generating facilities, such as qualifying facilities, independent power producers and exempt wholesale generators.
The provisions of this § 69.293 adopted February 26, 1993, effective February 27, 1993, 23 Pa.B. 972.
This section cited in 52 Pa. Code § 69.291 (relating to general); and 52 Pa. Code § 69.292 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.294 Ratemaking treatment of emission allowances.
(a) Valuation. Emission allowances will be valued at original costs for ratemaking purposes. Allowances allocated by the Environment Protection Agency have a ‘‘zero’’ cost; while purchased allowances will be valued at their full purchase price inclusive of broker fees or at fair market value if purchased as part of equipment, fuel or power-purchase transactions.
(b) Ratemaking treatment. Emissions allowances will be treated as fuel inventory for ratemaking purposes and will be included in the rate base consistent with the Commission’s practice for operating inventory items. Allowances in inventory will earn a return in the same way as other rate base investments.
(c) Energy cost rate treatment. Emission allowances are energy-related power production expenses during the period in which they are used. Allowances may be recoverable through the utility’s energy cost rate (ECR). Gains or losses on emissions allowance transactions will be flowed through to customers in the ECR on an energy (KWH) basis unless the gains or losses are related to nonutility expenses or investments and are recorded below-the-line.
The provisions of this § 69.294 adopted February 26, 1993, effective February 27, 1993, 23 Pa.B. 972.
This section cited in 52 Pa. Code § 69.291 (relating to general); 52 Pa. Code § 69.292 (relating to definitions); and 52 Pa. Code § 69.293 (relating to regulatory oversight of emission allowance trading).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.321 Public input hearings in rate proceedings—statement of policy.
(a) Prior to the holding of an initial hearing in a rate case, information received by the Commission indicating public concern shall be directed to the Bureau of Consumer Services of the Commission. This information will be made available to the Office of Administrative Law Judge.
(b) If the Commission determines that substantial public interest in a rate proceeding has been shown, at least one public input hearing will be held in the utility’s service area.
(c) To allow an opportunity for the complete airing of concerns expressed or issues raised by consumers, public input sessions should be held as early as is practical during the course of the proceeding.
(d) At the start of each public input hearing, the presiding officer will provide a short, clear and specific statement describing the ratemaking process; the history of the particular case to date; future progress of the case; and an explanation of the following consumers’ options at the hearing:
(1) To testify formally in the case, upon oath or affirmation, and be subject to cross-examination.
(2) To make unsworn or unaffirmed statements at the hearing. These statements may be ‘‘off the record’’ and will not be subject to cross-examination, will not be transcribed by the court stenographer and will not be considered by the presiding officer in the recommended decision.
(3) Not to testify at the public input session but to provide information to the Commission’s Office of Trial Staff attorney assigned to the case, the Consumer Advocate and the Small Business Advocate for possible use by them in the hearings at their discretion.
(e) On-the-record testimony, to the extent it is relevant, material and competent, will be considered as evidence by the presiding officer and the Commission, subject to the customary rules of procedure and evidence.
(f) The presiding officer will make every attempt to give consumers full opportunity to provide input into the case.
(g) At least one representative from the Commission should be present at each public input session to deal with individual service problems a consumer may have with the utility.
(h) Utilities will be encouraged to provide representatives to answer questions consumers may have with respect to the pending case.
(i) If the actions of a participant in a public input session are determined by the presiding officer to be obstructive to the orderly conduct of the proceedings and adverse to the public interest, the presiding officer may adjourn or continue the public input session.
The provisions of this § 69.321 adopted April 4, 1997, effective April 5, 1997, 27 Pa.B. 1658.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.341 Recovery of transition costs.
(a) On April 8, 1992, the Federal Energy Regulatory Commission (FERC) issued its Final Rule in Pipeline Service Obligations and Revisions to Regulations Governing Self-Implementing Transportation Under Part 284 of the Commission’s Regulations (Docket No. RM91-11-000); and Regulation of Natural Gas Pipelines After Partial Wellhead Decontrol (Docket No. RM87-34-065).
(b) FERC recognized that to implement the requirements of the new rules, the pipelines would likely incur certain costs. The costs to effectuate the restructuring have been generically referred to as ‘‘transition’’ costs.
(1) FERC Account 191 transition costs are costs which shall be considered as ‘‘natural gas’’ costs within the meaning of that term as used in 66 Pa.C.S. § 1307(f) (relating to sliding scale of rates; adjustments). Consequently, FERC Account 191 transition costs may be presented as a claim in the purchased gas cost proceedings of local gas distribution companies (LDCs) subject to the statutory and regulatory procedures applicable to gas cost rate proceedings, generally. See National Fuel Gas Distribution Corporation v. Pennsylvania Public Utility Commission, 137 Pa. Commw. 621, 587 A.2d 54 (1991).
(2) The Commission concludes that transition costs in the nature of Gas Supply Realignment Costs (GSR costs) are not natural gas costs for purposes of recovery under 66 Pa.C.S. § 1307(f).
(3) The Commission concludes that transition costs in the nature of ‘‘stranded costs’’ are not natural gas costs subject to recovery under 66 Pa.C.S. § 1307(f).
(4) The Commission concludes that costs related to new facilities to implement FERC restructuring brought about by FERC Order 636 may be natural gas costs subject to recovery through gas cost rate procedures.
(5) The Commission will permit LDCs the opportunity for the full recovery of transition costs in the nature of GSR costs and stranded costs through the filing of a tariff or tariff supplement under 66 Pa.C.S. § 1307(a) or § 1308 (relating to voluntary changes in rates). Each filing will be evaluated on a case-by-case basis.
The provisions of this § 69.341 adopted November 12, 1993, effective November 13, 1993, 23 Pa.B. 5405.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.342 Gas procurement following restructuring of interstate pipeline services.
(a) The implementation of Federal Energy Regulatory Commission’s (FERC) Order No. 636 changes the environment in which the natural gas industry operates. While interstate pipeline sales gas has played an increasingly diminishing role within Pennsylvania local distribution company (LDC) supply portfolios in the years following FERC Order No. 436, Order No. 636 has now totally ‘‘unbundled’’ the services provided by interstate pipelines and they no longer provide a city-gate sales service to their customers. LDCs now secure gas supplies and arrange for the transportation and storage of the gas on one or more pipeline systems, as well as provide contingencies for back up supplies and services. This new environment increases the responsibility for supply, transportation and storage that LDCs manage, and each LDC’s supply portfolio shalladdress the reliability and flexibility required in replacing pipeline sales service. As a result, LDC fuel procurement strategies shall adapt to reflect this change.
(b) The Commission’s procurement review process will factor in this change. Each LDC should have as an objective the achievement of optimum burner tip rates favorable to retail customers consistent with customer demand requirements. In this regard, attention shall be given to gas supply costs associated with retail service.
(c) The Commission encourages LDCs to build effective and diverse supply portfolios in order to continue providing consumers with reliable service at reasonable prices under the Commission’s least cost fuel procurement criteria. These portfolios should include an optimum mix of suppliers, production areas, transporting pipelines, storage options and contract terms that may include varying pricing mechanisms, contract lengths and flexibility in quantities of gas taken. The Commission recognizes fixed prices, storage carrying costs, hedging costs and other pricing mechanisms not directly tied to the spot market,in addition to spot market pricing, as acceptable tools in developing a portfolio and a cost of gas, under the Commission’s least cost fuel procurement criteria. The Commission also recognizes a comparison of gas supplies priced, as delivered, to the LDC’s city gate as a useful tool in evaluating purchase options when an LDC considers renewing a contract for capacity on interstate gas pipeline or when it considers purchasing additional capacity. A comparison is consistent with a least cost fuel procurement as mandated by 66 Pa.C.S. § § 1307(f), 1317 and 1318 (relating to sliding scale of rates; adjustments; regulation of natural gas costs; and determination of just and reasonable natural gas rates). Furthermore, the Commission recognizes that each LDC’s service area and customer base is unique and, therefore, LDC supply portfolios will differ.
The provisions of this § 69.342 adopted October 27, 1995, effective October 28, 1995, 25 Pa.B. 4616.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.343 Capacity release on interstate gas pipelines.
(a) The Commission encourages its jurisdictional local distribution companies (LDCs) to efficiently utilize interstate pipeline capacity as a valuable resource for those retail and transportation customers desirous of the capacity. The Pennsylvania LDCs should strive to utilize interstate pipeline capacity as efficiently as possible and to assist in the development of a competitive natural gas market including efficient capacity release programs. With the advent of Federal Energy Regulatory Commission (FERC) Order No. 636, the Commission encourages the LDCs to do the following:
(1) Engage in integrated resource planning to acquire and maintain adequate levels of interstate pipeline capacity to serve the anticipated firm requirements desired by its retail and transportation customers.
(2) To the fullest extent legally permissible under FERC Rules and Regulations, maintain the LDC’s contractual rights to necessary interstate pipeline capacity while mitigating the costs associated with the capacity through marketable assignments, brokering arrangements, capacity sharing arrangements, prearranged deals and buy/sell transactions.
(3) Seek to improve capacity utilization on a year-round basis through higher load factor consumption consistent with integrated resource planning.
(4) Work with customers, including other energy suppliers such as electric utilities and independent power producers, through prearranged deals and capacity release to share interstate pipeline capacity consistent with integrated resource planning nondiscriminatory open access requirements and where these arrangements provide mutual benefits to Pennsylvania’s electric and gas retail and transportation customers.
(5) Provide nonrecallable interstate pipeline capacity releases for the periods of time—monthly or greater—when there is capacity in excess of the anticipated firm requirements desired by the LDC’s retail and transportation customers and available back to the LDC only under a State-approved curtailment program.
(6) Provide recallable interstate pipeline capacity releases when capacity may be available that exceeds the LDC’s short-term capacity necessary to meet the LDC’s anticipated firm requirements of its retail and transportation customers.
(b) To the extent practical after consideration of the items in subsection (a)(1)—(6), interested parties should assist the Commission in the development and operation of a fully functioning capacity release market for potential shippers.
(c) The Commission will recognize, in the context of capacity release programs, or other programs enumerated in subsection (a)(2), and developed under the guidelines in subsection (a), the principle of cost causation and ultimately assign the costs of capacity to those customers on whose behalf adequate levels of interstate pipeline capacity are either retained or obtained. The Commission will address the treatment of revenues received by the LDC from capacity release or other programs enumerated in subsection (a)(2) on a case-by-case basis.
The provisions of this § 69.343 adopted September 23, 1994, effective October 24, 1994, 24 Pa.B. 4784.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.351 Implementation of Statement of Financial Accounting Standards for Rule No. 106 (SFAS 106)—statement of policy.
(a) Effective with financial statements for fiscal years beginning after December 15, 1992, SFAS 106 provides the generally accepted accounting principles to be used by large companies in accounting for post-retirement benefits other than pensions (OPEBs). Up to now, companies which provided OPEBs for their employers used the pay-as-you-go (cash) basis. Each year a company would record on its books the actual cash paid for OPEBs.
(b) SFAS 106 operates on the premise that post-retirement benefits are a form of deferred compensation whereby an employer promises to exchange future benefits for current service. SFAS 106 requires companies to switch to the accrual method of accounting for OPEBs. As guidance to utilities wishing to implement SFAS 106, the Commission provides the following guidelines regarding the rulemaking treatment of OPEBs:
(1) Each jurisdictional utility which has satisfied the appropriate customer notice requirements, presented sufficient documentation to support its SFAS 106 cost estimates and presented sufficient cost containment measures, may seek formal Commission approval to record on its books a regulatory asset pursuant to SFAS 71 equal to the difference between its current rate recognition of OPEB costs and its accrued liability for the expenses under SFAS 106 subject to recovery in future rate proceedings to the extent that the costs are prudently incurred and demonstrated to be reasonable.
(2) The funding of a dedicated trust for the deferred amounts is not required at this time. A utility should maintain separate balance sheet accounts for both the accrued liability and the regulatory asset along with sufficient records to allow a detailed analysis of the accounts.
(3) The Commission intends to move jurisdictional utilities to SFAS 106 accrual accounting for ratemaking purposes within approximately 5 years and to allow the recovery in base rates of deferred amounts in approximately 20 years, to the extent that OPEB costs are prudently incurred and examined for reasonableness in a base rate proceeding prior to rate recognition.
(4) If the Commission, after examination, grants current rate recognition of OPEB costs exceeding the pay-as-you-go amount, the excess amount should be placed in a dedicated trust fund.
(5) The Commission will monitor the development of changes in OPEB costs as a result of both government policy changes and company cost containment efforts.
The provisions of this § 69.351 adopted June 18, 1993, effective June 19, 1993, 23 Pa.B. 2839.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.361 General.
PENNVEST loans were established to provide funding to water and wastewater companies for improvements of drinking water and wastewater treatment facilities in this Commonwealth. The Commission is required to establish expedited practices, procedures and policies to facilitate and accomplish repayment of the loan obligations. See section 14 of the PENNVEST Act (35 P. S. § 751.14). Companies with outstanding PENNVEST loans not currently reflected in rates and companies that will receive PENNVEST loans in the future are encouraged to establish under 66 Pa.C.S. § 1307(a) (relating to sliding scale of rates; adjustments) and subject to Commission approval, an automatic adjustment by means of a sliding scale of rates limited solely to the recovery of PENNVEST principal and interest obligations, instead of seeking recovery of these amounts under 66 Pa.C.S. § 1308 (relating to voluntary changes in rates) base rate filing.
The provisions of this § 69.361 adopted February 11, 1994, effective February 12, 1994, 24 Pa.B. 880; amended February 13, 1998, effective February 14, 1998, 28 Pa.B. 801. Immediately preceding text appears at serial page (202042).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.362 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: DEP—The Department of Environmental Protection of the Commonwealth. Obligations—Bonds, notes, loans or other evidences of indebtedness issued by PENNVEST. PENNVEST—The Pennsylvania Infrastructure Investment Authority. PENNVEST Act—The Pennsylvania Infrastructure Investment Authority Act (35 P. S. § § 751.1—751.20).
The provisions of this § 69.362 adopted February 11, 1994, effective February 12, 1994, 24 Pa.B. 880; amended February 13, 1998, effective February 14, 1998, 28 Pa.B. 801. Immediately preceding text appears at serial page (202042).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.363 Treatment of PENNVEST obligations.
(a) Water and wastewater companies with outstanding PENNVEST obligations that have not been reflected in rates or future PENNVEST obligations, may establish under 66 Pa.C.S. § 1307(a) (relating to sliding scale of rates; adjustments) an automatic adjustment by means of a sliding scale of rates or other method limited solely to recovery of the company’s PENNVEST principal and interest obligations.
(b) Filings for relief under 66 Pa.C.S. § 1307(a), may occur prior to DER inspection and should be submitted to the Commission 60—90 days prior to the first anticipated principal and interest payment.
(c) Companies are encouraged to provide notice to customers of the request for a PENNVEST increase by means of a sliding scale of rates or other method for the automatic adjustment of rates by bill insert to begin no less than 60 days prior to the effective date.
(d) Rate recovery under a 66 Pa.C.S. § 1307(a) PENNVEST automatic adjustment by means of a sliding scale of rates or other method may be approved only after the receipt of the following:
(i) DEP inspection.
(ii) Final PENNVEST amortization schedule.
(e) When approved by the Commission, the PENNVEST obligations should be listed on customers’ bills as a separate line item. Amounts collected under the Section 1307(a) PENNVEST automatic adjustment by means of a sliding scale of rates or other method are subject to reconciliation and refund. Revenues should be listed in a separate account dedicated for PENNVEST repayment only. Commingling of funds is discouraged.
(f) Complaints against recovery of PENNVEST obligations under a Section 1307(a) automatic adjustment clause will be referred to the Commission’s Office of Administrative Law Judge for hearing and adjudication. The issues of used and usefulness, prudency and reasonableness of the investment will be addressed at this hearing, if necessary.
(g) Companies are encouraged to report the status of PENNVEST obligations in their annual reports.
The provisions of this § 69.363 adopted February 11, 1994, effective February 12, 1994, 24 Pa.B. 880; amended February 13, 1998, effective February 14, 1998, 28 Pa.B. 801. Immediately preceding text appears at serial pages (202042) to (202043).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.364 Comparison to 66 Pa.C.S. § 1308 (relating to voluntary changes in rates) filings.
Other expenses incurred by the water company, for example, additional operating and maintenance expenses and depreciation, association with the DER-approved project, should be evaluated in a separate Section 1308 proceeding.
The provisions of this § 69.364 adopted February 11, 1994, effective February 12, 1994, 24 Pa.B. 880.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.371 Ratemaking treatment of construction work in progress (CWIP).
(a) When exercising its discretion to include in a utility’s rate base the utility’s investment in CWIP not completed and placed in public service as of the date new base rates become effective, the Commission will consider whether the CWIP projects are the following:
(1) Reasonably identifiable as nonrevenue producing.
(2) Reasonably identifiable as nonexpense reducing.
(3) Reasonably shown to be necessary to improve environmental conditions or safety at existing facilities, or required to convert facilities to the utilization of coal.
(4) Reasonably certain to be completed within the first 6 months the new base rates will be in effect.
(b) A CWIP project qualifies as nonrevenue producing and nonexpense reducing if any revenue generated by, or reduction in expenses resulting from, the CWIP project is passed through to customers on a current basis.
The provisions of this § 69.371 adopted May 19, 1995, effective May 20, 1995, 25 Pa.B. 1967.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.391 General.
(a) The Commission encourages parties to seek negotiated settlements of contested proceedings in lieu of incurring the time, expense and uncertainty of litigation. To further promote the goal of obtaining negotiated settlements in the public interest, the Commission has adopted guidelines that offer the parties, in certain contested proceedings, the option of mediation.
(b) Mediation is intended to be a flexible program designed to facilitate the amicable resolution of disputes between parties. The Office of Administrative Law Judge (OALJ) manages the mediation program.
The provisions of this § 69.391 adopted March 4, 1994, effective March 15, 1994, 24 Pa.B. 1205; corrected February 4, 2000, effective January 8, 2000, 30 Pa.B. 634. Immediately preceding text appears at serial page (261216).
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.392 Availability of mediation process.
(a) Mediation. Mediation is available to parties in all contested proceedings, or proceedings which could be contested, when the proceeding qualifies for mediation. A proceeding qualifies for mediation when mediation is deemed appropriate by the Office of Administrative Law Judge (OALJ).
(b) Requesting mediation.
(1) Parties may request mediation, prior to the commencement of a proceeding, by sending a letter request to the Mediation Coordinator of OALJ, and a copy of the request to the Secretary of the Commission.
(2) Parties may request mediation in their pleadings.
(3) Parties may request mediation during the course of a proceeding.
(c) Consent to use mediation process. The OALJ may notify the parties in a proceeding that mediation may be appropriate and ask whether the parties consent to use the mediation process.
(d) Party with the burden of proof.
(1) Except as otherwise directed by the Commission, there can be no mediation unless the party with the burden of proof consents to mediate.
(2) When the party with the burden of proof consents to mediation in proceedings subject to a statutory deadline for adjudication, that party must also agree, in writing, to extend the statutory deadline by, at least, 60 days.
(e) Assignment by Commission. The Commission may assign a case to the OALJ for mediation.
The provisions of this § 69.392 adopted March 4, 1994, effective March 15, 1994, 24 Pa.B. 1205; amended May 19, 1995, effective May 30, 1995, 25 Pa.B. 1966; amended October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616. Immediately preceding text appears at serial pages (241324) to (241325).
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.393 Assignment and role of mediator.
If the Commission assigns a case for mediation, or OALJ determines that a case should go forward with mediation, OALJ will assign a mediator to the proceeding. The mediator’s role will be to facilitate settlement of the contested issues between, or among, the parties, as opposed to rendering a decision.
The provisions of this § 69.393 adopted March 4, 1994, effective March 15, 1994, 24 Pa.B. 1205; amended October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616. Immediately preceding text appears at serial page (241325).
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.394 Notice.
(a) If the Commission assigns a case for mediation, or the Office of Administrative Law Judge (OALJ) determines that a proceeding should go forward with mediation, the parties will be notified of the time, date, and place of the mediation session, as well as the name, address, and telephone number of the mediator.
(b) If the OALJ determines that the proceeding should not be set for mediation, the parties will be notified of this as well as the procedure to be used in lieu of mediation.
The provisions of this § 69.394 adopted March 4, 1994, effective March 15, 1994, 24 Pa.B. 1205; amended October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616. Immediately preceding text appears at serial page (241325).
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.395 Rules.
(a) For cases in which hearings must be commenced within 90 days, a party’s request for mediation shall be construed as a waiver of that requirement.
(b) The participants in a mediation proceeding must agree to abide by mediation rules and procedures established by the Office of Administrative Law Judge. Failure to abide by these rules and procedures, following commencement of mediation, could lead to the termination of the mediation.
The provisions of this § 69.395 adopted March 4, 1994, effective March 15, 1994, 24 Pa.B. 1205; amended October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616. Immediately preceding text appears at serial page (241325).
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.396 Conclusion of mediation.
(a) When an agreement is reached in a formal complaint proceeding, the complaint may be withdrawn, unless otherwise provided for by law or regulation.
(b) When appropriate, the mediator should submit a report to an administrative law judge, or the Commission. The report will describe only the procedural background and the result of the mediation.
The provisions of this § 69.396 adopted October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616.
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.397 Flexibility.
To ensure maximum flexibility, the rules and procedures used in mediation are subject to modification as deemed appropriate to facilitate a resolution of a dispute.
The provisions of this § 69.397 adopted October 29, 1999, effective October 30, 1999, 29 Pa.B. 5616.
This section cited in 52 Pa. Code § 63.222 (relating to expedited process for resolution of migration disputes between service providers).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.401 General.
In the Commission’s judgment, the results achieved from a negotiated settlement or stipulation, or both, in which the interested parties have had an opportunity to participate are often preferable to those achieved at the conclusion of a fully litigated proceeding. It is also the Commission’s judgment that the public interest will benefit by the adoption of § § 69.402—69.406 and this section which establish guidelines and procedures designed to encourage full and partial settlements as well as stipulations in major section 1308(d) general rate increase cases. A partial settlement is a comprehensive resolution of all issues in which less than all interested parties have joined. A stipulation is a resolution of less than all issues in which all or less than all interested parties have joined.
The provisions of this § 69.401 adopted September 2, 1994, effective February 1, 1995, 24 Pa.B. 4485.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.402 Prefiling notice guidelines.
(a) A public utility which intends to file a general rate increase request of $1 million or more should provide by letter and certificate of service 30 days advance notice of the rate filing to the following:
(1) The Secretary’s Bureau, the Office of Special Assistants (OSA) and the Office of Administrative Law Judge.
(2) The customary parties to its prior base rate proceedings, which are deemed to include the Office of Trial Staff, the Office of Consumer Advocate, the Office of Small Business Advocate, as well as any party in the utility’s last base rate proceeding who filed a brief or exceptions.
(b) The advance notice should contain a reasonable estimate of the amount to be sought, a brief outline of the major reasons for the increase—for example, major plant addition, significant increase in particular expenses and the like—and an identification of other major issues in the case.
(c) Within 20 days in advance of the anticipated general rate increase filing, the OSA will send to the customary parties a notice indicating that they should begin preparation of discovery, engage a consultant, if necessary, and assemble a team of attorneys and technicians to litigate the case.
(1) To facilitate the initiation of discovery, OSA will send to the utility a standard set of industry-specific data requests.
(2) OSA will also advise that an informal discovery conference should be scheduled by the parties approximately 60 to 65 days following the date of the filing. An informal discovery conference between the utility and the customary parties will provide for an early opportunity to review company documents and to interview company witnesses.
The provisions of this § 69.402 adopted September 2, 1994, effective February 1, 1995, 24 Pa.B. 4485.
This section cited in 52 Pa. Code § 69.401 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.403 Prefiling discovery guidelines.
(a) The customary parties are encouraged to staff a rate filing with sufficient attorneys and technicians to quickly and effectively engage in thorough discovery within the first 60 days of the filing. This approach permits parties to prepare for the informal discovery conference. Absent good cause, the presiding Administrative Law Judge (ALJ) will restrict discovery of the utility following the informal discovery conference to specific inquiries not appropriately asked at an earlier date. Following the conference, each party should begin preparation of a litigation position to be presented by the second prehearing conference.
(b) A public utility which is requesting a general rate increase of $1 million or more is encouraged to file contemporaneously with its rate request, answers to a standard set of industry-specific data requests provided by the Office of Special Assistants.
(1) A utility which objects to any of the standard data requests may petition the presiding ALJ—or Chief ALJ if an ALJ has not been assigned to the case—for permission to depart from answering the data requests, setting forth the reasons for the request.
(2) Failure of the utility to file answers to the standard data requests contemporaneously with its rate filing severely impedes the settlement process. In addition to appropriate sanctions, the presiding ALJ will consider the utility’s efforts to provide timely responses to determine whether additional time for settlement negotiations should be granted. Appropriate sanctions may include postponing or cancelling the second prehearing conference contemplated in § 69.405(b) (relating to ALJ case management procedures).
The provisions of this § 69.403 adopted September 2, 1994, effective February 1, 1995, 24 Pa.B. 4485.
This section cited in 52 Pa. Code § 69.401 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.404 OSA staff review procedures.
(a) If suspension of a general rate increase of $1 million or more is appropriate, the Commission, whenever possible, will initiate the rate investigation 30 days following the filing, rather than using the full 60 days provided for by statute. However, if the Office of Special Assistants (OSA) believes it needs the full 60-day review period to determine whether a matter should be investigated, the entire period will be utilized.
(b) For general rate increases of less than $1 million, OSA will, during the initial 60-day review period, engage in discussions with the utility and potential complainants, as may be appropriate, to determine whether an acceptable resolution of the issues can be achieved to avoid a formal complaint and suspension of the filing. OSA will contact the parties to the utility’s last general increase rate case and consult with the Bureau of Consumer Services in an effort to identify potential complainants. Once a formal complaint is filed, OSA will terminate these discussions and proceed with preparation of a report and order for public meeting.
The provisions of this § 69.404 adopted September 2, 1994, effective February 1, 1995, 24 Pa.B. 4485.
This section cited in 52 Pa. Code § 69.401 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.405 ALJ case management procedures.
(a) Seventy to 75 days following the general rate case filing, an initial prehearing conference will be held by the presiding Administrative Law Judge (ALJ) for scheduling purposes.
(1) For general rate proceedings involving amounts of $1 million or more, the parties will follow the procedures for filing written testimony and scheduling hearings outlined in the Commission’s regulations, or as otherwise directed by the presiding ALJ.
(2) For general rate proceedings involving amounts of $1 million or less, absent good cause shown, the parties will file all written utility direct, intervenor direct, rebuttal and surrebuttal testimony sequentially. After the submission of the written testimony, one set of hearings will be held at which the witnesses are cross-examined. Requests to depart from this procedure will be submitted to the presiding ALJ—or the Chief ALJ if an ALJ has not been assigned—30 days before the prefiled testimony would otherwise be due.
(b) Eighty-five to ninety days following the filing, the presiding ALJ will schedule a second prehearing conference to discuss substantive issues and the potential for settlement. Prior thereto, the ALJ will advise the customary parties whether he desires litigation position summaries to be presented at the second prehearing conference or shortly thereafter for purposes of initiating settlement discussions.
(1) The litigation position summary should include, at a minimum, the party’s proposed stipulations of fact, adjustments to the utility’s claimed rate base, operating revenues and operating expenses, its proposed return on common equity and basis thereof, and the proposed alternative rate structure.
(2) A copy of the litigation position summary should be provided to each of the customary parties participating in the proceeding.
(c) By the date of the initial prehearing conference, the utility will advise the Chief ALJ if one or more parties believe that settlement prospects will be enhanced by having a separate settlement judge assigned for the negotiation process. In that event, the Chief ALJ will assign a settlement judge to the proceeding. Otherwise, the proceeding will operate under a one-judge system.
(1) When a one-judge system is used, the presiding ALJ will notify the parties regarding the scheduling of future settlement conferences and may participate in the settlement negotiations in order to promote the public interest.
(2) When a two-judge system is used, a second ALJ will be assigned to adjudicate the matter if no settlement is achieved. The parties will provide the first ALJ—the settlement judge—with a summary of their respective litigation and settlement positions, without prejudice to the litigation position that the party may present if settlement negotiations prove unsuccessful. These documents will be held in confidence by the settlement judge. Subsequent settlement conferences will be scheduled by the settlement judge.
(d) At least one public input session will be held prior to the date the settlement is filed. This permits public testimony to be considered in developing settlement parameters without delaying the time necessary to achieve a satisfactory result.
(e) The ALJ is encouraged to be assertive in the settlement process in cases which he believes should settle. The ALJ will be an active participant in bringing the interested parties towards a reasonable compromise.
(f) To provide the necessary time for a negotiated settlement to be achieved, the ALJ is authorized to provide the parties with an additional 2 weeks in the litigation schedule to conclude settlement negotiations. This 2-week period will be subtracted from the 8-week time period provided to the Commission and its staff for review of the recommended decision and exceptions.
The provisions of this § 69.405 adopted September 2, 1994, effective February 1, 1995, 24 Pa.B. 4485.
This section cited in 52 Pa. Code § 69.401 (relating to general); and 52 Pa. Code § 69.403 (relating to prefiling discovery guidelines).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.406 Review of full and partial settlements.
(a) Objections to a settlement of the issues in a general rate increase proceeding should be filed within 10 days of the date the settlement is filed with the ALJ. The ALJ will issue a recommended decision regarding the settlement or stipulation within 21 days or less of the deadline for filing objections. Parties objecting to a proposed settlement or stipulation are encouraged to set forth facts, affidavits, argument and relevant legal analysis and, if desired, a specific request to continue to litigate. A request to litigate should be supported by appropriate information and legal argument concerning the implications of denial of a continued opportunity to litigate the matter in lieu of settlement.
(b) Exceptions to the ALJ’s recommended decision will be filed within 7 days after the date the recommended decision is issued. Unless otherwise permitted by the Commission, reply exceptions will not be accepted.
(c) If only a stipulation of certain general rate increase issues is achieved, the ALJ will provide for an expedited schedule for hearing and briefing of the non-settled issues. The Commission will also provide for an expedited schedule for the filing of exceptions and review of the ALJ’s recommended decision.
The provisions of this § 69.406 adopted September 2, 1994, effective February 1, 1995, 24 Pa.B. 4485.
This section cited in 52 Pa. Code § 69.401 (relating to general).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.501 Average schedule telephone companies; residual ratemaking—statement of policy.
(a) Background. In lieu of employing the FCC Part 36 cost allocation manual to develop interstate revenues, expenses and investment, an average schedule telephone company uses generalized industry data to estimate its interstate costs. For intrastate ratemaking purposes, the residual ratemaking methodology assumes that the intrastate revenue requirement is equal to the company’s total revenue requirement less revenues deemed by the average schedule to be interstate.
(b) Treatment of costs. To determine the intrastate cost of service for average schedule telephone companies and their intrastate results of operations and return, the costs reimbursed pursuant to the National Exchange Carrier Association (NECA) average schedule tariff should be deducted from each company’s total body of costs. This would be the appropriate way to assure consistency betweenthe state/interstate cost allocation factors implicit in the use of average schedule tariffs and the state/interstate cost allocation factors based on the FCC’s Part 36 cost allocation manual.
(c) Policy. For average schedule telephone companies, the Commission’s current ratemaking policy and practice for financial reporting purposes will be based upon use of the residual ratemaking method. Whether or not this method will be used to set intrastate rates for any individual average schedule telephone company will be determined only after notice and opportunity to be heard in accordance with law.
The provisions of this § 69.501 adopted December 31, 1993, effective January 1, 1994, 24 Pa.B. 16.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.701 Viability of small water systems.
(a) General.
(1) Many small water systems in this Commonwealth are not viable and need to be restructured. Most new water systems being created in this Commonwealth are small and are likely candidates for becoming nonviable.
(2) A viable water system is one which is self-sustaining and has the commitment and financial, managerial and technical capabilities to reliably meet Commission and Department of Environmental Resources (Department) requirements on a long-term basis.
(3) It shall be the objective of the Commission and the Department to work closely together and with other agencies and organizations involved in safe drinking water programs to substantially restrict the number of nonviable drinking water systems by discouraging the creation of new nonviable small systems, and at the same time, encourage the restructuring of existing nonviable small systems.
(b) Implementation. To accomplish this goal of restricting the number of nonviable drinking water systems, the following efforts will be encouraged and supported:
(1) The development and implementation of comprehensive water system facility plans, management plans and financial plans by drinking water systems which enable these systems to operate on a sound business basis to ensure the continuous provision of quality water service that meets the requirements of 66 Pa.C.S. (relating to the Public Utility Code) and the Pennsylvania Safe Drinking Water Act (35 P. S. § § 721.1—721.17).
(2) Comprehensive planning at the local, county and regional level to ensure water system viability.
(3) The restructuring, physically or administratively, of contiguous and noncontiguous drinking water systems, some of which are nonviable, to form a single viable water system or water authority.
(4) The facilitation of the rate process to aid in the provision by PENNVEST, and other affected governmental or other financial bodies, of financial assistance to viable systems and projects which incorporate or encourage accomplishment of paragraphs (1)—(3).
(5) The development of safety net programs to deal with nonviable or abandoned water systems.
(6) Working with the water industry, government agencies and other affected bodies to educate the public regarding drinking water system regulation, planning and viability issues, and the associated cost and public health benefits derived.
The provisions of this § 69.701 adopted January 7, 1994, effective January 8, 1994, 24 Pa.B. 158.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.711 Acquisition incentives.
(a) General. To accomplish the goal of increasing the number of mergers and acquisitions to foster regionalization, the Commission will consider the acquisition incentives in subsection (b). The following parameters shall first be met in order for Commission consideration of a utility’s proposed acquisition incentive. It should be demonstrated that:
(1) The acquisition serves the general public interest.
(2) The acquiring utility meets the criteria of viability that will not be impaired by the acquisition; that it maintains the managerial, technical and financial capabilities to safely and adequately operate the acquired system, in compliance with 66 Pa.C.S. (relating to the Public Utility Code), the Pennsylvania Safe Drinking Water Act (35 P. S. § § 721.1—721.17) and other requisite regulatory requirements on a short and long-term basis.
(3) The acquired system has less than 3,300 customer connections; the acquired system is not viable; it is in violation of statutory or regulatory standards concerning the safety, adequacy, efficiency or reasonableness of service and facilities; and that it has failed to comply, within a reasonable period of time, with any order of the Department of Environmental Protection or the Commission.
(4) The acquired system’s ratepayers should be provided with improved service in the future, with the necessary plant improvements being completed within a reasonable period of time.
(5) The purchase price of the acquisition is fair and reasonable and the acquisition has been conducted through arm’s length negotiations.
(6) The concept of single tariff pricing should be applied to the rates of the acquired system, to the extent that it is reasonable. Under certain circumstances of extreme differences in rates, or of affordability concerns, consideration should be given to a phase-in of the rate difference over a reasonable period of time.
(b) Acquisition incentives. In its efforts to foster acquisition of suitable water and wastewater systems by viable utilities when the acquisitions are in the public interest, the Commission seeks to assist these acquisitions by permitting the use of a number of regulatory incentives. Accordingly, the Commission will consider the following acquisitions incentives:
(1) Rate of return premiums. Under 66 Pa.C.S. § 523 (relating to performance factor considerations), additional rate of return basis points may be awarded for certain acquisitions and for certain associated improvement costs, based on sufficient supporting data submitted by the acquiring utility within its rate case filing. The rate of return premium as an acquisition incentive may be the most straightforward and its use is encouraged.
(2) Acquisition adjustment. When the acquiring utility’s acquisition cost differs from the depreciated original cost of the water or wastewater facilities first devoted to public use, the difference may be treated as follows for ratemaking purposes:
(i) Credit acquisition adjustment. Under 66 Pa.C.S. § 1327(e) (relating to acquisition of water and sewer facilities), when a utility pays less than the depreciated original cost of the acquired system, the acquiring utility may book and include in rate base the depreciated original cost of the acquired system, provided that the difference between the acquisition cost and depreciated original cost should be amortized as an addition to income over a reasonable period of time or be passed through to ratepayers by another methodology that is determined by the Commission. The acquiring utility may argue that no amortization or pass through is appropriate when the acquisition involves a matter of substantial public interest.
(ii) Debit acquisition adjustment. Under 66 Pa.C.S. § 1327(a), when a utility pays more than the depreciated original cost of the acquired system, the acquiring utility may book and include in rate base the excess of acquisition cost over depreciated original cost of the acquired system, provided that the utility can meet the requirements of 66 Pa.C.S. § 1327(a). When the acquisition does not qualify under 66 Pa.C.S. § 1327(a), the debit acquisition adjustment should be treated in accordance with generally accepted accounting principles and not be amortized for ratemaking purposes.
(3) Deferral of acquisition improvement costs. In cases when the plant improvements are of too great a magnitude to be absorbed by ratepayers at one time, rate recovery of the improvement costs may be recovered in phases. There may be a one time treatment—in the initial rate case-of the improvement costs but a phasing—in of the acquisition, improvements and associated carrying-costs may be allowed over a finite period.
(4) Plant improvement surcharge. Collection of a different rate from customers of the acquired system upon completion of the acquisition could be implemented to temporarily offset extraordinary improvement costs. In cases when the improvement benefits only those customers who are newly acquired, the added costs may be allocated on a greater than average level—but less than 100%—to the new customers for a reasonable period of time, as determined by the Commission.
(c) Procedural implementation.
(1) An acquiring utility that has met the criteria set forth in 66 Pa.C.S. § 1327(a)(1)—(9) for inclusion of a debit acquisition adjustment in its rate base, may elect to have this acquisition adjustment considered on a case-by-case basis as set forth in 66 Pa.C.S. § 1327(b), or as part of its next rate case filing. The acquiring utility should file the supporting documentation outlined in subsection (d) to support the requested acquisition adjustment.
(2) The appropriate implementation procedure to qualify for the other acquisition incentives in subsection (b) would be to file the appropriate supporting documentation during the next filed rate case.
(3) In acquisition incentive filings, the burden of proof rests with the acquiring utility.
(d) Documentation to support inclusion of acquisition adjustment. When an acquiring utility elects to have the acquisition adjustment to its rate base considered as a part of its next rate case filing, the acquiring utility should file the following documentation to support the acquisition adjustment to its rate base:
(1) Statement of reliance on existing records. An acquiring utility may elect to rely in whole or in part upon the original cost records of the seller or Commission in determining the original cost of the used and useful assets of the acquired system.
(2) Preparation of data to support acquisition adjustment. An acquiring utility, upon its own election, may file an original cost plant-in-service study with the Commission to support its requested acquisition adjustment to its rate base. An original cost study is one method of determining the valuation costs of the property of a public utility. It requires the acquiring utility to develop realistic plant balances and accumulates the records and accounting details that support those balances. Disputes regarding the acquiring utility’s original cost valuation of the assets of the acquired system will be resolved in the context of a rate proceeding when interested parties will have an opportunity to be heard.
(i) Contents of an original cost plant-in-service study. When an acquiring utility elects to submit its own original cost of plant-in-service valuation, the acquiring utility is obligated to exercise due diligence and make reasonable attempts to obtain, from the seller, documents related to original cost. In particular, as part of its exercise of due diligence, the acquiring utility should request from the seller, for purposes of determining the original cost plant-in-service valuation, the original cost of the assets being acquired and records relating to contributions in aid of construction (CIAC), such as the following:
(A) Accounting records and other relevant documentation and agreements of donations or contributions, services, or property from states, municipalities or other government agencies, individuals, and others for construction purposes.
(B) Records of unrefunded balances in customer advances for construction (CAC).
(C) Records of customer tap-in fees and hook-up fees.
(D) Prior original cost studies.
(E) Records of local, State and Federal grants used for construction of utility plant.
(F) Relevant PennVEST or Department of Environmental Protection records.
(G) Any Commission records.
(H) Summary of the depreciation schedules from all filed Federal tax returns.
(I) Other accounting records supporting plant-in-service.
(ii) Failure of seller to provide cost-related documents. The failure of a seller to provide cost-related documents, after reasonable attempts to obtain the data, will not be a basis for the Commission’s denial of the inclusion of the value of the acquired system’s assets in its proposed rate base. Because the documents obtained from the seller may be incomplete and may result in an inaccurate valuation, the acquiring utility will not be bound by the incomplete documents from the seller in the preparation of its original cost plant-in-service valuation.
(iii) Procedure for booking CIAC. The acquiring utility, at a minimum, should book as CIAC contributions that were properly recorded on the books of the system being acquired. If evidence supports other CIAC that was not booked by the seller, the acquiring utility should make a documented effort to determine the actual CIAC and record the contributions for ratemaking purposes, such as lot sale agreements or capitalization vs. expense of plant-in-service on tax returns.
(iv) Plant retired/not booked/not used and useful. The acquiring utility should identify all plant retirements and plant no longer used and useful, and complete the appropriate accounting entries.
(v) Reconciliation with commission records. In the case of an acquisition of a water or wastewater system that is regulated by the Commission, the acquiring utility should reconcile and explain any discrepancies between the acquiring utility’s original cost plant-in-service valuation and the Commission’s records, to the extent reasonably known and available to the acquiring utility, at the same time the supporting documentation for the study is filed.
(e) Time to submit original cost valuation. When the acquiring utility elects to request an acquisition adjustment during its next rate filing, it should submit a copy of its newly prepared original cost plant-in-service valuation of the acquired system or a statement of reliance of the existing records of the Commission or the seller to the Commission’s Secretary’s Bureau, the Bureau of Audits, the Bureau of Fixed Utility Services, the Office of Trial Staff, the Office of Consumer Advocate, and the Office of Small Business Advocate at least 4 months prior to the date that the acquiring utility plans to make its next rate case filing with the Commission.
(1) The Commission staff may conduct an audit of the original cost valuation, but if no staff audit is completed and released at public meeting before the date of the rate case filing, the Commission’s determination of the original cost valuation in the rate case will be deemed final action on the original cost valuation and any associated acquisition adjustment, absent subsequently discovered fraud or misrepresentation. When staff completes an audit before the rate case is filed, the results of the audit will not be binding on any party, but rather the audit report will be made available to the public and the report can be presented in the acquiring utility’s next rate case, subject to applicable evidentiary rules.
(2) When the acquiring utility makes a rate case filing sooner than the 4-month window, the acquiring utility should not include any revenues or expenses related to the acquisition, including the requested acquisition adjustment in its proposed rate base unless it includes the original cost valuation with the rate filing and one of the following circumstances applies:
(i) A compelling reason exists for requesting the acquisition adjustment in the current rate filing.
(ii) The acquisition was requested or otherwise directed by the Commission.
(iii) No statutory party objects to the inclusion of the acquisition adjustment to the proposed rate base of the acquiring utility.
(f) Purchase price of the water and wastewater system. The factors relevant to the reasonableness of the purchase price of the acquired water and wastewater system include:
(1) Promotion of long-term viability.
(2) Promotion of regionalization.
(3) Usage per customer.
(4) Growth rates.
(5) Cost of improvements.
(6) Age of the infrastructure.
(7) Return on equity.
(8) Existing rates.
(9) Purchase price per customer.
The provisions of this § 69.711 adopted March 29, 1996, effective March 30, 1996, 26 Pa.B. 1380; amended February 13, 1998, effective February 14, 1998, 28 Pa.B. 801; amended September 29, 2006, effective September 30, 2006, 36 Pa.B. 5991; corrected October 6, 2006, effective September 29, 2006, 36 Pa.B. 6107. Immediately preceding text appears at serial pages (255466) to (255468).
This section cited in 52 Pa. Code § 69.721 (relating to water and wastewater acquisitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.721 Water and wastewater system acquisitions.
(a) General. The Commission believes that further consolidation of water and wastewater systems within this Commonwealth may, with appropriate management, result in greater environmental and economic benefits to customers. The regionalization of water and wastewater systems through mergers and acquisitions will allow the water industry to institute better management practices and achieve greater economies of scale. To further this goal, the Commission sets forth the guidance in this section regarding the acquisition of water and wastewater systems. Guidance specifically applicable to the acquisition of nonviable systems is set forth in § 69.711 (relating to acquisition incentives).
(b) Inclusion of acquisition assets in rate base. After the approval of an acquisition, as evidenced by the receipt of a certificate of public convenience, an acquiring utility may request the inclusion of the value of the used and useful assets of the acquired system in its rate base. A request will be considered during the acquiring utility’s next filed rate case proceeding. See 66 Pa.C.S. § 1311(a) (relating to valuation of and return on the property of a public utility).
(c) Method of valuation of acquisition assets. The assets of the acquired system should be booked at the original cost of the acquired system when first devoted to the public service less the applicable accrued depreciation and related contributions. See 66 Pa.C.S. § 1311(b).
(d) Determining original cost of acquisition assets. An acquiring utility may use various methods to support its valuation of the original cost of the used and useful assets of the acquired water or wastewater system. For example, an acquiring utility may elect to rely in whole or in part upon the original cost records of the seller or the Commission in determining the original cost of the used and useful assets of the acquired system that are to be included in its rate base.
(e) Preparation of an original cost of plant-in-service valuation. The Commission will not require an acquiring utility to submit a full original cost plant-in-service study in order to determine the value of the assets of the acquired system. An acquiring utility, upon its own election, may file an original cost study with the Commission to support its valuation of the assets of the acquired water and wastewater system proposed to be included in its rate base. A full original cost plant-in-service study is one method of determining the valuation costs of the property of a public utility. It requires the acquiring utility to develop realistic plant balances and accumulates the records and accounting details that support those balances. Disputes regarding the acquiring utility’s original cost valuation of the acquired assets will be resolved in the context of a rate proceeding in which all interested parties will have an opportunity to be heard.
(1) Contents of an original cost plant-in-service study. The acquiring utility is obligated to exercise due diligence and make reasonable attempts to obtain, from the seller, documents related to original cost. In particular, as part of its due diligence, the acquiring utility should request from the seller, for purposes of determining the original cost plant-in-service valuation, the original cost of the assets being acquired and records relating to contributions in aid of construction (CIAC), such as the following:
(i) Accounting records and other related documentation and agreements of donations or contributions, services, or property from states, municipalities or other government agencies, individuals, and others for construction purposes.
(ii) Records of unrefunded balances in customer advances for construction (CAC).
(iii) Records of customer tap-in fees and hook-up fees.
(iv) Prior original cost studies.
(v) Records of local, State and Federal grants used for construction of utility plant.
(vi) Relevant PennVEST or Department of Environmental Protection records.
(vii) Any Commission records.
(viii) Summary of the depreciation schedules from all filed Federal tax returns.
(ix) Other accounting records supporting plant-in-service.
(2) Failure of seller to provide cost-related documents. The failure of a seller to provide cost-related documents, after reasonable attempts to obtain the data, will not be a basis for the Commission’s denial of the inclusion of the value of the acquired system’s assets in its proposed rate base. Because the documents obtained from the seller may be incomplete and may result in an inaccurate valuation, the acquiring utility will not be bound by the incomplete documents from the seller in the preparation of its original cost plant-in-service valuation.
(3) Procedure for booking CIAC. The acquiring utility, at a minimum, should book as CIAC contributions that were properly recorded on the books of the system being acquired. If evidence supports other CIAC that was not booked by the seller, the acquiring utility should make a documented effort to determine the actual CIAC and record the contributions for ratemaking purposes, such as lot sale agreements or capitalization versus expenses of plant-in-service on tax returns.
(4) Plant retired/not booked/not used and useful. The acquiring utility should identify all plant retirements and plant no longer used and useful and complete the appropriate accounting entries.
(5) Reconciliation with commission records. In the case of an acquisition of a water or wastewater system that is regulated by the Commission, the acquiring utility should reconcile and explain any discrepancies between the acquiring utility’s original cost plant-in-service valuation and the Commission’s records, to the extent reasonably known and available to the acquiring utility, at the same time the supporting documentation for the study is filed.
(f) Time to submit original cost valuation. When the acquiring utility elects to request inclusion of its acquisition in its rate base, it should submit a copy of its newly prepared original cost plant-in-service valuation of the acquired system or a statement of reliance of the existing records of the Commission or the seller to the Commission’s Secretary’s Bureau, the Bureau of Audits, the Bureau of Fixed Utility Services, the Office of Trial Staff, the Office of Consumer Advocate and the Office of Small Business Advocate at least 4 months prior to the date that the acquiring utility plans to make its next rate case filing with the Commission.
(1) The Commission staff may conduct an audit of the original cost valuation, but if no staff audit is completed and released at public meeting before the date of the rate case filing, the Commission’s determination of the original cost valuation in the rate case will be deemed final action on the original cost valuation, absent subsequently discovered fraud or misrepresentation. When staff completes an audit before the rate case is filed, the results of the audit will not be binding on any party, but rather the audit report will be made available to the public and the report can be presented in the acquiring utility’s next rate case, subject to applicable evidentiary rules.
(2) When the acquiring utility makes a rate case filing sooner than the 4-month window, the acquiring utility should not include any revenues or expenses related to the acquisition, including the requested acquisition adjustment in its proposed rate base unless it includes the original cost valuation with the rate filing and one of the following circumstances applies:
(i) A compelling reason exists for requesting the acquisition in the current rate filing.
(ii) The acquisition was requested or otherwise directed by the Commission.
(iii) No statutory party objects to the inclusion of the acquisition to the proposed rate base of the acquiring utility.
(g) Acquisition incentives. In its efforts to foster the acquisitions of smaller, less viable water and wastewater systems by larger more viable systems, the Commission, under 66 Pa.C.S. § 523 (relating to performance factor consideration), has broad latitude to allow the acquiring utility to request a rate of return premium in a subsequent rate case. The allowance of a rate of return premium, as an acquisition incentive for an acquisition that falls outside of the parameters of 66 Pa.C.S. § 1327 (relating to acquisition of water and sewer utilities), may be requested by those utilities that have a demonstrated track record of acquiring and improving the service provided to the customers of smaller and less viable water systems. The allowance of additional rate of return basis points may be awarded based on sufficient supporting data submitted by the utility within its rate case filing.
The provisions of this § 69.721 adopted September 29, 2006, effective September 30, 2006, 36 Pa.B. 5991.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.801 General.
From a business perspective, diversity should be associated with a public utility’s business objectives and strategies. Diversity is an economic reality that public utilities should include in their corporate strategies now and in the future. The Commission encourages major jurisdictional utilities and major telecommunications utilities operating in this Commonwealth to incorporate diversity in their business strategy in connection with the procurement of goods and services. Major telecommunications utilities are further encouraged to file diversity reports in the same format as major jurisdictional utilities are directed in 52 Pa. Code § § 51.11—51.13 (relating to diversity).
The provisions of this § 69.801 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.801 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial page (411124).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); and 52 Pa. Code § 69.802 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.802 Definitions.
(a) The following words and terms, when used in § § 69.801—69.809, have the following meanings: Long-term plan—A plan applicable to a period of 5 years. MIL—minimum improvement level—A level or goal which, when achieved, indicates progress in a preferred direction. An MIL is neither a requirement nor a quota, and no specific participation levels are intended. Major telecommunications utility—A telecommunications public utility under 66 Pa.C.S. § 102 (relating to definitions) with 50,000 or more access lines. Midterm plan—A plan applicable to a period of 3 years. Short-term plan—A plan applicable to a period of 1 year. Subcontract—An agreement or arrangement between a contractor and a party or person—in which the parties do not stand in the relationship of an employer and an employee—for the furnishing of supplies or services for the use of real or personal property, including lease arrangements, which in whole or in part, is necessary to the performance of any one or more contracts. Substantial objectives—Objectives which are realistic and clearly demonstrate a major jurisdictional utility’s commitment to increase minority/women/persons with disabilities/LGBTQ/veteran-owned business share of the utility’s purchases and contracts.
(b) The following terms, when used in § § 69.801—69.809, are used as defined in § 51.12 (relating to definitions). Asian (not Hispanic or Latino) Black or African American (not Hispanic or Latino) Diversity Exempt procurement Hispanic or Latino LGBTQ—Lesbian, gay, bisexual, transgender, queer and questioning Major jurisdictional utility MBE—Minority-owned business enterprise Minority Native American or Alaska Native (not Hispanic or Latino) Native Hawaiian or Pacific Islander (not Hispanic or Latino) Person with disabilities Two or more races (not Hispanic or Latino) Veteran WBE—Women-owned business enterprise White (not Hispanic or Latino)
The provisions of this § 69.802 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.802 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411124) to (411126).
This section cited in 52 Pa. Code § 51.11 (relating to general); and 52 Pa. Code § 51.12 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.803 Guidelines for diversity development.
The Commission encourages major jurisdictional utilities and major telecommunications utilities to implement diversity programs. This effort may include the following:
(1) The articulation of a corporate policy by the senior executives of the major jurisdictional utility and the major telecommunications utility committing it to improving its level of diversity in the workplace and within its procurement process.
(2) The development and implementation of a corporatewide diversity program with specified goals and objectives for each year.
(3) The appointment of utility managers to be responsible for the success of the program.
(4) The training of managers regarding implementing diversity initiatives in the areas of employment and contracting for goods and services.
(5) The location of qualified minority/women/persons with disabilities/LGBTQ/veteran-owned business contractors and mentoring, partnering and training qualified women/minority/persons with disabilities/LGBTQ/veteran-owned businesses contractors to serve the needs of the major jurisdictional utility and the major telecommunications utility.
The provisions of this § 69.803 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.803 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411127) to (411128).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); and 52 Pa. Code § 69.802 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.804 Contracting recommendations.
The Commission recommends that major jurisdictional utilities and major telecommunications utilities strive to take maximum efforts to provide that minority/women/persons with disabilities/LGBTQ/veteran-owned businesses have an equal opportunity to compete for the purchase of equipment, supplies, services, fuels, materials, construction, professional services, advertising, and the like. The Commission encourages each major jurisdictional utility and each major telecommunications utility to develop a diversity program which is designed to provide that a fair proportion of products and services contracts are offered to minority/women/persons with disabilities/LGBTQ/veteran-owned businesses. It is recommended that each major jurisdictional utility and each major telecommunications utility adopt the general guidelines in § § 69.805—69.808 in the development or enhancement of their diversity program relative to contracting for goods and services.
The provisions of this § 69.804 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.804 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial page (411128).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); and 52 Pa. Code § 69.802 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.805 Program development.
The major jurisdictional utilities and the major telecommunications utilities are encouraged to have an appropriate executive accountable for providing overall direction and guidance to the minority/women/persons with disabilities/LGBTQ/veteran-owned business program. Each major jurisdictional utility and each major telecommunications utility is invited to maintain a staff to implement program requirements concerning the women/minority/persons with disabilities/LGBTQ/veteran-owned businesses. It may not be necessary for a major jurisdictional utility or a major telecommunications utility to increase its staff or to reassign existing staff to minority/women/persons with disabilities/LGBTQ/veteran-owned business program responsibilities if the major jurisdictional utility or the major telecommunications utility can implement its program effectively through its current resource commitment and management structure.
The provisions of this § 69.805 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.805 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411128) to (411129).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); 52 Pa. Code § 69.802 (relating to definitions); and 52 Pa. Code § 69.804 (relating to contracting recommendations).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.806 Minimum improvement levels.
By March 1 of each year, each major jurisdictional utility and each major telecommunications utility is encouraged to annually set substantial and verifiable short-term, midterm and long-term plans for the utilization of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses. Minimum improvement levels should be set annually for each major product and services category which provides opportunities for procurement.
(1) The major jurisdictional utilities and the major telecommunications utilities may consider the following factors in setting their minimum improvement levels:
(i) Their total purchasing or contracting projections, or both, including fees to financial (for example, financial institutions, and the like), advertising, legal and professional services.
(ii) Availability of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses in the major jurisdictional utility’s or the major telecommunications utility’s service area and surrounding communities.
(iii) Market dynamics based on historical data and trends.
(iv) Other appropriate factors which would increase the minority/women/persons with disabilities/LGBTQ/veteran-owned businesses share of utility business.
(2) Program objectives should be established for both minority-owned, non-minority women-owned, persons with disabilities-owned, LGBTQ-owned and veteran-owned business enterprises.
(3) Each major jurisdictional utility or each major telecommunications utility may exclude a specific product or service when it is clearly evident the minority/women/persons with disabilities/LGBTQ/veteran-owned businesses do not provide a specific product or service, or that exempt procurement is the only available procurement method for obtaining that specific product or service. Each major jurisdictional utility and each major telecommunications utility should demonstrate the unavailability of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses capable of supplying these products and services on a case-by-case basis. Because there may in the future be minority/women/persons with disabilities/LGBTQ/veteran-owned businesses capable of supplying products or services currently being supplied by an exempt procurement provider, the major jurisdictional utility or the major telecommunications utility should explain in its annual report the continued use of any exempt procurement provider.
(4) Each major jurisdictional utility and each major telecommunications utility which is presently purchasing products or services from affiliates may subtract the dollars paid to affiliates for these products or services from the total dollars used as the basis for establishing minimum improvement levels for purchases from minority/women/persons with disabilities/LGBTQ/veteran-owned businesses if the major jurisdiction utility or the major telecommunications utility requires the affiliate to establish an appropriate subcontracting program for minority/women/persons with disabilities/LGBTQ/veteran-owned businesses where the affiliates employ subcontractors. Each major jurisdictional utility and each major telecommunications utility which takes advantage of this section should report to the Commission, in its annual report, whether the affiliates have established a subcontracting program and describe the results of the program.
(5) Overall program levels should be expressed as a percentage of total dollars awarded to outside suppliers and contractors other than products and services which fall within an exempt procurement category established by the major jurisdictional utility or the major telecommunications utility.
(6) Payments for fuel, purchased power and franchise tax fees need not be included in the procurement dollar base used to establish minimum improvement levels.
(7) Each major jurisdictional utility and each major telecommunications utility is encouraged to make special efforts to increase utilization of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses, in conjunction with its established minimum improvement levels, in areas that are considered to be technical in nature, and where there has been low utilization, such as consultants, legal and financial services.
(8) Each major jurisdictional utility and each major telecommunications utility is invited to consider the utilization of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses when outsourcing noncore business functions and report these contracts as part of the annual report.
The provisions of this § 69.806 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.806 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411129) to (411130).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); 52 Pa. Code § 69.802 (relating to definitions); and 52 Pa. Code § 69.804 (relating to contracting recommendations).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.807 Subcontracting program.
Each major jurisdictional utility and each major telecommunications utility is encouraged to establish and maintain a subcontracting program for its prime contractors to utilize minority/women/persons with disabilities/LGBTQ/veteran-owned business subcontractors. The subcontracting program will serve as an enhancement to and not a replacement for a minority/women/persons with disabilities/LGBTQ/veteran-owned business program.
(1) Each major jurisdictional utility and each major telecommunications utility should incorporate in purchase orders, requests for bid proposals and other appropriate procurement documents related to procurement efforts subject to its subcontracting program, a statement such as follows:
‘‘It is the policy of this utility that businesses owned by minorities, women, persons with disabilities, LGBTQ and veterans should have an equal opportunity to compete for subcontracts. The contractor agrees to use its best efforts to carry out this policy to the fullest extent consistent with the efficient performance of this contract.’’
(2) Each major jurisdictional utility and each major telecommunications utility is encouraged to assist its prime contractors in developing plans to increase the opportunities for participation by minority/women/persons with disabilities/LGBTQ/veteran-owned business subcontractors. Prime contractors will be encouraged to submit these plans and the results to the major jurisdictional utility or the major telecommunications utility.
(3) The subcontracting program should apply to purchases/contracts exceeding $500,000 for products and services, and for construction contracts over $1 million. The subcontracting program need not be applied to exempt procurements. See 52 Pa. Code § 51.12 (relating to definitions) for the definition of ‘‘exempt procurement.’’
(4) Each major jurisdictional utility and each major telecommunications utility is encouraged to inform suppliers of products and services that subcontracting with businesses owned by minority/women/persons with disabilities/LGBTQ/veterans is a factor that may be considered in the bid evaluation process.
(5) [Reserved].
The provisions of this § 69.807 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.807 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411130) to (411131).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); 52 Pa. Code § 69.802 (relating to definitions); and 52 Pa. Code § 69.804 (relating to contracting recommendations).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.808 External outreach.
Each major jurisdictional utility and each major telecommunications utility should implement an outreach program to inform, to recruit and to expand procurement activities to qualified and qualifiable businesses owned by minority/women/persons with disabilities/LGBTQ/veterans. Outreach activities may vary for each major jurisdictional utility and each major telecommunications utility depending on its size, service territory and specific lines of business. Each major jurisdictional utility and each major telecommunications utility should, at a minimum, consider implementation of the following:
(1) Actively seek out opportunities to identify business contractors and suppliers that are owned by minority/women/persons with disabilities/LGBTQ/veterans and to expand source pools.
(2) Actively support the efforts of organizations experienced in promoting the interest of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses.
(3) Initiate business development partnerships (long-term), joint ventures or venture capital projects with minority/women/persons with disabilities/LGBTQ/veteran-owned businesses such as outsourcing agreements of noncore utility business functions when applicable to allow business expansion within the minority/women/persons with disabilities/LGBTQ/veteran-owned business community. Provide technical/management support (short-term) to ensure the success of this initiative.
(4) Work with minority/women/persons with disabilities/LGBTQ/veteran-owned business contractors to facilitate contracting relationships by explaining utility qualification requirements, bidding and contracting procedures, materials requirements, invoicing and payment schedules and other procurement practices and procedures.
The provisions of this § 69.808 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.808 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411131) to (411132).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); 52 Pa. Code § 69.802 (relating to definitions); and 52 Pa. Code § 69.804 (relating to contracting recommendations).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.809 Major telecommunications utility filings.
(a) The major telecommunications utilities are encouraged to file with the Secretary of the Commission an annual report describing their diversity program activity for the prior year. The annual report should contain the following elements:
(1) A copy of any corporate policy committed to improving diversity in the workplace and in the procurement process.
(2) A description of any training implemented on diversity initiatives in employment and in the contract of goods and services.
(3) The demographic composition of the major telecommunications utility’s workforce, reporting the number of employees by gender, race and ethnicity, persons with disabilities, and veterans on a form provided by the Commission.
(4) A description of any diversity recruiting strategies.
(5) A description of any diversity promotion efforts.
(6) A description of any diversity retention efforts.
(7) A brief description of any involvement with organizations promoting diversity.
(8) A brief summary of MBEs/WBEs that the major telecommunications utility contracts with for goods and services. Include percentage of dollars spent with MBEs/WBEs versus non-MBEs/non-WBEs.
(b) Information that is otherwise unobtainable to the major telecommunications utility, for example, prime contractor utilization of minority/women/persons with disabilities/LGBTQ/veteran-owned businesses as subcontractors, should be reported as unobtainable in the annual filings.
(c) Major telecommunications utilities that file annual reports with the Commission should file their respective annual reports confidentially in conformance with the filing specifications at § 1.32 (relating to filing specifications).
(d) Reporting of persons with disability and LGBTQ status should be confidential and voluntary on the part of the employee.
(e) If a major telecommunications utility files an annual report, the information and form filed shall be confidential.
The provisions of this § 69.809 amended under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.809 adopted March 24, 1995, effective March 25, 1995, 25 Pa.B. 1084; amended January 22, 2021, effective January 23, 2021, 51 Pa.B. 435; amended March 29, 2024, effective March 30, 2024, 54 Pa.B. 1670. Immediately preceding text appears at serial pages (411132) to (411133).
This section cited in 52 Pa. Code § 51.11 (relating to general); 52 Pa. Code § 51.12 (relating to definitions); and 52 Pa. Code § 69.802 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.901 Utility stock transfer under 66 Pa.C.S. § 1102(a)(3).
(a) Background.
(1) Commission jurisdiction over the acquisition or transfer of public utility property is governed by 66 Pa.C.S. § 1102(a)(3) (relating to enumeration of acts requiring certificate). The ambiguous language in 66 Pa.C.S. § 1102(a)(3) has historically caused considerable uncertainty among the Commission, its staff and the industry regarding what type of transaction requires Commission approval. This uncertainty has been particularly apparent regarding stock transfers which may equate to the transfer of utility property.
(2) Recently, the Commission has examined 66 Pa.C.S. § 1102(a)(3) and determined that the transfer of stock or other voting interest of a utility’s parent is jurisdictional regardless of the remoteness of the transaction if the effect of the transaction is to change the control of a utility. Joint Application of Commonwealth Telephone Company, et al., A-310800,F.0006, (October 22, 1993). Furthermore, the Commission has held that a transaction resulting in a change of the de facto controlling interest in a utility or its parent, regardless of the tier in the corporate organization, constitutes a change of control of the utility and is jurisdictional under 66 Pa.C.S. § 1102(a)(3). Joint Application of Paging Network of Pittsburgh, Inc. et al., A-330013,F.0005. In view of these Commission holdings, it is necessary to further define and establish clear standards regarding what transfer of voting interest constitutes a change in de facto control and thereby constitutes the transfer or acquisition of utility property within the intendment of 66 Pa.C.S. § 1102(a)(3).
(b) Policy.
(1) A transaction or series of transactions resulting in a new controlling interest is jurisdictional when the transaction or transactions result in a different entity becoming the beneficial holder of the largest voting interest in the utility or parent, regardless of the tier. A transaction or series of transactions resulting in the elimination of a controlling interest is jurisdictional when the transaction or transactions result in the dissipation of the largest voting interest in the utility or parent, regardless of the tier.
(2) For purposes of this section, a controlling interest is an interest, held by a person or a group acting in concert, which enables the beneficial holders to control at least 20% of the voting interest in the utility or its parent, regardless of the remoteness of the transaction. In determining whether a controlling interest is present, voting power arising from a contingent right shall be disregarded.
(3) Under this section, intrafamily transactions made with only nominal consideration do not constitute a change in de facto control of a utility. For purposes of this section, an intrafamily transaction is a transfer or acquisition of stock to or from a spouse, parent, sibling or direct descendent or to or from a trust which has permissible income or remainder beneficiaries which include the stockholder or the stockholder’s spouse, parent, sibling or direct descendent or to an estate pending distribution or to a guardian or attorney-in-fact acting on behalf of a stockholder.
The provisions of this § 69.901 adopted October 21, 1994, effective October 22, 1994, 24 Pa.B. 5328.
This section cited in 52 Pa. Code § 63.324 (relating to commission approval of a general rule transaction subject to 66 Pa.C.S. § § 1102(a)(3) and 1103); and 52 Pa. Code § 63.325 (relating to commission approval of a pro forma transaction subject to 66 Pa.C.S. § § 1102(a)(3) and 1103).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1101 Local land-use plans and ordinances in issuing certificates of public convenience.
To further the State’s goal of making State agency actions consistent with sound land-use planning, and under the act of June 22, 2000 (P. L. 483, No. 67) and the act of June 23, 2000 (P. L. 495, No. 68), the Commission will consider the impact of its decisions upon local comprehensive plans and zoning ordinances. This will include reviewing applications for:
(1) Certificates of public convenience.
(2) Siting electric transmission lines.
(3) Siting a public utility ‘‘building’’ under section 619 of the Municipalities Planning Code (53 P. S. § 10619).
(4) Other Commission decisions.
The provisions of this § 69.1101 adopted February 16, 2001, effective February 17, 2001, 31 Pa.B. 951.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1201 Factors and standards for evaluating litigated and settled proceedings involving violations of the Public Utility Code and Commission regulations—statement of policy.
(a) The Commission will consider specific factors and standards in evaluating litigated and settled cases involving violations of 66 Pa.C.S. (relating to Public Utility Code) and this title. These factors and standards will be utilized by the Commission in determining if a fine for violating a Commission order, regulation or statute is appropriate, as well as if a proposed settlement for a violation is reasonable and approval of the settlement agreement is in the public interest.
(b) Many of the same factors and standards may be considered in the evaluation of both litigated and settled cases. When applied in settled cases, these factors and standards will not be applied in as strict a fashion as in a litigated proceeding. The parties in settled cases will be afforded flexibility in reaching amicable resolutions to complaints and other matters so long as the settlement is in the public interest. The parties to a settlement should include in the settlement agreement a statement in support of settlement explaining how and why the settlement is in the public interest. The statement may be filed jointly by the parties or separately by each individual party.
(c) The factors and standards that will be considered by the Commission include the following:
(1) Whether the conduct at issue was of a serious nature. When conduct of a serious nature is involved, such as willful fraud or misrepresentation, the conduct may warrant a higher penalty. When the conduct is less egregious, such as administrative filing or technical errors, it may warrant a lower penalty.
(2) Whether the resulting consequences of the conduct at issue were of a serious nature. When consequences of a serious nature are involved, such as personal injury or property damage, the consequences may warrant a higher penalty.
(3) Whether the conduct at issue was deemed intentional or negligent. This factor may only be considered in evaluating litigated cases. When conduct has been deemed intentional, the conduct may result in a higher penalty.
(4) Whether the regulated entity made efforts to modify internal practices and procedures to address the conduct at issue and prevent similar conduct in the future. These modifications may include activities such as training and improving company techniques and supervision. The amount of time it took the utility to correct the conduct once it was discovered and the involvement of top-level management in correcting the conduct may be considered.
(5) The number of customers affected and the duration of the violation.
(6) The compliance history of the regulated entity which committed the violation. An isolated incident from an otherwise compliant utility may result in a lower penalty, whereas frequent, recurrent violations by a utility may result in a higher penalty.
(7) Whether the regulated entity cooperated with the Commission’s investigation. Facts establishing bad faith, active concealment of violations, or attempts to interfere with Commission investigations may result in a higher penalty.
(8) The amount of the civil penalty or fine necessary to deter future violations. The size of the utility may be considered to determine an appropriate penalty amount.
(9) Past Commission decisions in similar situations.
(10) Other relevant factors.
The provisions of this § 69.1201 adopted December 21, 2007, effective December 22, 2007, 37 Pa.B. 6755 .
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1401 Guidelines for determining public utility status—statement of policy.
(a) Coverage. This section applies to all utility projects or services, including alternative energy systems.
(b) Purpose. This section provides guidance to developers of all utility projects or services, including developers of alternative energy systems under the Alternative Energy Portfolio Standards Act (73 P. S. § § 1648.1—1648.8), in facilitating the design of projects and business plans.
(c) Fact based determination. The Commission will consider the status of a utility project or service based on the specific facts of the project or service and will take into consideration the following criteria in formulating its decision:
(1) The service being provided by the utility project is merely incidental to nonutility business with the customers which creates a nexus between the provider and customer.
(2) The facility is designed and constructed only to serve a specific group of individuals or entities, and others cannot feasibly be served without a significant revision to the project.
(3) The service is provided to a single customer or to a defined, privileged and limited group when the provider reserves its right to select its customers by contractual arrangement so that no one among the public, outside of the selected group, is privileged to demand service, and resale of the service is prohibited, except to the extent that a building or facility owner/operator that manages the internal distribution system serving the building or facility supplies electric power and related electric power services to occupants of the building or facility. See 66 Pa.C.S. § § 102 and 2803 (relating to definitions).
(d) Contractual language permitting modifications. The Commission will not deem a utility project or service that satisfies the criteria under subsection (c) to be a public utility based solely on the fact that the relevant contractual provisions between the utility service provider or project developer and end-user customers permit:
(1) The utility service provider or project developer to substitute customers or to rearrange the project.
(2) The service provider or utility project developer to revise the customer group as a result of a material change in circumstances, including an instance when the actual output from the project proves to be materially less than or greater than projected levels.
(e) Modification of project or service. Implementation of contractual provisions that result in an actual increase in the original customer number, an actual alteration to the nature of the relationship between the project developer and the original customer group, an alteration to the select nature of the original customer group or other material change in regard to the original customer group may result in a change to the nonpublic utility status of the utility project or service.
(f) Chief Counsel opinion letter. A project developer may request informal advice from the Chief Counsel regarding the jurisdictional status of a utility project or service. The opinion of counsel letter will be issued under § 1.96 (relating to unofficial statements and opinions by Commission personnel).
(1) A request for opinion of counsel letter must be directed to the Commission’s Chief Counsel and contain the facts necessary to render an opinion as to the jurisdictional status of the utility project or service. The opinion will be based solely on the facts provided and limited to the facts stated in the request.
(2) The Chief Counsel will file a copy of the opinion of counsel letter with the Commission’s Secretary. The copy of the opinion of counsel letter will be filed at Docket No. M-00051865 F.0002 and will constitute constructive notice of the utility project or service that is the subject of the opinion. The Commission will publish public notice of the issuance of the letter in the Pennsylvania Bulletin. Opinion of counsel letters filed at the previous docket number will be available for public access upon request.
(3) The act of requesting an opinion of counsel letter may be considered as evidence of a good faith effort to operate in accordance with the law by the project developer of a utility project or service and may be considered as a mitigating factor in imposition of fines and penalties in future complaint proceedings alleging de facto public utility operations.
(4) A change in the nature or scope of the operation of the utility project or service may result in a change in the informal advice rendered by an opinion of counsel letter. When a change occurs in the facts stated in the request, a project developer may not rely on the existing Chief Counsel opinion letter but the project developer may request a supplemental Chief Counsel opinion letter.
(g) Notice and disclosure statement. A utility service provider or project developer may voluntarily file with the Commission’s Secretary a notice and disclosure statement describing the nature and scope of the operation of a utility project or service with an assertion of its nonpublic utility status.
(1) Information that will allow for a determination to be made as to the jurisdictional status of the utility project or service, including its location, capacity output and the projected number of customers served, should be provided in the notice and disclosure statement. The reasons that the utility project or service does not constitute a public utility facility or provide public utility service should be explained with reference to the criteria presented in this section.
(2) The notice and disclosure statement will be filed at Docket No. M-00051865 F.0002 and will be available for public access upon request. The Commission will publish public notice of the filing in the Pennsylvania Bulletin. The filed notice and disclosure statement will constitute constructive notice of the asserted nonpublic utility status of the utility project or service.
(3) The act of voluntarily filing a notice and disclosure of nonpublic utility status may be considered as evidence of a good faith effort to operate in accordance with the law by the project developer of a utility service or utility service provider and may be considered as a mitigating factor in imposition of fines and penalties in future complaint proceedings alleging de facto public utility operations.
(4) A notice and disclosure statement of nonpublic utility status may be amended to report a change in the nature or operation of the utility project or service that may affect its jurisdictional status. An amended notice and disclosure statement should be filed with the Commission’s secretary as soon as practicable after a change takes place.
The provisions of this § 69.1401 adopted January 5, 2007, effective January 6, 2007, 37 Pa.B. 29.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1501 General scope and purpose.
(a) Water public utilities.
The coordination and consistent application of safe, adequate and reliable fire protection service offers a tremendous benefit to public safety, emergency fire protection organizations and associated personnel. Safe, reasonable and adequate regulated fire protection service offerings are a matter of utmost concern to the Commission. The policies and recommendations in this policy statement are intended to provide water public utilities with a guideline of the recommended actions and level of public fire protection service and system hydraulic monitoring that the Commission considers reasonable. The Commission may consider a water public utility’s effort to meet the recommendations in this policy statement when determining just and reasonable rates for the water public utility.
(b) Class A water public utilities.
Fire protection services are often provided by Class A water public utilities. In providing fire protection services, a Class A water public utility should operate with a sophisticated level of technical expertise including the use of modern water industry tools such as computerized hydraulic modeling software.
The provisions of this § 69.1501 added under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.1501 added March 29, 2024, effective March 30, 2024, 54 Pa.B. 1675.
This section cited in 52 Pa. Code § 69.1502 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1502 Definitions.
The following words and terms, when used in § § 69.1501—69.1504 (relating to public fire protection service and system hydraulic monitoring—statement of policy), have the following meanings, unless the context clearly indicates otherwise: Class A water public utility—A water public utility that is a ‘‘Class A water utility’’ as defined in § 56.2 (relating to definitions). Computerized hydraulic model—A computer-based mathematical simulation used to predict the performance of a water system. Discrete system—A stand-alone pipe network with boundaries that encompass all sources of water and endpoints. Fire hydrant—An above-ground, valved connection to a water distribution system having one or more outlets that is used to supply water for fire suppression. Fire protection connection—The pipes and appurtenances owned or operated by a water public utility extending from a water supply main to a designated location, either adjacent to or within a structure or structures equipped with automatic fire sprinklers or other fire suppression devices or systems or to a fire hydrant, through which supplemental water is used to supply water for fire suppression or extinguishment. Fire protection service—The provision of the necessary facilities and the completion of certain activities to include the required maintenance by a water public utility related to the supply of water to a customer or the public for the purpose of fire suppression or extinguishment. Flushing hydrant—An above-ground, valved connection to a water distribution system having one or more outlets that is used for flushing a water line of detritus material or stagnant water. Water public utility—The term includes any of the following definitions:
(1) A ‘‘public utility’’ as defined in 66 Pa.C.S. § 102 (relating to definitions).
(2) An ‘‘authority’’ as defined in 66 Pa.C.S. § 3201 (relating to definitions).
(3) A ‘‘municipal corporation’’ as defined in 66 Pa.C.S. § 102, to the extent its extraterritorial water service and rates are regulated by the Commission.
The provisions of this § 69.1502 added under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.1502 added March 29, 2024, effective March 30, 2024, 54 Pa.B. 1675.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1503 Fire protection service afforded by current system design.
(a) A water public utility’s operating procedures and best practices related to fire protection service should be maintained within this Commonwealth at an office or offices of the water public utility located in the territory served by it and should be open for examination by the Commission.
(b) A water public utility’s operating procedures and best practices related to fire protection service should include all of the following:
(1) A determination, based on a definable methodology or standard, or both, of operating characteristics such as minimum flow, pressure and duration of flow and pressure that the water public utility will consider its minimum operating characteristics by which it will provide fire protection service. These predetermined minimum operating characteristics should be applied to all fire protection connections.
(2) A fire hydrant testing and maintenance program to ensure that all fire hydrants owned or operated by a water public utility within a discrete system are tested and exercised on a specified schedule as determined operationally and economically feasible by the water public utility. A water public utility may encourage customers with private fire hydrants to test and exercise their private fire hydrants.
(3) A method to clearly mark and identify each fire protection connection found not to be providing service at the water public utility’s minimum operating characteristics for fire protection connections.
(4) An estimated schedule to remove, remediate or replace a fire protection connection found not to be providing service at the water public utility’s minimum operating characteristics for fire protection service. Where the water public utility determines a fire hydrant does not provide service at the minimum operating characteristics for fire protection service and may serve a useful purpose as a flushing hydrant, the water public utility can mark the fire hydrant as such, either permanently or until the hydrant can be removed, remediated or replaced.
(5) A written notification process to affected customers and local jurisdictions that may include property owners, the municipality and the local fire department of the location of any fire protection connection found not to be providing service at the water public utility’s minimum operating characteristics.
(c) In conjunction with its obligations under § 65.4 (relating to records), a water public utility that provides fire protection service should update its maps, plans and records to include the location of and, if feasible, the last known operating characteristics of all fire protection connections.
(d) In conjunction with its obligations under 66 Pa.C.S. § 505 (relating to duty to furnish information to commission; cooperation in valuing property) a water public utility should, as part of an acquisition due diligence process, analyze and estimate the level of capital expenditures and associated time frames for a water public utility to remediate, repair, or both, a water system required to bring the fire protection service up to at least the water public utility’s minimum operating characteristics.
The provisions of this § 69.1503 added under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.1503 added March 29, 2024, effective March 30, 2024, 54 Pa.B. 1675.
This section cited in 52 Pa. Code § 69.1502 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1504 Hydraulic distribution system modeling recommended for fire protection.
(a) A Class A water public utility should develop and implement a plan to create, use and maintain a computerized hydraulic model for each discrete system as hydraulic distribution system modeling is a valuable aide in forecasting system capabilities under varying operational conditions.
(b) The plan should address all of the following:
(1) A determination of the minimum water system size, based upon the complexity of the distribution pipe network and water service requirements, that should have a model.
(2) An identification of the commercially available hydraulic modeling software to be used.
(3) A description of how data from the public utility’s other informational databases and systems can be integrated into the computerized hydraulic model, including geographic information systems, supervisory control and data acquisition systems, and customer information systems.
(4) A schedule by which the computerized hydraulic model will be calibrated, updated and maintained to ensure the accuracy is sufficient to reasonably predict a discrete system’s operational behavior to a determined level of accuracy set by the water public utility.
The provisions of this § 69.1504 added under 66 Pa.C.S. § § 501, 505, 506 and 512.
The provisions of this § 69.1504 added March 29, 2024, effective March 30, 2024, 54 Pa.B. 1675.
This section cited in 52 Pa. Code § 69.1502 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1601 General.
(a) The purpose of this statement of policy is to provide guidance to the water industry relating to unscheduled water service interruptions, particularly regarding the types of public notice and associated actions that will be deemed acceptable and appropriate for meeting the safe, reasonable and adequate standard in 66 Pa.C.S. § 1501 (relating to character of service and facilities) and for complying with the Commission’s regulation in § 56.71 (relating to interruption of service). It is imperative that affected ratepayers/occupants receive actual, timely and sufficient notice of unscheduled service interruptions whenever a situation affects water quality or quantity and particularly when the water is unsafe to drink.
(b) Affected ratepayers/occupants should be notified when 2,500 or 5%, whichever is less, of a utility’s total ratepayers/occupants have an unscheduled service interruption involving any reduction in the quantity of water in a single incident of 6 or more consecutive hours. Timely notification of fewer customers, however, is recommended when practicable. When there is an unscheduled service interruption involving the quality of water, water utilities should follow the applicable Department of Environmental Protection regulations regarding the public notification requirements for events requiring Tier 1 notification under 25 Pa. Code § 109.408(b) (relating to Tier 1 public notice—form, manner and frequency of notice), or Tier 2 notification under 25 Pa. Code § 109.409(b). Timely notification of customers in other incidents affecting the quantity or quality of water, such as water in short supply, discolored or sediment-laden, however, is recommended when practicable. It is also recommended that utilities set as a goal the Tier 1 time frame of ‘‘as soon as possible’’ rather than ‘‘no later than 24 hours’’ and the Tier 2 time frame of ‘‘as soon as possible’’ rather than ‘‘but no later than 30 days.’’
(c) This statement of policy should not be considered to modify or replace in any way the public notice requirements of the Department of Environmental Protection found in 25 Pa. Code § § 109.407—109.416 (relating to public notification).
The provisions of this § 69.1601 adopted December 15, 2006, effective December 16, 2006, 36 Pa.B. 7624.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1602 Public notification guidelines.
(a) Acceptable methods of public notification. In the event of an unscheduled water service interruption, the following acceptable methods of public notification should be considered and utilized as appropriate:
(1) Mass media. Facsimile/electronic mail notification to local radio and television stations, cable systems, newspapers and other print and news media as soon as possible after the event occurs. These notifications must provide relevant information about the event, such as the affected locations, its potential impact including the possible duration of the outage, the possible adverse health effects and the population or subpopulation particularly at risk, and a description of actions affected ratepayers/occupants should take to ensure their safety, with updates as often as needed. Updates should be provided on a predictable, regular schedule for the duration of the event. The Commission’s Office of Communications and Lead Emergency Preparedness Liaison Officer should also receive these notifications.
(2) Web site. Use of the utility’s own Internet web site and 24/7 emergency phone line and integrated voice response system to provide relevant information about the event, such as the affected locations, estimated duration, its potential impact including possible adverse health effects and the population or subpopulation particularly at risk, and a description of actions affected ratepayers/occupants should take to ensure their safety, with updates as often as needed. A section of the utility’s web site shall be dedicated to presenting outage information where regular updates of the number of customers without service by geographic area and estimated restoration times are available. Depending on the utility’s system limitations, this could be as simple as a PDF or spreadsheet file of information that is updated at regular intervals.
(3) Automated dialer system. Automated dialer system (outbound dialing) notification to affected ratepayers’/occupants’ landline or wireless phones. Updates should be provided at regular intervals or if the estimated restoration time changes by more than 2 hours.
(4) Actual notice. Actual notice to affected health care and child care facilities and other facilities, for example, schools and restaurants, as determined by consultation with the Department of Environmental Protection, the Department of Agriculture, the Department of Health, the Department of Aging and other State agencies as necessary.
(5) Miscellaneous. Other types of direct or actual notice, such as doorknob flyers distributed to affected ratepayers/occupants, when feasible.
(6) Electronic mail and other emerging technology. Electronic mail and text message notification to affected customers who have opted to receive notice through use of these methods. The use of emerging technology such as social media is strongly encouraged.
(7) Emergency alert system. Coordination with State and local emergency management agencies as needed to use the emergency alert system for qualifying situations.
(b) NIMS standards. Utilities should strive to follow the National Incident Management System (NIMS) and its Public Information System to organize all information throughout the utility into one unified message.
(1) Crisis communication plans. Utility crisis communication plans should be in writing and every attempt should be made to be consistent with Nationally-approved NIMS standards.
(2) Coordination. If more than one utility is affected in the same geographic region, strong consideration should be given to implementing the NIMS based Joint Information System/Joint Information Center, including coordinating messages on safety and other consumer information tips during outages. This would allow for coordination and integration of information across jurisdictions, especially on universal messages such as actions residents should take to ensure safety.
(3) Public notice templates. Utilities should have public notice templates prepared in advance to be available when needed to avoid wasting critical time developing materials when confronted with an unscheduled service interruption or emergency situation. The notices should cover all possible scenarios from water conservation to boil water alerts to contaminants of concern and associated health effects, safety and shelter information, estimated restoration times and times when updated information will be provided. Smaller utilities can refer to resources that are available on the web sites of the Department of Environmental Protection, the United States Environmental Protection Agency, the Pennsylvania Section of the American Water Works Association and the Pennsylvania Chapter of the National Association of Water Companies for assistance in developing public notice templates.
(c) Contact information. To ensure that the public is informed, utilities should have a knowledgeable contact person stationed onsite during the emergency, if possible, to communicate to the public and media on behalf of the company. Regular media updates should be scheduled at predictable times.
(1) Spokesperson. A single point of contact should be established as the sole media spokesperson for the utility for that time period. During extended outages, a secondary media spokesperson could be utilized as the sole contact for a specific period of time.
(2) Talking points and informational sheets. Talking points or informational sheets should be provided to customer service representatives and others who may come in contact with the public during the course of the outage to strive toward consistency of message. This information should also be shared with the Commission’s Office of Communications, its Emergency Preparedness Coordinator and county emergency management agencies. For employees that may have contact with the public but will not be able to receive up-to-date outage information in the course of their duties, the utility should instruct those employees to direct the public to appropriate information sources.
The provisions of this § 69.1602 adopted December 15, 2006, effective December 16, 2006, 36 Pa.B. 7624; amended February 24, 2012, effective February 25, 2012, 42 Pa.B. 1034; amended April 18, 2014, effective April 19, 2014, 44 Pa.B. 2405. Immediately preceding text appears at serial pages (360591) to (360593).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1603 Other associated actions.
(a) Water utilities need to make reasonable efforts to ensure that adequate quantities of alternative supplies of water essential for domestic use are made available in a sufficient number of conspicuous and predetermined locations relative to the number of ratepayers/occupants affected by the incident. This includes the use of water tankers or free bottled water, or both. Utilities should ensure that ratepayers/occupants are adequately notified of the times available and locations of alternative water supplies. When bottled water is used, utilities should have plans in place, based on prior coordination with local vendors, to have adequate supplies to last for the duration of the outage. The Commission encourages utilities to work proactively with community-based organizations that would have readily available information on the location and special needs of affected elderly or homebound ratepayers/occupants in the area.
(b) Notice should be made to Commission personnel as soon as possible upon a utility becoming aware of an unscheduled service interruption. It should be noted that § 67.1(c) (relating to general provisions) already directs utilities to contact the Commission within 1 hour following preliminary assessment of conditions. Furthermore, jurisdictional utilities should maintain lists of appropriate Commission contact personnel, including current after-hour contact numbers.
The provisions of this § 69.1603 adopted December 15, 2006, effective December 16, 2006, 36 Pa.B. 7624.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1701 Scope.
This section and § 69.1702 (relating to notification guidelines) provide guidelines to the natural gas distribution market regarding the restoration practices of service.
The provisions of this § 69.1701 adopted February 24, 2012, effective February 25, 2012, 42 Pa.B. 1034.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1702 Notification guidelines.
(a) Acceptable methods of public notification. In the event of a service interruption, the following acceptable methods of public notification should be considered and utilized as appropriate:
(1) Mass media. Facsimile/electronic mail notification to local radio and television stations, cable systems, newspapers and other print and news media as soon as possible after the event occurs. These notifications must provide relevant information about the event, such as the affected locations, its potential impact including the possible duration of the outage, and a description of actions affected ratepayers/occupants should take to ensure their safety, with updates as often as needed. Updates should be provided on a predictable, regular schedule for the duration of the event. The Commission’s Office of Communications and Lead Emergency Preparedness Liaison Officer should also receive these notifications.
(2) Web site. Use of the utility’s own Internet web site, emergency phone line and integrated voice response system to provide relevant information about the event, such as the affected locations, its potential impact and estimated duration, and a description of actions affected ratepayers/occupants should take to ensure their safety, with updates as often as needed. A section of the utility’s web site shall be dedicated to presenting outage information where regular updates of the number of customers without service by geographic area and estimated restoration times are available. Depending on natural gas distribution company (NGDC) system limitations, this could be as simple as a PDF or spreadsheet file of information that is updated at regular intervals.
(3) Automated dialer system. Automated dialer system (outbound dialing) notification to affected ratepayers’/occupants’ landline or wireless phones. Updates should be provided at regular intervals or if the estimated restoration time changes by more than 2 hours.
(4) Miscellaneous. Other types of direct or actual notice, such as doorknob flyers distributed to affected ratepayers/occupants with actions affected ratepayers/occupants should take to ensure their safety, when feasible.
(5) Electronic mail and other emerging technology. Electronic mail and text message notification to affected customers who have opted to receive notice through use of these methods. The use of emerging technology such as social media is strongly encouraged.
(6) Emergency alert system. Coordination with State and local emergency management agencies as needed to use the emergency alert system for qualifying situations.
(b) NIMS standards. Utilities should strive to follow the National Incident Management System (NIMS) and its public information system to organize all information throughout the utility into one unified message.
(1) Crisis communication plans. NGDC crisis communications plans should be in writing and every attempt should be made to be consistent with Nationally-approved NIMS standards. NGDCs required to have written emergency plans under United States Department of Transportation regulations should also be familiar with NIMS standards so that NGDCs will be able to coordinate and respond under this paragraph and paragraphs (2) and (3).
(2) Coordination. If more than one NGDC is affected in the same geographic region, strong consideration should be given to implementing the NIMS based Joint Information System/Joint Information Center, including coordinating messages on safety and other consumer information tips during outages. This would allow for coordination and integration of information across jurisdictions, especially on universal messages such as actions residents should take to ensure safety.
(3) Public notice templates. NGDCs should have public notice templates prepared in advance to be available when needed to avoid wasting critical time developing materials when confronted with an unscheduled service interruption or an emergency situation. The notices should cover many possible scenarios from safety and shelter information, estimated restoration times and times when updated information will be provided.
(c) Contact information. To ensure that the public is informed, if possible, utilities should consider having a knowledgeable contact person stationed in the area of the outage, if possible, during the emergency to communicate to the public and media on behalf of the company. Regular media updates should be scheduled at predictable times.
(1) Spokesperson. A single point of contact should be established as the sole media spokesperson for the utility for that time period. During extended outages, a secondary-media spokesperson could be utilized as the sole contact for a specific period of time.
(2) Talking points and informational sheets. Talking points or informational sheets should be provided to customer service representatives and others who may come in contact with the public during the course of the outage to strive toward consistency of message. This information should also be shared with the Commission’s Office of Communications, its Emergency Preparedness Coordinator and county emergency management agencies. For employees that may have contact with the public but will not be able to receive up-to-date outage information in the course of their duties, the utility should instruct those employees to direct the public to appropriate information sources.
The provisions of this § 69.1702 adopted February 24, 2012, effective February 25, 2012, 42 Pa.B. 1034; amended April 18, 2014, effective April 19, 2014, 44 Pa.B. 2405. Immediately preceding text appears at serial pages (360594) to (360596).
This section cited in 52 Pa. Code § 69.1701 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1801 Scope.
Sections 69.1802—69.1817 provide guidelines to default service providers regarding the acquisition of electric generation supply, the recovery of associated costs and the integration of default service with competitive retail electric markets.
The provisions of this § 69.1801 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1802 Purpose.
(a) The Commission has adopted regulations governing the default service obligation in § § 54.181—54.189 (relating to default service), as required by 66 Pa.C.S. § 2807(e) (relating to duties of electric distribution companies). The regulations address the elements of a default service regulatory framework. The goal of the default service regulations is to ensure that each DSP provides default service customers with adequate and reliable service at the least cost to customers over time. This goal can be accomplished by structuring default service in a way that brings competitive market discipline to historically regulated markets and by encouraging the entry of new retail and wholesale suppliers. Greater diversity of suppliers will benefit ratepayers and the Commonwealth. However, those rules are not designed to resolve every possible issue relating to the acquisition of electric generation supply, the recovery of reasonable costs, the conditions of service and the relationship with the competitive retail market.
(b) The Commission is very cognizant of the practical limits of regulating large, complex markets. Changes in Federal or State law, improvements in tech-nology, and developments in wholesale energy markets may render obsolete any all-inclusive regulatory approach to this Commonwealth’s retail electric market.
(c) The Commission has devised an approach that will allow this Commonwealth to adapt to changes in energy markets and the regulatory environment. The regulations in Chapter 54 (relating to electricity generation customer choice) will serve as a general framework for default service and provide an appropriate measure of regulatory certainty for ratepayers and market participants. This section and § § 69.1801 and 69.1803—69.1817 will provide guidelines on those matters when a degree of flexibility is required to respond effectively to regulatory and market challenges. The Commission anticipates that the initial guidelines will be applied to the first set of default service plans following expiration of the generation rate caps, and that the guidelines will be reevaluated prior to the filing of subsequent default service plans.
The provisions of this § 69.1802 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019; amended February 24, 2012, effective February 25, 2012, 42 Pa.B. 1044. Immediately preceding text appears at serial pages (330091) to (330092).
This section cited in 52 Pa.Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1803 (relating to definitions); and 52 Pa. Code § 69.1807 (relating to competitive bid solicitation processes).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1803 Definitions.
The following words and terms, when used in this section and § § 69.1801, 69.1802 and 69.1804—69.1817, have the following meanings, unless the context clearly indicates otherwise: Alternative energy portfolio standards—A requirement that a certain percentage of electric energy sold to retail customers in this Commonwealth by EDCs and EGSs be derived from alternative energy sources, as defined in the Alternative Energy Portfolio Standards Act (73 P. S. § § 1648.1—1648.8). Bilateral contract—The term has the same meaning as defined in 66 Pa.C.S. § 2803 (relating to definitions). Competitive bid solicitation process—A fair, transparent and nondiscriminatory process by which a DSP awards contracts for electric generation to qualified suppliers who submit the lowest bids. DSP—Default service provider—The term has the same meaning as defined in 66 Pa.C.S. § 2803. Default service—Electric generation supply service provided pursuant to a default service program to a retail electric customer not receiving service from an EGS. Default service implementation plan—The schedule of competitive bid solicitations and spot market purchases, technical requirements and related forms and agreements. Default service procurement plan—The electric generation supply acquisition strategy the DSP will utilize in satisfying its default service obligations, including the manner of compliance with the alternative energy portfolio standards requirement. Default service program—A filing submitted to the Commission by the DSP that identifies a procurement plan, an implementation plan, a rate design to recover all reasonable costs and all other elements identified in § 54.185 (relating to default service programs and periods of service). EDC—Electric distribution company—The term has the same meaning as defined in 66 Pa.C.S. § 2803. EGS—Electric generation supplier—The term has the same meaning as defined in 66 Pa.C.S. § 2803. Maximum registered peak load—The highest level of demand for a particular customer, based on the PJM Interconnection, LLC, ‘‘peak load contribution standard,’’ or its equivalent, and as may be further defined by the EDC tariff in a particular service territory. PTC—Price-to-compare—A line item that appears on a retail customer’s monthly bill for default service. The PTC is equal to the sum of all unbundled generation and transmission related charges to a default service customer for that month of service. RTO—Regional transmission organization—A Federal Energy Regulatory Commission (FERC)-approved regional transmission organization. Retail customer or retail electric customer—These terms have the same meaning as defined in 66 Pa.C.S. § 2803. Spot market energy purchase—The purchase of an electric generation supply product in a FERC-approved real time or day ahead energy market.
The provisions of this § 69.1803 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019; amended February 24, 2012, effective February 25, 2012, 42 Pa.B. 1044. Immediately preceding text appears at serial pages (330092) to (330093).
This section cited in 52 Pa. Code § 69.1801 (relating to scope); and 52 Pa. Code § 69.1802 (relating to purpose).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1804 Default service program terms and filing schedules.
The default service regulations provide for a standard initial program term of 2 to 3 years. Initial programs may vary from this standard to comply with the applicable RTO planning year. Subsequent programs should be for 2 years, unless otherwise directed by the Commission. The Commission will monitor developments in wholesale or retail markets and revisit this issue as appropriate. The Commission may revise the duration of the standard program term and program filing schedules based on market developments.
The provisions of this § 69.1804 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1805 Electric generation supply procurement.
A proposed procurement plan should balance the goals of allowing the development of a competitive retail supply market and also including a prudent mix of arrangements to minimize the risk of over-reliance on any energy products at a particular point in time. In developing a proposed procurement plan, a DSP should consider including a prudent mix of supply-side and demand-side resources such as long-term, short-term, staggered-term and spot market purchases to minimize the risk of contracting for supply at times of peak prices. Short-term contracts are contracts up to and including 4 years in length. Long-term contracts are contracts more than 4 years in length but not more than 20 years. Long-term contracts of more than 4 years in length but not more than 20 years should not constitute more than 25% of the DSP’s projected load unless the Commission determines that a greater portion of load is necessary to achieve least cost procurement. The plan should be tailored to the following customer groupings, but DSPs may propose alternative divisions of customers by registered peak load to preserve existing customer classes.
(1) Residential customers and nonresidential customers with less than 25 kW in maximum registered peak load. Initially, the DSP should acquire electric generation supply for these customers using a prudent mix of resources as described in the introductory paragraph to this section. Contracts should be laddered to minimize risk, in which a portion of the portfolio changes at least annually, with a minimum of two competitive bid solicitations a year to further reduce the risk of acquisition at a time of peak prices. In subsequent programs, the mix percentage of supply acquired through long-term and short-term contracts and spot market purchases should be adjusted, depending on developments in retail and wholesale energy markets to ensure least cost to customers.
(2) Nonresidential customers with 25—500 kW in maximum registered peak load. The DSP should acquire electric generation supply for these customers using a mix of resources as described in the introductory paragraph to this section. Fixed-term contracts may be laddered to minimize risk, with a minimum of two competitive bid solicitations a year to further reduce the risk of acquisition at a time of peak prices. In subsequent programs, the mix percentage of supply acquired through long-term and short-term contracts and spot market purchases should be adjusted, depending on developments in retail and wholesale energy markets to ensure least cost to customers.
(3) Nonresidential customers with greater than 500 kW in maximum registered peak load. Hourly priced or monthly-priced service should be available to these customers. The DSP may propose a fixed-price option for the Commission’s consideration.
The provisions of this § 69.1805 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019; amended February 24, 2012, effective February 25, 2012, 42 Pa.B. 1044. Immediately preceding text appears at serial pages (330093) to (330094).
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1806 Alternative energy portfolio standard compliance.
In procuring electric generation supply for default service customers, the DSP shall comply with the Alternative Energy Portfolio Standards Act (73 P. S. § § 1648.1—1648.8) and 66 Pa.C.S. § 2814 (relating to additional alternative energy sources).
The provisions of this § 69.1806 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019; amended February 24, 2012, effective February 25, 2012, 42 Pa.B. 1044. Immediately preceding text appears at serial page (330095).
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1807 Competitive bid solicitation processes.
The following guidelines will apply to competitive bid solicitation processes:
(1) DSPs should use standardized request for proposal documents and supplier master agreements approved by the Commission for use in the default service procurements. The Commission will review these documents and agreements on a regular basis and revise them when appropriate after consultation with stakeholders. Revisions to these documents will not be applied retroactively to existing contracts.
(2) The public interest would be served by the adoption of uniform criteria and processes for bidder qualification.
(3) Competitive bid solicitations should be structured along customer classes, consistent with the groupings identified in § 69.1805 (relating to electric generation supply procurement). Bids should be solicited for tranches of load within each customer class. Slice of system bid designs should not be utilized. However, DSPs may allow individual tranches to be stratified by soliciting separate bid prices for residential, commercial and industrial segments when there are too few customers to organize tranches along the groupings identified in § 69.1805.
(4) The Commission finds that a clearly optimal bid solicitation model does not exist at the current stage of wholesale market development. DSPs may utilize various competitive bid solicitation approaches, including request for proposals that result in the submission of sealed bids and real time auctions in which energy suppliers compete with each other for tranches of customer load.
(5) DSPs are encouraged to coordinate their competitive bidding solicitation schedules to minimize conflicts that might negatively affect the ability of suppliers to participate in multiple procurements. DSPs should coordinate their bid conferences and bidding dates to facilitate bid participation and economies of scale, yet also providing opportunities for additional wholesale bidding over reasonable time intervals.
(6) The Commission’s objective is to review the results of competitive bidding processes in a manner sensitive to market dynamics but that also allows it to discharge its statutory obligations. The Commission recognizes that bid prices may be negatively affected by the length of time taken for Commission review. In the default service regulations, the Commission has reserved a period of 1 business day to review the results of competitive procurements. As retail and wholesale markets mature, and as other appropriate safeguards become available, the Commission may elect to reduce the amount of time it uses to review bidding results.
(7) The public interest would be served by the adoption of uniform rules for the confidentiality of competitive solicitation information. Supplier participation, bid prices and retail rates may be impacted by protecting certain information, including, the identity of winning and losing bidders, the number of bids submitted, bid prices, the allocation of load among winning bidders, and the like. At the same time, the Commission recognizes that there is a legitimate public interest in knowing some of this information when there is no possibility of any prejudice to ratepayer interests.
(8) The competitive bid solicitation process will be monitored by an independent evaluator. The Commission may direct that this evaluator administer competitive bid solicitations to ensure the independence of the process. This independent party will be selected by the DSP in consultation with the Commission. The DSP may not have an ownership interest in the evaluator, and vice versa, and the DSP should disclose any potential conflicts of interest on the part of the evaluator during this consultation process. The Commission will review conflicts of interest and may disqualify an evaluator to ensure the independence of the position. The evaluator should have an expertise in the analysis of wholesale energy markets, including methods of energy procurement. The evaluator should monitor compliance with Commission orders relating to a default service program, confidentiality agreements and other directives. The evaluator should report all information it obtains to the Commission.
(9) Wholesale energy suppliers may include a significant risk premium in their competitive bids to hedge against changes in transmission rates during the term of a default service supply contract. The public interest would be served by consideration of mechanisms that allow for the tracking and automatic adjustment of transmission rates during the term of the default service supply contract in order to reduce this premium.
The provisions of this § 69.1807 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1808 Default service cost elements.
(a) The PTC should be designed to recover all generation, transmission and other related costs of default service. These cost elements include:
(1) Wholesale energy, capacity, ancillary, applicable RTO or ISO administrative and transmission costs.
(2) Congestion costs will ultimately be recovered from ratepayers. Congestion costs should be reflected in the fixed price bids submitted by wholesale energy suppliers.
(3) Supply management costs, including supply bidding, contracting, hedging, risk management costs, any scheduling and forecasting services provided exclusively for default service by the EDC, and applicable administrative and general expenses related to these activities.
(4) Administrative costs, including billing, collection, education, regulatory, litigation, tariff filings, working capital, information system and associated administrative and general expenses related to default service.
(5) Applicable taxes, excluding Sales Tax.
(6) Costs for alternative energy portfolio standard compliance.
(b) EDC rates should be scrutinized for any generation related costs that remain embedded in distribution rates. This review should occur no later than the next distribution rate case for each EDC filed after September 15, 2007. The Commission may initiate a cost allocation case for an EDC on its own motion if such a case is not initiated by December 31, 2007. Changes to rates resulting from the examination would take effect after the expiration of Commission-approved rate caps.
The provisions of this § 69.1808 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1809 Interim price adjustments and cost reconciliation.
(a) Consistent with the default service regulations, default service rates, and correspondingly the PTC, may not be adjusted more frequently than on a quarterly basis for residential and small business customers to reflect changes in and ensure the recovery of reasonable costs resulting from changes in wholesale energy prices or other costs from the introduction of new, differently priced energy supply products to the DSP’s portfolio, and to correct the under and over collection of costs. This PTC adjustment may be driven by changes in spot market prices, the use of laddered contracts, the use of seasonal rate design, and the like.
(b) The public interest may be served if default service and alternative energy compliance costs and the revenues received through default service rates are reconciled as part of the PTC adjustment process. Reconciliation would ensure that DSPs fully recover their actual, incurred costs without requiring customers to pay more than is required. The PTC adjustment will therefore also reflect changes required due to the reconciliation of costs and revenues. Reconciliation proposals should result in a PTC adjustment that will resolve cumulative under or over recoveries by the time of the next PTC adjustment interval.
(c) It may be in the public interest to reconcile default service costs more frequently than at each PTC adjustment interval. The DSP should propose interim reconciliation prior to the next subsequent PTC adjustment interval when current monthly revenues have diverged from current monthly costs, plus any cumulative over/under recoveries, by greater than 4% since the last rate adjustment. When the divergence is less than 4%, the DSP has the discretion to propose interim reconciliation prior to the next PTC adjustment interval. Interim reconciliation proposals should result in a PTC adjustment that will resolve cumulative under or over recoveries by the time of the next PTC adjustment interval.
The provisions of this § 69.1809 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019; amended February 24, 2012, effective February 25, 2012, 42 Pa.B. 1044. Immediately preceding text appears at serial pages (330097) to (330098).
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose; and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1810 Retail rate design.
Retail rates should be designed to reflect the actual, incurred cost of energy and therefore encourage energy conservation. The PTC should not incorporate declining blocks, demand charges or similar elements. The PTC for a particular customer class may be converted to a time of use design if the Commission finds it to be in the public interest.
The provisions of this § 69.1810 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1811 Rate change mitigation.
(a) The following provision should apply when a DSP’s total retail rate for a customer class rises by more than 25% following the expiration of a generation rate cap due to wholesale energy prices. When that occurs, DSPs should offer all residential and small business customers of up to 25 kW in maximum registered peak load the opportunity to prepay or defer some portion of the rate increase for as long as 3 years. These competitively neutral mitigation options should be included in the default service program filed for the period that begins with the expiration of the Commission-approved generation rate cap. Customers may not be assigned to a rate increase prepay or deferral program without their affirmative consent. DSPs would be able to fully recover the reasonable carrying costs associated with a rate increase deferral program, including associated administrative costs.
(b) DSPs may propose other reasonable rate mitigation strategies that would reflect the incurrence of reasonable costs.
The provisions of this § 69.1811 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1812 Information and data access.
The public interest would be served by common standards and processes for access to retail electric customer information and data. This includes customer names and addresses, customer rate schedule and profile information, historical billing data, and real time metered data. Retail choice, demand side response and energy conservation initiatives can be facilitated if EGSs, curtailment service providers and other appropriate parties can obtain this information and data under reasonable terms and conditions common to all service territories, that give dueconsideration to customer privacy, provide security of information and provide a customer an opportunity to restrict access to nonpublic customer information.
The provisions of this § 69.1812 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1813 Rate and bill ready billing.
The public interest would be served by the consideration of the availability of rate and bill ready billing in each service territory.
The provisions of this § 69.1813 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1814 Purchase of receivables.
The public interest would be served by the consideration of an EGS receivables purchase program in each service territory.
The provisions of this § 69.1814 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1815 Customer referral program.
The public interest would be served by consideration of customer referral programs in which retail customers are referred to EGSs.
The provisions of this § 69.1815 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1816 Supplier tariffs.
The public interest would be served by the adoption of supplier tariffs that are uniform as to both form and content. Uniform supplier tariffs may facilitate the participation of EGSs in the retail market of this Commonwealth and reduce the potential for mistakes or misunderstandings between EGSs and EDCs.
The provisions of this § 69.1816 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1817 Retail choice ombudsman.
The public interest would be served by the designation of an employee as a retail choice ombudsman at each EDC and the Commission. The ombudsman would be responsible for responding to questions from EGSs, monitoring competitive market complaints and facilitating informal dispute resolution between the DSP and EGSs.
The provisions of this § 69.1817 adopted September 14, 2007, effective September 15, 2007, 37 Pa.B. 5019.
This section cited in 52 Pa. Code § 69.1801 (relating to scope); 52 Pa. Code § 69.1802 (relating to purpose); and 52 Pa. Code § 69.1803 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1901 Scope.
This section and § 69.1902 (relating to notification guidelines) provide guidelines to the electric distribution market regarding the restoration practices of service.
The provisions of this § 69.1901 adopted February 24, 2012, effective February 25, 2012, 42 Pa.B. 1034.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1902 Notification guidelines.
(a) Acceptable methods of public notification. In the event of a service interruption, the following acceptable methods of public notification should be considered and utilized as appropriate:
(1) Mass media. Facsimile/electronic mail notification to local radio and television stations, cable systems, newspapers and other print and news media as soon as possible after the event occurs. These notifications must provide relevant information about the event, such as the affected locations, its potential impact including the possible duration of the outage, and a description of actions affected ratepayers/occupants should take to ensure their safety, with updates as often as needed. Updates should be provided on a predictable, regular schedule for the duration of the event. The Commission’s Office of Communications and Lead Emergency Preparedness Liaison Officer should also receive these notifications.
(2) Web site. Use of the utility’s own Internet web site, emergency phone line and integrated voice response system to provide relevant information about the event, such as the affected locations, its potential impact and estimated duration, and a description of actions affected ratepayers/occupants should take to ensure their safety, with updates as often as needed. A section of the utility’s web site shall be dedicated to presenting outage information where regular updates of the number of customers without service by geographic area and estimated restoration times are available. Depending on electric distribution company (EDC) system limitations, this could be as simple as a PDF or spreadsheet file of information that is updated at regular intervals.
(3) Automated dialer system. Automated dialer system (outbound dialing) notification to affected ratepayers’/occupants’ landline or wireless phones. Updates should be provided at regular intervals or if the estimated restoration time changes by more than 2 hours.
(4) Miscellaneous. Other types of direct or actual notice, such as doorknob flyers distributed to affected ratepayers/occupants with actions affected ratepayers/occupants should take to ensure their safety, when feasible.
(5) Electronic mail and other emerging technology. Electronic mail and text message notification to affected customers who have opted to receive notice through use of these methods. The use of emerging technology such as social media is strongly encouraged.
(6) Emergency alert system. Coordination with State and local emergency management agencies as needed to use the emergency alert system for qualifying situations.
(b) NIMS standards. Utilities should strive to follow the National Incident Management System (NIMS) and its Public Information System to organize all information throughout the utility into one unified message.
(1) Crisis communication plans. EDC crisis communications plans should be in writing and every attempt should be made to be consistent with Nationally-approved NIMS standards.
(2) Coordination. If more than one EDC is affected in the same geographic region, strong consideration should be given to implementing the NIMS based Joint Information System/Joint Information Center, including coordinating messages on safety and other consumer information tips during outages. This would allow for coordination and integration of information across jurisdictions, especially on universal messages such as actions residents should take to ensure safety.
(3) Public notice templates. The EDCs should have public notice templates prepared in advance to be available when needed to avoid wasting critical time developing materials when confronted with an unscheduled service interruption or an emergency situation. The notices should cover many possible scenarios from safety and shelter information, estimated restoration times and times when updated information will be provided.
(c) Contact information. To ensure that the public is informed, if possible, utilities should consider having a knowledgeable contact person stationed in the area of the outage, during the emergency to communicate to the public and media on behalf of the company. Regular media updates should be scheduled at predictable times.
(1) Spokesperson. A single point of contact should be established as the sole media spokesperson for the utility for that time period. During extended outages, a secondary-media spokesperson could be utilized as the sole contact for a specific period of time.
(2) Talking points and informational sheets. Talking points or informational sheets should be provided to customer service representatives, and others who may come in contact with the public during the course of the outage to strive toward consistency of message. This information should also be shared with the Commission’s Office of Communications, its Emergency Preparedness Coordinator and county emergency management agencies. For employees that may have contact with the public but will not be able to receive up-to-date outage information in the course of their duties, the utility should instruct those employees to direct the public to appropriate information sources.
The provisions of this § 69.1902 adopted February 24, 2012, effective February 25, 2012, 42 Pa.B. 1034; amended April 18, 2014, effective April 19, 2014, 44 Pa.B. 2405. Immediately preceding text appears at serial pages (360607) to (360608).
This section cited in 52 Pa. Code § 69.1901 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1903 Preparation and response measures.
(a) EDC liaisons to counties. An electric distribution company (EDC) should offer a company liaison to counties (County Emergency Operations Centers or 9-1-1 Centers, depending on the county’s preference) in its service territory that are significantly impacted, meaning those with at least 10% of customers in the county experiencing an outage for over 48 hours, during high-impact and major service outage events such as those listed in subsection (b)(1).
(1) An EDC should inform the Commission’s Lead Emergency Preparedness Liaison Officer (EPLO) of the counties in which the company has placed liaisons when this information is available.
(2) The threshold for when a company liaison is offered should be determined in agreement with the counties.
(3) A county may request a company liaison for events that do not meet the established threshold subject to operational constraints.
(4) An EDC should make a best effort to respond to a county’s request for a company liaison under paragraph (3), subject to operational and safety considerations.
(5) In a county served by more than one EDC, the EDCs should coordinate their response to the county so that the county has representation from the desired EDCs.
(6) An EDC should meet at least yearly with each county to review the liaison program and other emergency response issues.
(b) EDC regional conference calls. An EDC should offer regional conference calls for State and local elected officials and local emergency managers for major service outage events.
(1) Examples of major service outage events include:
(i) Hurricanes.
(ii) Tropical storms.
(iii) Major flooding.
(iv) Ice storms.
(v) Heavy snows.
(vi) Cybersecurity incidents.
(2) Regions should be determined based on the geographic locations affected by the major service outage event.
(3) An EDC should begin conference calls prior to an expected major service outage event and should offer to continue the conference calls daily as warranted by the needs of the parties on the calls.
(4) An EDC should ensure participants on the conference call have the required call-in information prior to initiating the calls.
(5) EDCs should work together to share best practices on how to structure and manage the regional conference calls, especially in those areas that are served by multiple EDCs.
(6) An EDC should notify the Commission’s Lead EPLO when initiating regional conference calls.
(c) EDC storm exercises. An EDC should develop and hold a storm restoration exercise at least once each calendar year.
(1) An EDC should notify the counties and other utilities in its service territory of the dates and times of storm restoration exercises at least 3 weeks in advance, if possible.
(2) An EDC should invite counties in its service territory to participate in its storm restoration exercises.
(3) An EDC that has a large service territory may hold several smaller-scale exercises on a regional level.
(4) An EDC should inform the Commission’s Lead EPLO of the dates and times of its storm restoration exercises.
(5) An EDC should review its exercise After Action Reports with the Commission, including corrective actions or best practice implementations planned as a result.
(d) EDC outage web sites.
(1) Large EDCs. A large EDC, as defined in § 57.195(b) (relating to reporting requirements), should have an outage information section or portal on its web site. The outage information should be updated on a periodic basis of at least once per hour. The outage section or portal should provide one of the following as technology permits:
(i) A graphic outage map of the service territory with county boundaries clearly defined that shows current service outages for the entire service territory and current outages in each county using text, colors or some other means. The outage map should:
(A) Allow users to click on a specific county and view the total number of customers out of service for the county.
(B) Indicate the current number of customers out of service by municipality or borough.
(C) Provide estimated times of restoration when available.
(D) Include the number of customers served in each county and municipality or borough.
(ii) A summary tab that allows users to view the total number of customers out of service for the municipality or borough in each county along with an option to view the total number of customers out of service for the municipality or borough in each county along with estimated times of restoration, when available, and the number of customers served in each county and municipality or borough.
(2) Small EDCs. A small EDC, as defined in § 57.195(c), should provide an outage section on its web site that provides:
(i) Outage and estimated restoration information by county and municipality or borough for service outages that meet the reporting criteria as defined in § 67.1(b) (relating to general provisions).
(ii) Outage and estimated restoration information, updated at least twice daily, and noting the next update time for each posting.
(3) Duration. Outage information for large and small EDCs should be provided until the last customer’s service affected by the outage event is restored.
(e) EDC major service outage event after action reviews. After major service outage events as defined in subsection (b)(1), an EDC should:
(1) Coordinate after action reviews with other EDCs through the EDC Best Practices Working Group and solicit input from each significantly impacted county and other utilities as to the EDC’s performance during the event and suggested improvements or comments on successful initiatives.
(2) The EDC Best Practices Working Group should report to the Commission on best practices identified and areas for improvement along with a timeline of implementation of those best practices and corrective actions for the areas of improvement. The best practices report should be reported to the Commission within 1 calendar year of the major service outage event’s occurrence.
(f) EDC storm outage prediction models. An EDC should develop a storm damage and outage prediction model.
(1) A storm outage prediction model should be a means for an EDC to estimate expected storm damage and the potential number of service outages given inputs such as weather data, service territory geography/topography, historical data on similar storms, customer density and other relevant factors.
(2) An EDC should provide the Commission with an overview of its model when it is completed. An EDC is encouraged to work together with other EDCs throughout the county and with academic institutions to develop its prediction model.
(3) An EDC that already has a working model is encouraged to share its best practices with other EDCs while respect is given to proprietary elements in its model.
(4) An EDC should provide an overview of its developed and implemented model to the Commission and county emergency managers in its service territory.
(5) An EDC should provide the Commission’s Lead EPLO with its model’s predictions prior to expected major service outage events as defined in subsection (b)(1).
(g) EDC estimated time of restoration messaging. An EDC should continue its work on improving the process of providing timely and accurate estimated times of restoration during service outages, especially during major service outage events as defined in subsection (b)(1).
The provisions of this § 69.1903 adopted April 18, 2014, effective April 19, 2014, 44 Pa.B. 2405.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1951 Definitions.
The following words and terms, when used in this section and § 69.1952 (relating to electricity-storage as a distribution-system asset) have the following meanings, unless the context clearly indicates otherwise: EDC—electric distribution company—The term has the same meaning as defined in 66 Pa.C.S. § 2803 (relating to definitions). Electricity-storage asset—A resource capable of receiving electric energy from the distribution grid and storing it for later injection of electricity back to the distribution grid. NWS—non-wires solution—An EDC investment and operating practice that acts as a distribution asset to: improve reliability, resilience or service; reduce congestion or system constraints; or is otherwise operationally justified by the EDC at the time of implementation and which can defer or replace the need for specific transmission or distribution projects, or both, at lower total resource cost, by reliably reducing transmission congestion or distribution system constraints at times of maximum demand in specific distribution grid areas. This term is synonymous with ‘‘non-transmission alternative’’ or ‘‘NTA’’ which is the term used by the National Regulatory Research Institution.
The provisions of this § 69.1951 added under 66 Pa.C.S. § § 501, 504, 505, 506 and 1501.
The provisions of this § 69.1951 added May 31, 2024, effective June 1, 2024, 54 Pa.B. 3036.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.1952 Electricity-storage as a distribution-system asset.
The Commission acknowledges that electricity-storage assets can assist in various engineered reliability solutions. As such, the Commission recognizes that electricity-storage assets can be used by EDCs to maintain or to increase the reliability or the resilience of the electric distribution system on a temporary basis or permanent basis. The Commission encourages the consideration of these assets when reasonable and prudent, specifically as an alternative NWS. The Commission encourages EDCs to consider electricity-storage assets as part of their system planning.
The provisions of this § 69.1952 added under 66 Pa.C.S. § § 501, 504, 505, 506 and 1501.
The provisions of this § 69.1952 added May 31, 2024, effective June 1, 2024, 54 Pa.B. 3036.
This section cited in 52 Pa. Code § 69.1951 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2101 Statement of scope.
Sections 69.2102—69.2104 provide guidelines to electric distribution companies and customer-generators regarding appropriate fees to be used in filing and processing interconnection applications under section 5 of the Alternative Energy Portfolio Standards Act (73 P.S. § 1648.5) regarding alternative energy and interconnection standards and § § 75.21, 75.22, 75.31—75.40 and 75.51 (relating to interconnection standards; and dispute resolution).
The provisions of this § 69.2101 adopted April 3, 2009, effective April 4, 2009, 39 Pa.B. 1676.
This section cited in 52 Pa. Code § 69.2102 (relating to statement of purpose); and 52 Pa. Code § 69.2103 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2102 Statement of purpose.
(a) This section and § § 69.2101, 69.2103 and 69.2104 (relating to interconnection application fees) are intended to provide guidance to electric distribution companies and customer-generators seeking to interconnect with an electric distribution company’s distribution system under § § 75.21, 75.22, 75.31—75.40 and 75.51 (relating to interconnection standards; and dispute resolution). The application fees set forth under these sections are deemed appropriate. An electric distribution company which seeks to impose fees other than those set forth in § 69.2104 (relating to interconnection application fees) is required to file for Commission approval and make an evidentiary showing that deviation from these sections is appropriate.
(b) Electric distribution companies and entities such as industrial parks or residential developers may negotiate different fees for multiple interconnections.
The provisions of this § 69.2102 adopted April 3, 2009, effective April 4, 2009, 39 Pa.B. 1676.
This section cited in 52 Pa. Code § 69.2101 (relating to statement of scope); and 58 Pa. Code § 69.2103 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2103 Definitions.
The following words and terms, when used in this section and § § 69.2101, 69.2102 and 69.2104 (relating to interconnection application fees), have the following meanings, unless the context clearly indicates otherwise: Area network impact study—An engineering study conducted by an Electric Distribution Company of a local area network under § 75.40 (relating to Level 4 interconnection review). Customer-generator—A nonutility owner or operator of a net metered distributed generation system as defined in § 75.1 (relating to definitions). Facility study—A study conducted by an electric distribution company or a third party consultant for the customer-generator as defined in § 75.22 (relating to definitions). Feasibility study—A preliminary evaluation of the system impact and cost of interconnecting the small generator facility to the electric distribution company’s electric distribution system, as defined in § 75.22. Level 1 review—The interconnection application review level in § 75.37 (relating to Level 1 interconnection review). Level 2 review—The interconnection application review level in § 75.38 (relating to Level 2 interconnection review). Level 3 review—The interconnection application review level in § 75.39 (relating to Level 3 interconnection review). Level 4 review—The interconnection application review level in § 75.40 (relating to Level 4 interconnection review). System impact study—An engineering study that evaluates the impact of the proposed interconnection on the safety and reliability of an electric distribution company’s electric distribution system, as defined in § 75.22.
The provisions of this § 69.2103 adopted April 3, 2009, effective April 4, 2009, 39 Pa.B. 1676.
This section cited in 52 Pa. Code § 69.2101 (relating to statement of scope); and 52 Pa. Code § 69.2102 (relating to statement of purpose).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2104 Interconnection application fees.
The following fee structures and fees will be deemed appropriate for use by electric distribution companies when processing interconnection applications filed under § § 75.21, 75.22, 75.31—75.40 and 75.51 (relating to interconnection standards):
(1) Level 1 applications—$100. If an application is denied because it does not meet the requirements of a Level 1 review, and the applicant resubmits the application under another review procedure in accordance with this title, the electric distribution company may impose a fee for the incremental expense attributable to the resubmitted application consistent with the fees established for the new level of review.
(2) Level 2 applications. Base fee of $250 plus $1 per kW of the nameplate capacity rating of the customer-generator’s facility, plus the cost of any minor modifications to the electric distribution company’s distribution system or additional review if required under § 75.38 (relating to Level 2 interconnection review). Costs for minor modifications or additional review must be based on electric distribution company estimates and must be subject to review by the Commission at the request of either party. Costs for engineering work done as part of any additional review should not exceed $100 per hour. If an application is denied because it does not meet the requirements of a Level 2 review, and the applicant resubmits the application under another review procedure in accordance with this title, the electric distribution company may impose a fee for the incremental expense attributable to the resubmitted application consistent with the fees established for the new level of review.
(3) Level 3 applications. Base fee of $350 plus $2 per kW of the nameplate capacity rating of the customer-generator’s facility, plus the cost of any feasibility studies, system impact studies or facilities studies required under § 75.39 (relating to Level 3 interconnection review). Costs for engineering work done as part of a feasibility study, system impact study or facilities study should not exceed $100 per hour. If the electric distribution company must install facilities to accommodate the interconnection of the customer-generator facility, the cost of the facilities shall be the responsibility of the customer-generator. If an application is denied because it does not meet the requirements of a Level 3 review, and the applicant resubmits the application under another review procedure in accordance with this title, the electric distribution company may impose a fee for the incremental expense attributable to the resubmitted application consistent with the fees established for the new level of review.
(4) Level 4 applications. In those instances when a Level 4 application is processed using the Level 1, Level 2 or Level 3 review process, the fees set forth for those particular review levels should apply. A fee may not be assessed for an area network impact study conducted under § 75.40 (relating to Level 4 interconnection review). A Level 4 application reviewed under § 75.40(d) should be subject to a base fee of $350 plus $2 per kW of the nameplate capacity rating of the customer-generator’s facility. If an application is denied because it does not meet the requirements of a Level 4 review, and the applicant resubmits the application under another review procedure in accordance with this title, the electric distribution company may impose a fee for the incremental expense attributable to the resubmitted application consistent with the fees established for the new level of review.
The provisions of this § 69.2104 adopted April 3, 2009, effective April 4, 2009, 39 Pa.B. 1676; corrected July 10, 2009, effective July 11, 2009, 39 Pa.B. 3471. Immediately preceding text appears at serial pages (342485) to (342486).
This section cited in 52 Pa. Code § 69.2101 (relating to statement of scope); 52 Pa. Code § 69.2102 (relating to statement of purpose); and 52 Pa. Code § 69.2103 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2501 Standards applicable for designation and annual certification as an eligible telecommunications carrier, for purposes of obtaining Federal universal service support.
(a) Petitions for designation in this Commonwealth as an eligible telecommunications carrier (ETC), for purposes of obtaining Federal universal service support, should be evaluated under:
(1) Section 214(e) of the Telecommunications Act of 1934 (47 U.S.C. § 214(e)), regarding extension of lines or discontinuance of service; certificate of public convenience and necessity.
(2) The Federal Communications Commission’s (FCC’s) discussion of ETC designations in the Universal Service Order, Report and Order at CC Docket No. 96-45 (May 8, 1997).
(3) The standards in the FCC’s Report and Order at CC Docket No. 96-45 (March 17, 2005).
(4) The FCC’s rules governing ETC designations in 47 CFR 54.101, 54.201—54.203 and 54.205—54.209.
(b) Petitions for designation as an ETC seeking low income support from Lifeline and Link-up America programs should satisfy the minimum standards established in 66 Pa.C.S. § 3019(f) (relating to lifeline service) and comply with the Commission’s Lifeline and Link-Up Order, In Re: Lifeline and Link-Up Programs, Docket No. M-00051871, Final Order May 23, 2005, except that verifications should be submitted annually to Universal Service Administrative Company (USAC) on or before August 31 of each year. Petitions should affirm that the applying carrier will submit annual Lifeline Tracking Reports by June 30 of each year. The form is available on the Commission’s web site at www.puc. state.pa.us, Online Forms, Telecommunications.
(c) Petitions for ETC designation should specifically address the enumerated criteria in subsections (a) and (b), set forth specific statements regarding which criteria are applicable and inapplicable, and explain why all applicable criteria are satisfied.
The provisions of this § 69.2501 adopted October 1, 2010, effective October 2, 2010, 40 Pa.B. 5586.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2701 Definitions.
The following words and terms, when used in this section and § § 69.2702 and 69.2703, have the following meanings, unless the context clearly indicates otherwise: Act—The Natural Gas Choice and Competition Act (66 Pa.C.S. § § 2201—2212). PGW—Philadelphia Gas Works.
The provisions of this § 69.2701 adopted May 21, 2010, effective May 22, 2010, 40 Pa.B. 2668.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2702 Background and ratemaking elements.
(a) The act brought city owned natural gas operations, including PGW, under the Commission’s jurisdiction. See 66 Pa.C.S. § 2212(b) (relating to Commission jurisdiction).
(b) The Commission is obligated under law to use the cash flow methodology to determine PGW’s just and reasonable rates. Included in that requirement is the subsidiary obligation to provide revenue allowances from rates adequate to cover its reasonable and prudent operating expenses, depreciation allowances and debt service, as well as sufficient margins to meet bond coverage requirements and other internally generated funds over and above its bond coverage requirements, as the Commission deems appropriate and in the public interest for purposes such as capital improvements, retirement of debt and working capital.
The provisions of this § 69.2702 adopted May 21, 2010, effective May 22, 2010, 40 Pa.B. 2668.
This section cited in 52 Pa. Code § 69.2701 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2703 Ratemaking procedures and considerations.
(a) In determining just and reasonable rate levels for PGW, the Commission will consider, among other relevant factors:
(1) PGW’s test year-end and (as a check) projected future levels of non-borrowed year-end cash.
(2) Available short term borrowing capacity and internal generation of funds to fund construction.
(3) Debt to equity ratios and financial performance of similarly situated utility enterprises.
(4) Level of operating and other expenses in comparison to similarly situated utility enterprises.
(5) Level of financial performance needed to maintain or improve PGW’s bond rating thereby permitting PGW to access the capital markets at the lowest reasonable costs to customers over time.
(6) PGW’s management quality, efficiency and effectiveness.
(7) Service quality and reliability.
(8) Effect on universal service.
(b) The Commission is obligated to establish rate levels adequate to permit PGW to satisfy its bond ordinance covenants, consistent with 66 Pa.C.S. § 2212(e) (relating to securities of city natural gas distribution operations).
(c) These financial measures will be considered by the Commission in determining just and reasonable rates for PGW under 66 Pa.C.S. (relating to the Public Utility Code) and are consistent with the PGW Management Agreement Ordinance.
The provisions of this § 69.2703 adopted May 21, 2010, effective May 22, 2010, 40 Pa.B. 2668.
This section cited in 52 Pa. Code § 69.2701 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2901 Purpose.
(a) Beginning in 2004, the General Assembly enacted, and the Governor signed, a series of legislation promoting the development of renewable energy in this Commonwealth generally, and solar alternative energy specifically. In 2004, the AEPS Act established a requirement that the power purchased for customers in this Commonwealth by EDCs and EGSs must include a component of solar photovoltaic electricity from solar alternative energy sources or solar alternative energy credits, known in the industry as SRECs. Under the AEPS Act, an SREC is referred to as a solar alternative energy credit, or solar Alternative Energy Credit (AEC). An AEC is earned when 1 megawatt hour of electricity is generated from an approved alternative energy source. In 2007, the AEPS Act was amended and, among other provisions, solar thermal energy was added to the definition of Tier I alternative energy sources. The Commission is responsible for ensuring compliance with the AEPS Act.
(b) In 2008, the Alternative Energy Investment Act (AEI Act) (73 P. S. § § 1649.101—1649.711) was signed into law, providing, among other things, funding through the Department of Environmental Protection for small-scale solar projects in owner-occupied dwellings and small businesses. Additional funds for large-scale solar projects were made available by the AEI Act through the Department of Community and Economic Development (DCED).
(c) These acts establish a clear policy to promote the construction of small- and large-scale solar projects in this Commonwealth. Even though that policy has been clearly articulated, the Commission is concerned that barriers still exist that prevent new solar projects from becoming a reality in this Commonwealth. EDCs in this Commonwealth, their customers and those interested in developing solar projects of any size are impeded in their economic analysis of those projects by the uncertainty of a price to assign the SRECs that would be generated by small- or large-scale solar projects. This section and § § 69.2902—69.2904 (relating to definitions; RFPs to establish SREC values recoverable as a reasonable expense; and contracts for the purchase of SRECs by EDCs) outline a process by which entry barriers can be overcome.
The provisions of this § 69.2901 adopted October 22, 2010, effective October 23, 2010, 40 Pa.B. 6157.
This section cited in 52 Pa. Code § 69.2902 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2902 Definitions.
The following words and terms, when used in § § 69.2901, 69.2903 and 69.2904, have the following meanings, unless the context clearly indicates otherwise: AEPS Act—The Alternative Energy Portfolio Standard Act (73 P. S. § § 1648.1—1648.8). EDC—Electric distribution company—The term has the same meaning as defined in 66 Pa.C.S. § 2803 (relating to definitions). EGS—Electric generation supplier—The term has the same meaning as defined in 66 Pa.C.S. § 2803. Large-scale solar project—An alternative energy generation system employing solar photovoltaic technology with a nameplate capacity of 200kW or more. RFP—Request for proposal. SREC market price—The weighted average of all accepted winning bids in response to an EDC RFP for large-scale solar project solar alternative energy credits, as those credits are defined in section 2 of the AEPS Act (73 P. S. § 1648.2). SRECs—Solar renewable energy credits. Small-scale solar project—An alternative energy generation system employing solar photovoltaic technology with a nameplate capacity of less than 200kW. Solar aggregator—A person or entity that purchases for resale, or otherwise consolidates for sale, solar alternative energy credits for resale to EDCs and electric generation suppliers. Stakeholder working group—A group composed of EDCs, EGSs, Commission staff, public advocates, solar aggregators and other interested parties that meets at least semiannually and proposes to the Commission updates to standardized solar alternative energy credit RFPs and related contracts that are posted on the Commission’s web site.
The provisions of this § 69.2902 adopted October 22, 2010, effective October 23, 2010, 40 Pa.B. 6157.
This section cited in 52 Pa. Code § 69.2901 (relating to purpose).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2903 RFP’s to establish SREC values recoverable as a reasonable expense.
(a) SREC procurement from large-scale solar projects. The Commission encourages EDCs to issue RFPs for large-scale solar projects whose SREC output will be used to meet EDC obligations under the AEPS Act. RFPs should provide for a fair, transparent and open competitive bidding process. Standardized RFP documents developed by the stakeholder working group should be utilized. The Commission will review and either approve or reject bids submitted in response to the RFPs within a reasonable period of time.
(b) SREC procurement from small-scale solar projects. EDCs are encouraged to procure SRECs from small-scale solar projects through competitively bid RFP processes and bilateral contracts.
(1) When an RFP process is used, EDCs should adhere to the same standards in use for large-scale solar project RFPs. The Commission will review and evaluate bids for small-scale solar RFPs within a reasonable period of time.
(2) EDCs may enter into bilateral contracts for SRECs from small solar projects subject to the following conditions:
(i) The price negotiated for SRECs should not exceed the Commission-approved average winning bid price in the EDC’s most recent RFP for large-scale solar projects.
(ii) When an EDC has not utilized an RFP for a large-scale project, the price negotiated for SRECs should not exceed the Commission-approved average winning bid price from the most recent large-scale solar RFP by another EDC in this Commonwealth, as reported on the Commission’s AEPS Credit Administrator’s web site under subparagraph (iii).
(iii) The amount of small-scale solar project SRECs yet to be procured by the EDC, and the EDC’s historic and current average SREC market prices from each of the EDC’s large solar project procurements should be listed on the Commission’s AEPS Credit Administrator’s web site, as well as the EDC’s web site, and updated at least monthly.
(iv) The bilateral contract approach should be used to support the development of small-scale solar projects located in this Commonwealth.
(c) EDC cost recovery. The cost of SRECs acquired through procurement approaches referred to in subsections (a) and (b) may be recovered consistent with the AEPS Act and other applicable law.
The provisions of this § 69.2903 adopted October 22, 2010, effective October 23, 2010, 40 Pa.B. 6157.
This section cited in 52 Pa. Code § 69.2901 (relating to purpose); and 52 Pa. Code § 69.2902 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.2904 Contracts for the purchase of SRECs by EDCs.
(a) Standardized contracts. EDCs should employ standardized contracts for their purchase of SRECs from large-scale solar projects and small-scale solar projects. The standardized contract for small-scale solar projects should be simple, understandable and provide for the option to purchase SRECs from solar aggregators. Standardized contracts for the long-term procurement of SRECs should be from 5 to 20 years in length.
(b) Contracts with solar aggregators. The Commission finds it reasonable and efficient, and therefore encourages EDCs to execute a master agreement with a solar aggregator for the purchase of SRECs from various sources that establishes a prevailing SREC market price at a particular point in time through letter agreements that incorporate the terms of the master agreement.
(c) Performance guarantees, security and other contract terms. While EDCs may require the posting of bid security in an RFP for large-scale solar projects, bid security for small-scale solar projects is not necessary due to the manner in which the SREC market price for these projects is established. In addition, small-scale solar projects under 15kW in nameplate capacity may use estimates to report SREC generation to the PJM-GATS system, as authorized under the AEPS Act, and should not be required to provide security relating to project completion or performance. Small-scale solar project contracts for projects at or above 15kW in nameplate capacity, or from a solar aggregator selling the EDC SRECs from projects 15kW or more in nameplate capacity, may contain a security deposit, refundable upon completion of project construction and certification of initial performance, as well as a performance guarantee refundable over the performance period or at the end of the contract. These provisions may be included to ensure that the aggregated solar projects supporting the SRECs are actually constructed and perform as designed. Security deposits for projects 15kW or more in nameplate capacity, or aggregated projects 15kW or more in nameplate capacity, may be converted, upon reasonable advance notice by the EDC to the impacted parties, from a refund to a performance guarantee upon project completion and certification. In addition, small-scale solar project SREC contracts may provide for EDC remote monitoring of solar installations. Contracts between EDCs and others for the purchase of SRECs from small-scale solar projects may also provide for a reasonable allocation of the risk of a project failing due to force majeure-type events. EDCs may establish reasonable financial qualifications for solar aggregators from whom they purchase SRECs.
(d) Contracts on behalf of residential customers. EDCs are encouraged to contract for SRECs with solar aggregators that obtain SRECs from residential owners of small-scale solar projects. These projects can provide a beneficial way for those customers to cope with the volatility of electricity prices.
(e) Stakeholder working group. An EDC standardized contract and other related documents, for the purchase of SRECs from large-scale solar projects and small-scale solar projects should be posted on the Commission’s web site and periodically updated by means of input from a stakeholder working group to ensure that these contracts reflect the most recent developments in Pennsylvania law and energy policy.
(f) Customer education. An EDC is encouraged to educate its retail customers of the opportunity to sell SRECs under the large-scale solar project RFP solicitation and the small-scale solar program in support of local development of solar resources.
The provisions of this § 69.2904 adopted October 22, 2010, effective October 23, 2010, 40 Pa.B. 6157.
This section cited in 52 Pa. Code § 69.2901 (relating to purpose); and 52 Pa. Code § 69.2902 (relating to definitions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3101 Scope.
(a) The Commission adopts this section and § § 69.3102—69.3107 regarding the additional information that should be provided with a transmission siting application by an electric utility under § § 57.71—57.76 (relating to Commission review of siting and construction of electric transmission lines). The Commission encourages future applicants to file applications that comply with the existing regulations as supplemented by this section and § § 69.3102—69.3107 to ensure that adequate additional information is provided and to ensure the efficient and expeditious processing of transmission siting applications. In the event an applicant determines there to be a conflict between the information requested in this section and § § 69.3102—69.3107 and the existing regulations, the applicant should follow the requirements in § § 57.71—57.76.
(b) The Commission emphasizes that this section and § § 69.3102—69.3107 do not alter the legal standards to be met by prospective applicants under relevant provisions in 66 Pa.C.S. (relating to Public Utility Code) or the existing regulations in § § 57.71—57.76.
The provisions of this § 69.3101 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3102 Public notice filing requirements.
(a) Applications for electric transmission siting authority should provide the following information with the initial application for siting approval demonstrating its efforts to fully notify landowners who are either owners of land that will be purchased for the transmission project or will be subject to right of way/easement requirements:
(1) A Code of Conduct/Internal Practices governing the manner in which public utility employees or their agents interact with landowners along proposed rights of way.
(2) Copies of information provided to landowners by the public utility of any publicly disseminated notices advising landowners to contact the Commission or the Office of Consumer Advocate (OCA) in the event of improper land agent practices.
(3) Copies of all notices sent under § 57.91 (relating to disclosure of eminent domain power of electric utilities).
(b) Applicants for transmission siting authority should serve a copy of the Code of Conduct on all landowners along the proposed route whose property is to be purchased, subject to easement rights or borders the transmission corridor. The Code of Conduct should also be available on the applicant’s website.
(c) Applicants for transmission siting authority should provide prior notice to the Commission’s Office of Communications of informational presentations to community groups by the public utility scheduled after the filing of the transmission siting application so that the Commission, OCA and other interested parties can attend meetings or obtain copies of information being disseminated at the presentations.
The provisions of this § 69.3102 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
This section cited in 52 Pa. Code § 69.3101 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3103 Eminent domain filing requirements.
Applicants for eminent domain authority should follow the following requirements and provide the following information as part of the application:
(1) Applicants for transmission siting authority should file applications for all known eminent domain authority as separate filings, but simultaneously with the associated transmission siting applications. Testimonial evidence in support of an eminent domain application should be filed with the application. Subsequent eminent domain authority applications should be filed as soon as reasonably known during the course of the transmission siting application.
(2) As part of an eminent domain application, the public utility applicant should present, for those properties subject to condemnation at the time the transmission siting application is filed or later in the siting proceeding, the reason for the exercise of condemnation power for each property and the precise location of the affected property. Supporting maps or legal descriptions of the property to be condemned should be supplied to the extent feasible. Submission of information pursuant to this guideline should be consistent with the filing requirements for the exercise of eminent domain powers under 26 Pa.C.S. § 302(b)(5) (relating to declaration of taking).
(3) A public utility transmission siting application should include a summary status report for those properties along the proposed transmission route where negotiations for either property acquisition or rights of way/easements may be ongoing. This information should be supplemented as requested by the administrative law judge or the parties during the course of the transmission siting proceeding.
The provisions of this § 69.3103 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
This section cited in 52 Pa. Code § 69.3101 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3104 Exemption from municipal zoning standards.
Applications for exemption from municipal zoning requirements should provide the following information with the application:
(1) Copies of comprehensive land use plans, zoning ordinances and other documentation relevant to the buildings affected by the exemption request. This information may be filed in either hard copy or electronic format.
(2) Provision of metes and bounds or site maps of building sites.
(3) A procedure for providing notice to affected municipalities of the request for exemption.
The provisions of this § 69.3104 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
This section cited in 52 Pa. Code § 69.3101 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3105 Route evaluation and siting.
Applications for the siting of electric transmission lines should provide the following information as part of the § 57.72(c) (relating to form and content of application) requirements:
(1) Transmission applicants should utilize a combination of transmission route evaluation procedures including high-level GIS data, traditional mapping (including United States Geological Survey data and compilation), aerial maps and analysis of physical site specific constraints raised by affected landowners.
(2) Transmission applicants should summarize the status of property acquisitions (including fee simple acquisitions and rights of way/easements) as part of the application. The applicant should provide the current status and continuing updates on property acquisition litigation or settlements during the course of the siting proceeding.
(3) In providing information regarding the reasonable alternative routes, the utility actively considered in its final phase of the route selection process, and the relative merits of each, in accordance with § 57.72(c)(10), the applicant should include the following information:
(i) The environmental, historical, cultural and aesthetic considerations of each route.
(ii) The proximity of these alternative routes to residential and nonresidential structures.
(iii) The applicant’s consideration of relevant existing rights of way.
(iv) The comparative construction costs associated with each route.
(4) With reference to the proposed route, applicants should provide a summary of efforts made to contact and solicit assistance from local governments and nongovernmental organizations regarding areas encompassed within the requirement of § 57.72(c)(8).
The provisions of this § 69.3105 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
This section cited in 52 Pa. Code § 69.3101 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3106 Environmental filing requirements.
Applications for siting of electric transmission lines should include as part of the filing requirement under § 57.72(e)(7) the following information: A matrix or list showing all expected Federal, state and local government regulatory permitting or licensing approvals that may be required for the project at the time the application is filed, the issuing agency, approximate timeline for approval and current status. The applicant should provide an update on the status of the regulatory permitting/licensing approvals as the case progresses.
The provisions of this § 69.3106 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
This section cited in 52 Pa. Code § 69.3101 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3107 Health and safety considerations.
(a) Interim guidelines for the use of herbicides and pesticides. Applicants for transmission line siting authority should provide a detailed vegetation management plan that includes the following components:
(1) A general description of the utility’s vegetation management plan.
(2) Factors that dictate when each method, including aerial spraying, is utilized.
(3) Vegetation management practices near aquatic and other sensitive locations.
(4) Notice procedures to affected landowners regarding vegetation management practices.
(5) Provision of a copy of a landowner maintenance agreement that describes the duties and responsibilities of landowners and the utility for vegetation management to the extent utilized.
(b) Interim guidelines for Electromagnetic Field (EMF) impacts. Transmission siting applications should include the following: A description of the EMF mitigation procedures that the utility proposes to utilize along the transmission line route. This description should include a statement of policy approach for evaluating design and siting alternatives and a description of the proposed measures for mitigating EMF impacts.
The provisions of this § 69.3107 adopted December 10, 2010, effective December 11, 2010, 40 Pa.B. 7095.
This section cited in 52 Pa. Code § 69.3101 (relating to scope).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3201 Statement of scope and purpose.
(a) Combined heat and power (CHP) is the concurrent production of electricity or mechanical power and useful thermal energy (heating and cooling) from a single source of energy. Unlike central station generation, it is a type of distributed generation which is located at or near the point of consumption. It is a suite of technologies that can use a variety of fuels to generate electricity or power at the point of use, allowing the heat that would normally be lost in the power generation process to be recovered to provide needed heating and cooling.
(b) The electric distribution company (EDC) and natural gas distribution company (NGDC) tariffs, rates, rules and programs that may affect CHP projects are subject to the jurisdiction of the Commission in several important ways that address service reliability, energy efficiency and consumer rates, among others. CHP systems can be an integral part of the defense to natural disasters and manmade attacks on the electric distribution system. CHP can be an important component in addressing environmental concerns and offers significant potential for economic development. In conjunction with natural gas from shale gas resources, CHP also offers potential for lower costs for consumers.
(c) Under 66 Pa.C.S. § 2806.1 (relating to energy efficiency and conservation program), EDCs have provided incentive programs for CHP. Likewise, some EDCs have specific tariffs regarding interconnection fees as well as charges for the use of distribution services.
(d) EDCs and NGDCs are encouraged to support the development of CHP by evaluating and implementing new strategies, programs and other initiatives to promote the deployment of CHP and to reduce barriers to deployment within their service territories. For example, this could include the identification of CHP-applicable Federal and State incentives and funding programs and a method to make this information available to would-be project developers in a manner similar to the requirements in 66 Pa.C.S § 2806.1(j).
The provisions of this § 69.3201 adopted June 8, 2018, effective June 9, 2018, 48 Pa.B. 3412.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3202 Biennial reports.
(a) Jurisdictional electric distribution companies (EDC) and natural gas distribution companies (NGDC) shall file biennially on July 1, beginning in 2018, a report that documents their strategies, programs and other initiatives in support of combined heat and power (CHP) systems. The report format will be established by Commission staff. The report must include:
(1) Identification and details of the distribution company’s current and proposed plan or plans to encourage CHP development that include, at a minimum, identification of barriers to development and possible resolutions for consideration by the Commission.
(2) Identification and description of CHP systems interconnected with the EDC or NGDC, including:
(i) The location, the nameplate capacity (MW) and basic operation of each system.
(ii) Payments made to the distribution company associated with the interconnection of the CHP system to the distribution company’s system.
(iii) An estimated projected annual energy and cost savings and the simple payback period, in years, that customers may experience over the projected life of the CHP system, if known.
(iv) Any distribution system reliability benefits to the distribution company and its customers as a result of the installation of the CHP unit. The description should include specific benefits to critical customers, including Federal, State and local government facilities, educational institutions, hospitals, nursing homes, and retail and wholesale suppliers of food, wastewater facilities and water distributors.
(v) All currently interconnected CHP systems should be included in the initial report. In subsequent reports, the companies should identify CHP systems that were interconnected to or disconnected, if known, from the distribution company’s system since the previous report.
(3) A description of CHP projects that are scheduled to interconnect to the distribution company’s system or are under preliminary interconnection planning discussion for future interconnection.
(4) A discussion of challenges for CHP development that occurred during the time period covered by the report and any recommendations that might improve or hasten the development of CHP systems.
(5) A description of efforts taken by the distribution company to obtain the information for the report.
(b) In addition to the requirements in subsection (a), each EDC shall report:
(1) Its communications strategy relevant to CHP system development.
(2) Its interconnection terms and conditions, including:
(i) CHP specific interconnection fees.
(ii) Efforts to streamline procedures, including well-defined application processing timelines and simple decision trees which are based on the characteristics of the project and for which interconnection procedures apply.
(iii) Efforts to standardize technical requirements.
(iv) Efforts to standardize and simplify application forms and contracts.
(v) Efforts to simplify and develop a defined process to address disputes.
(vi) Efforts to facilitate the ability for larger CHP systems and those not captured under the net metering regulations to meet applicable interconnection standards.
(vii) Changes to previously reported interconnection terms and conditions.
(3) Actual electric generation delivered to all customers with CHP by the EDC on an hourly basis for the 24-month period before and after the CHP system became operational. If hourly usage data is not available, only monthly usage information is required to be reported.
(4) Any rates to customer accounts with CHP systems including standby, backup service, scheduled maintenance service and supplemental service rates. The discussion must address the circumstances under which the rates apply and the level of each rate element.
(5) As to each tariffed rate identified in paragraph (4), discuss:
(i) The methodology used to design each customer, demand and energy rate element.
(ii) Whether the rates reflect cost differentials for daily and seasonal fluctuations in usage.
(iii) Whether the rates encourage the scheduling of maintenance at nonpeak times.
(c) In addition to the requirements in subsection (a), each NGDC shall report:
(1) How it encourages industrial, commercial and institutional CHP projects, including its communications strategy relevant to CHP system development.
(2) Any separate rates it has for customer accounts with CHP systems.
(3) Actual natural gas delivered to all customers with CHP by the NGDC on a monthly basis for the 24-month period before and after the CHP system became operational.
(4) Any NGDC capital costs incurred and not recovered from the customer account with CHP and estimated incremental annual revenues associated with the interconnection of the CHP system.
The provisions of this § 69.3202 adopted June 8, 2018, effective June 9, 2018, 48 Pa.B. 3412.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3203 Staff report.
The Commission’s Bureau of Technical Utility Services will provide a biennial report to the Commission summarizing and analyzing the electric distribution company and natural gas distribution company reports, identifying government agency programs providing financial and other support for CHP, as well as making any recommendations regarding the development of combined heat and power in this Commonwealth.
The provisions of this § 69.3203 adopted June 8, 2018, effective June 9, 2018, 48 Pa.B. 3412.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3301 Purpose and scope.
Federal and State policy initiatives promote the efficient use of electricity, natural gas and water through technologies and information, including distributed energy resources. The purpose of this policy statement is to invite the proposal, within a utility’s base rate proceeding, of fixed utility distribution ratemaking mechanisms and rate designs that further promote these Federal and State policy objectives, the objectives of 66 Pa.C.S. § 1330 (relating to alternative ratemaking for utilities), and may include reducing disincentives for promoting these objectives, providing incentives to improve system economic efficiency, and avoiding unnecessary future capital investments while ensuring that fixed utilities receive adequate revenue to maintain the safe, secure and reliable operation of their distribution systems. At the same time, an alternative rate design methodology should reflect the sound application of cost of service principles, establish a rate structure that is just and reasonable, and consider customer impacts.
The provisions of this § 69.3301 adopted August 23, 2019, effective August 24, 2019, 49 Pa.B. 4819.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3302 Distribution rate considerations.
(a) In determining just and reasonable alternative distribution ratemaking mechanisms and rate designs that promote the purpose and scope of this statement of policy and the objectives of 66 Pa.C.S. § 1330 (relating to alternative ratemaking for utilities), the Commission may consider, among other relevant factors, the following:
(1) How the ratemaking mechanism and rate design align revenues with cost causation principles as to both fixed and variable costs.
(2) How the ratemaking mechanism and rate design impact the fixed utility’s capacity utilization.
(3) Whether the ratemaking mechanism and rate design reflect the level of demand associated with the customer’s anticipated consumption levels.
(4) How the ratemaking mechanism and rate design limit or eliminate interclass and intraclass cost shifting.
(5) How the ratemaking mechanism and rate design limit or eliminate disincentives for the promotion of efficiency programs.
(6) How the ratemaking mechanism and rate design impact customer incentives to employ efficiency measures and distributed energy resources.
(7) How the ratemaking mechanism and rate design impact low-income customers and support consumer assistance programs.
(8) How the ratemaking mechanism and rate design impact customer rate stability principles.
(9) How weather impacts utility revenue under the ratemaking mechanism and rate design.
(10) How the ratemaking mechanism and rate design impact the frequency of rate case filings and affect regulatory lag.
(11) If or how the ratemaking mechanism and rate design interact with other revenue sources, such as Section 1307 automatic adjustment surcharges, 66 Pa.C.S. § 1307 (relating to sliding scale of rates; adjustments), riders such as 66 Pa.C.S. § 2804(9) (relating to standards for restructuring of electric industry) or system improvement charges, 66 Pa.C.S. § 1353 (relating to distribution system improvement charge).
(12) Whether the alternative ratemaking mechanism and rate design include appropriate consumer protections.
(13) Whether the alternative ratemaking mechanism and rate design are understandable to consumers.
(14) How the ratemaking mechanism and rate design will support improvements in utility reliability.
(b) In any distribution rate filing by a fixed utility under 66 Pa.C.S. § 1308 (relating to voluntary changes in rates) that proposes an alternative ratemaking mechanism and rate design, the fixed utility shall explain how these factors impact the distribution rates for each customer class.
The provisions of this § 69.3302 adopted August 23, 2019, effective August 24, 2019, 49 Pa.B. 4819.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3501 Section 1313 of the Public Utility Code (66 Pa.C.S. § 1313).
(a) Section 1313 of the Public Utility Code, 66 Pa.C.S. § 1313 (relating to price upon resale of public utility services), applies restrictions on the resale of utility service to residential customers.
(b) It shall be the policy of the Commission that electricity sales by a person, corporation or other entity, not a public utility, owning and operating an electric vehicle charging facility for the sole purpose of recharging an electric vehicle battery for compensation should not be construed to be sales to residential consumers and should therefore not fall under the pricing requirements of 66 Pa.C.S. § 1313.
The provisions of this § 69.3501 adopted February 1, 2019, effective February 2, 2019, 49 Pa.B. 466.
This section cited in 52 Pa. Code § 69.3502 (relating to electric vehicle charging tariff provisions).
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3502 Electric vehicle charging tariff provisions.
It is the policy of the Commission that all jurisdictional electric distribution companies should have tariff language providing clarity as to its rules regarding third party owned and operated electric vehicle charging stations that should address at least the following issues:
(1) Reflect the statement of law in 66 Pa.C.S. § 1313 (relating to price upon resale of public utility services), along with this Commission’s policy statement that excludes third party electric vehicle charging stations, as described in § 69.3501(b) (relating to Section 1313 of the Public Utility Code (66 Pa.C.S. § 1313)), from the pricing requirements of 66 Pa.C.S. § 1313.
(2) When and how owners and operators of such third party electric vehicle charging services are to notify the electric distribution company of a planned installation of the electric vehicle charging facilities and the information the electric distribution company needs in advance.
The provisions of this § 69.3502 adopted February 1, 2019, effective February 2, 2019, 49 Pa.B. 466.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3551 Purpose and scope—statement of policy.
Due to Federal and State policy initiatives to promote the proliferation of electric vehicles, as defined in 75 Pa.C.S. § 102 (relating to definitions), the Commission encourages development of rate structures for electric-vehicle charging customers. Electric-vehicle charging will increase demand on existing infrastructure, and it is imperative that electric distribution companies are prepared to address this increased demand with distribution and default service generation rate structures that properly signal to electric-vehicle charging customers and incentivize their usage patterns for more efficient capacity utilization. The Commission’s policy on electric-vehicle charging also encompasses fairness and equity principles that electric distribution companies are to consider in developing electric-vehicle charging rates.
The provisions of this § 69.3551 added February 14, 2025, effective February 15, 2025, 55 Pa.B. 1447.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3552 Electric-vehicle charging rate tariffs—statement of policy.
The Commission encourages electric distribution companies to develop tariffs with distribution and default service generation rates for the purpose of implementing rates specifically for electric-vehicle charging customers. These distribution and default service generation electric-vehicle charging tariffed rates should reflect cost-of-service principles as well as the cost of electricity, maintenance and administrative expenses in a manner that avoids unreasonable cross-subsidization between customers.
The provisions of this § 69.3552 added February 14, 2025, effective February 15, 2025, 55 Pa.B. 1447.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3553 Electric-vehicle charging rate design—statement of policy.
(a) To promote efficient use of electric-vehicle charging infrastructure and to manage electric grid demand, electric distribution companies should consider creating rates for electric-vehicle customers that encourage consideration of load factors and charging time adjustments to accommodate system needs. The Commission recommends that electric distribution companies develop electric-vehicle distribution rates with cost-of-service principles that are designed to help the Commonwealth achieve its policy goals for electric vehicles and the electric grid in the most cost-effective way possible and that incentivize increased network capacity utilization of the distribution system. This includes rates that will minimize system stress and result in the greatest possible increases in distribution network capacity utilization. Electric distribution companies should also take into consideration rates for direct current fast chargers, including whether or not demand charges are appropriate to manage electric grid stress during peak hours. The Commission also recommends that electric distribution companies develop electric-vehicle charging default service generation rates that, at a minimum, properly reflect the cost of generation services during times of system stress. Electric distribution companies should explore the use of telematic submetering instead of additional revenue grade metering to measure electric-vehicle charging characteristics and timing for purposes of billing.
(b) The Commission recommends that electric-vehicle charging distribution and default service generation rates should be flexible and adaptable to changing circumstances and technologies. As such, electric-vehicle charging distribution and default service generation rates should be periodically reviewed and adjusted, as necessary, to ensure that they remain fair, cost effective and efficient.
The provisions of this § 69.3553 added February 14, 2025, effective February 15, 2025, 55 Pa.B. 1447.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3554 Electric-vehicle charging rate equity—statement of policy.
The Commission recommends that electric-vehicle charging distribution and default service generation rates be designed to promote fairness and equity. As such, the distribution and default service generation electric-vehicle charging rates should not establish or maintain any unreasonable preference or advantage for certain types of electric vehicles or drivers and should not create undue financial burdens for low-income customers or disadvantaged communities. The Commission recommends that electric distribution companies consider impacts on low-income customers due to the design of their distribution and default service generation electric-vehicle charging rates. Electric distribution companies may need to consider customer-specific and electric distribution company region-specific rates to best serve the needs of their communities. It is important that electric distribution companies prioritize customer education to encourage efficient and effective use of electric-vehicle charging infrastructure and knowledge of available distribution and default service generation rates.
The provisions of this § 69.3554 added February 14, 2025, effective February 15, 2025, 55 Pa.B. 1447.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
52 Pa. Code § 69.3701 Computation of Section 510 Annual Fiscal Assessments Related to Revenue from Jurisdictionally-Mixed Telecommunications Services.
(a) This policy statement provides guidance to all jurisdictional telecommunications public utilities in complying with their statutory obligations under section 510 of the Public Utility Code, 66 Pa.C.S. § 510 (relating to assessment for regulatory expenses upon public utilities).
(b) All telecommunications carriers holding Certificates of Public Convenience (CPC) issued under Chapter 11 of the Public Utility Code (Code), 66 Pa.C.S. § § 1101—1103 (relating to organization of public utilities and beginning of service; enumeration of acts requiring certificate; and procedure to obtain certificates of public convenience), are public utilities subject to the Commission’s authority under section 510 of the Code, 66 Pa.C.S. § 510 to impose annual fiscal assessments upon these carriers to cover their ‘‘reasonable share’’ of the costs of administering the Code.
(c) Section 510(b) of the Code requires every public utility holding a CPC from the Commission to file, on March 31 of each year, a statement, under oath, showing its gross intrastate operating revenues for the preceding calendar year and to pay to the Commission its proportionate share of the amount assessed to each utility group based on its total gross intrastate operating revenues.
(d) All jurisdictional telecommunications public utilities holding Commission-issued CPCs are obligated by section 510 of the Code to file annual fiscal assessment reports with the Commission reporting their gross intrastate operating revenues and to pay to the Commission their proportionate share of the amount assessed to the telecommunications utility group based on each carrier’s total gross intrastate operating revenues.
(e) All jurisdictional telecommunications public utilities holding Commission-issued CPCs in Pennsylvania provide jurisdictionally mixed-use telecommunications services.
(f) Some jurisdictional telecommunications public utilities in Pennsylvania that provide jurisdictionally mixed-use telecommunications services have reported zero gross intrastate operating revenues to the Commission for section 510 annual fiscal assessment purposes for their jurisdictionally mixed-use services.
(g) As their legal basis for reporting zero gross intrastate operating revenues related to their jurisdictionally mixed-use services, a majority have referred to the Federal Communications Commission’s ten percent contamination rule to justify reporting zero gross intrastate operating revenues to the Commission.
(h) The Federal Communications Commission’s ten percent contamination rule is set forth at 47 CFR 36.154 (relating to exchange line cable and wire facilities (C&WF)—Category 1—apportionment procedures) and is an administrative jurisdictional separations rule that states that the costs and revenues of a jurisdictionally mixed-use line are directly assigned to the interstate jurisdiction if the mixed-use services carry interstate traffic in a proportion greater than ten percent.
(i) The Federal Communications Commission’s ten percent contamination rule does not preempt or otherwise preclude the obligation of jurisdictional telecommunications public utilities to report to the Commission’s fiscal office their de facto gross intrastate operating revenues related to providing jurisdictionally mixed-use telecommunications services, without regard to any intrastate revenues deemed to be interstate pursuant to the ten percent contamination rule.
(j) De facto gross intrastate operating revenues are those gross intrastate operating revenues that are actually received for all telecommunications services and traffic between points that are both located within this Commonwealth, including the traffic traversing a special access circuit that is deemed interstate by the ten percent rule set forth in 47 CFR 36.154.
(k) The jurisdictional telecommunications carriers may submit to the Commission’s fiscal office supporting information (such as traffic studies, tax returns, jurisdictional allocation formulas and factors, books of account, reports, etc.) on which the carrier bases its revenue determination, so that the fiscal office can ascertain the carrier’s de facto gross intrastate operating revenues and compute an accurate assessment in accordance with the metrics and requirements of section 510 of the Code.
The provisions of this § 69.3701 adopted August 30, 2019, effective August 31, 2019, 49 Pa.B. 5003.
History
- Authority: The provisions of this Chapter 69 issued under 66 Pa.
- Source: The provisions of this Chapter 69 adopted April 22, 1977, effective April 23, 1977, 7 Pa.
Chapter 71 Financial Reports
52 Pa. Code § 71.1 Statement of purpose.
This chapter establishes uniform and industry-wide financial reporting requirements designed to improve the Commission’s ability to monitor on a regular basis the financial performance and earnings of the electric, gas, telephone, water and wastewater public utilities subject to Commission jurisdiction.
The provisions of this § 71.1 amended February 13, 1998, effective February 14, 1998, 28 Pa.B. 801. Immediately preceding text appears at serial page (178507).
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.2 Definitions.
The following words and terms, when used in this subchapter, have the following meanings, unless the context clearly indicates otherwise: Actual per books—The revenues, expenses and investment amounts which reflect the unadjusted results of operations for the 12-month periods ending each March 31, June 30, September 30 and December 31 as recorded in the public utility’s financial books of account. Annualization adjustments—Adjustments to bring a public utility’s accounts to a 12-month level of activity for changes to the account which occur before the end of the reported 12-month period. Commission—The Pennsylvania Public Utility Commission of the Commonwealth. Intrastate—The portion of a public utility’s revenues, expenses and investment amounts which is subject to State jurisdiction. Normalization adjustments—In-period adjustments to eliminate or levelize for abnormal, unusual or nonrecurring items occurring before the end of the reported 12-month period. Ratemaking adjustments—Adjustments to a public utility’s actual per book amounts to reflect disallowances made in prior cases by the Commission to revenues, expenses and investment which are not reflected in the public utility’s financial books of account. Secretary—The Secretary of the Commission.
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.3 Filing requirements.
(a) The following public utilities shall file a financial report for the 12-month period ending each March 31, June 30, September 30 and December 31:
(1) The major electric utilities (Philadelphia Electric Company, Pennsylvania Power and Light Company, Duquesne Light Company, West Penn Power Company, Pennsylvania Power Company, UGI Corporation—Luzerne Electric Division, Pennsylvania Electric Company and Metropolitan Edison Company).
(2) Gas distribution utilities having annual intraState gross revenues in excess of $10 million.
(3) Water and wastewater utilities with annual intraState gross revenues in excess of $10 million.
(b) The following public utilities shall file a financial report for the 12-month period ending each December 31:
(1) Electric utilities with annual intraState gross revenues in excess of $1 million.
(2) Gas distribution utilities having annual intraState gross revenues in excess of $1 million but which do not exceed $10 million.
(3) Water and wastewater utilities with annual intraState gross revenues in excess of $1 million but which do not exceed $10 million.
(c) Annualization, normalization and ratemaking adjustments are required only with the financial report for the 12-month period ending December 31 of each year. These adjustments are not required for financial reports for the 12-month period ending March 31, June 30 and September 30.
(d) For the 12-month period ending each December 31, the actual per books amounts in the financial report shall reflect the public utility’s independently audited results of operations.
The provisions of this § 71.3 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 71.3 amended February 13, 1998, effective February 14, 1998, 28 Pa.B. 801; amended April 5, 2002, effective April 6, 2002, 32 Pa.B. 1723; amended December 15, 2006, effective December 16, 2006, 36 Pa.B. 7558. Immediately preceding text appears at serial pages (287766) to (287767).
This section cited in 52 Pa. Code § 71.5 (relating to format for filing financial reports).
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.4 Time of filing.
(a) The financial report is due within 60 days of the quarter ending March 31, June 30, September 30 of each year.
(b) The financial report is due within 90 days of the quarter ending December 31 of each year.
(c) A public utility is exempt from the filing requirements of this section when the utility has pending before the Commission a general rate investigation under 66 Pa.C.S. § 1308(d), 1309 or 1310 (relating to voluntary changes in rates; rates fixed on complaint; investigation of costs of production; and temporary rates). The filing of quarterly financial reports is not required, for the quarters inclusive, from the date of filing of the utility’s general rate increase or a complaint against the utility’s overall level of rates, to the entry date of the Commission’s final order. Instead of filing the reports, the public utility shall file a letter with the Secretary for each quarter in which a general rate investigation is pending.
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.5 Format for filing financial reports.
(a) The public utility shall include the following information in the financial reports required by § 71.3 (relating to filing requirements):
(1) Computations of the public utility’s rate base, income available for return and capitalization in sufficient detail to demonstrate the major elements of these basic ratemaking parameters.
(2) Financial data which specifies actual per book amounts, intrastate allocation percentages, intrastate amounts, adjustments to intrastate amounts and adjusted results. The actual per book amounts for each 12-month period shall be presented in the manner reflected in the most recent audited annual report filed with the Commission.
(3) Adjustments to intrastate amounts which demonstrate the revenue, expense, tax and rate base effect of each adjustment supported by a brief narrative explanation which states the nature of the adjustment—annualization, normalization or ratemaking—the reason for the adjustment, references to prior Commission decisions and necessary computational details.
(4) A calculation of the return on common equity for the reported 12-month period based on the public utility’s actual and adjusted rate base, income available for return and capitalization data.
(5) Capitalization data which sets forth a calculation of the public utility’s capital structure and related ratios, the cost of debt and preferred stock and necessary adjustments to capital structure to account for known changes which have occurred during the reported 12-month period.
(b) The public utility shall present the financial reports, data and adjustments described in subsection (a) in a manner which is consistent with the schedules and format specified by the Office of Special Assistants.
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.6 Permitted adjustments to financial reports.
(a) A public utility shall make annualization, normalization and ratemaking adjustments to its intrastate data to reflect, to the extent practicable, its results of operations on a ratemaking basis. These adjustments shall be consistent with current Commission policy and practices.
(b) Annualization adjustments to bring a public utility’s accounts to a 12-month level of activity may include, for example, adjustments to the year-end number of customers and revenues, operating expenses and level of investment.
(c) Normalization adjustments to recognize in-period known changes may include, for example, elimination of the revenue, expense and rate base effect of nonrecurring events, recognition of the full year’s effect of in-period wage rate changes and normalization of the effect of irregular and infrequent events.
(d) A public utility shall make ratemaking adjustments to its intrastate per book amounts to reflect adjustments made in prior cases by the Commission which are not included in the actual per book amounts recorded by the public utility, if these adjustments are still applicable, and adjustments to reflect current Commission ratemaking policy and practices. The required ratemaking adjustments will be specified by the Commission periodically by Secretarial letter and will be based on Commission precedent regarding the major ratemaking issues that apply to public utilities in this Commonwealth. If a public utility has eliminated a prior rate case adjustment because it was deemed to be no longer applicable, the public utility shall identify the adjustment and explain the rationale for its elimination.
(e) In determining the intrastate per books amount of a public utility’s revenues, expenses and investment, for the purposes of the financial reports required by this chapter, the following shall be considered intrastate:
(1) Energy cost revenues and associated expenses.
(2) Gas cost revenues and associated expenses.
(3) Other public utility revenues, expenses and investment that under Commission precedent are deemed to be intrastate for ratemaking purposes, as specified in the Secretarial letter referenced in subsection (d).
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.7 Filing procedures.
The public utility shall file a typewritten or printed financial report with the Secretary. Copies shall be provided to the Office of Special Assistants, Office of Trial Staff, Office of Consumer Advocate and the Small Business Advocate. The public utility shall file an additional copy of the financial report in an electronic medium or computerized format with the Office of Special Assistants, as directed by that office.
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.8 Intrastate allocation factors.
(a) The public utility shall use intrastate allocation factors consistent with those used in the financial and cost of service reports filed with the Federal Energy Regulatory Commission and the Federal Communications Commission (FCC), and may not be based on jurisdictional separations data which is older than 3 years.
(b) If the methodology for calculating the intrastate allocation factors differs from that of the prior quarter, the public utility shall provide an explanation and summary calculations of the resulting changes. Upon review, detailed calculations may be required.
(c) If a telecommunications utility is an average schedule company for FCC purposes, it will continue to employ cost-based ratemaking for Pennsylvania jurisdictional purposes, including the filing of reports required by this chapter.
(d) A public utility that has nonjurisdictional revenues and does not have a cost of service study which is less than 3 years old shall file a cost of service study within 1 year of the adoption of this chapter or 1 year from the date that the company becomes subject to this chapter.
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
52 Pa. Code § 71.9 Financial reports as public documents.
The financial reports are public documents. The reports will be maintained by the Secretary and will be available for public inspection. If a public utility requests proprietary treatment for information in the report, it shall be incumbent upon that utility to file a petition for protective order under § 5.423 (relating to orders to limit availability of proprietary information).
The provisions of this § 71.9 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 71.9 amended April 5, 2002, effective April 6, 2002, 32 Pa.B. 1723. Immediately preceding text appears at serial page (241335).
History
- Authority: The provisions of this Chapter 71 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 22, 1993, effective March 24, 1993, provided that the initial earnings disclosure report due under the chapter shall be the report for the 12 months ending December 31, 1992, 23 Pa.
Chapter 73 Annual Depreciation Reports, Service Life Studies and Capital Investment Plans
52 Pa. Code § 73.1 Purpose.
The purpose of this chapter is to establish uniform and industry-wide reporting requirements designed to improve the Commission’s ability to monitor on a regular basis the depreciation practices and capital planning of electric, telephone, gas and water public utilities subject to Commission jurisdiction.
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.2 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Depreciation accrual—The depreciation expense amount, excluding any net salvage allowance amount not already a component of the depreciation formula, which is debited to the income statement and credited to the depreciation reserve account. Depreciation parameter—A variable used in the depreciation rate formula or used to develop a variable of the depreciation rate formula. Depreciation rate—The value expressed as a percent applied to utility plant investment to develop annual depreciation accruals. Major—Each project with a cost in excess of 1% of the undepreciated original cost of the utility’s total plant in service or $10 million, whichever is less. Net salvage—The gross salvage less the cost of removal.
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.3 Annual depreciation reports.
(a) A public utility providing electric service, gas service or water service which has gross intraState revenues in excess of $20 million per year, except telecommunications interexchange carriers and gas and petroleum transportation pipeline companies, shall file an annual depreciation report with the Bureau of Fixed Utility Services under this chapter.
(b) The due dates for the annual depreciation report are as follows:
(1) Electric, water and gas public utilities reports are due on or before June 30.
(2) When a public utility is also required to file a service life study report in the same year, the public utility shall notify the Secretary in writing, on or before the date its annual depreciation report would be due, stating that both the service life study and the annual depreciation report will be filed on or before August 31.
(3) When a public utility is required to file a depreciation report in response to a Commission Order, the report shall be prepared consistent with formats and filing deadlines specified in this chapter.
(c) The public utility shall file a copy of its annual depreciation report required by this chapter with the Office of Consumer Advocate and the Office of Small Business Advocate at the same time that it files the report with the Office of Special Assistants.
The provisions of this § 73.3 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 73.3 amended December 15, 2006, effective December 16, 2006, 36 Pa.B. 7558. Immediately preceding text appears at serial page (235414).
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.4 Format for filing the annual depreciation report.
The public utility shall include the following information in the annual depreciation report:
(1) An executive summary of the annual depreciation report, including an explanation of depreciation methods used.
(2) A comparison with the prior year’s annual depreciation report.
(3) Explanations of extraordinary events occurring in the past year which significantly affected the amount of the utility’s depreciation reserve or annual depreciation expense, and proposed changes to its depreciation methods or parameters, or both, as a result of those events.
(4) Plant database used in the most recent service life study shall be submitted to the Office of Special Assistants in an electronic medium or computerized format as directed by that office. The plant database shall be updated for the current annual depreciation report, if requested by the Office of Special Assistants.
(5) The Office of Special Assistants will notify each utility in writing of the software and format that will be acceptable prior to filing the depreciation reports in electronic medium or computerized format by March 31st of the year in which the report is due.
(6) A summary of the depreciation calculations at the end of the calendar year by function or account which includes the following information:
(i) Original cost balance.
(ii) Book reserve.
(iii) Net original cost.
(iv) Average service life and survivor curve.
(v) Remaining life, for utilities using that method.
(vi) Annual accrual.
(vii) Annual accrual rate.
(7) When the information required by this section has been provided in another required report to the Commission, the utility shall notify the Office of Special Assistants as to the location of the information. If the information was not previously filed in the electronic format designated by the Office of Special Assistants, the information shall either be submitted in, or converted to, the electronic format required under this chapter.
(8) A summary of book reserve entries by function or account shall be submitted with the following information:
(i) Book reserve at the beginning of the year.
(ii) Annual accrual.
(iii) Retirements.
(iv) Gross salvage.
(v) Cost of removal.
(vi) Adjustments.
(vii) Book reserve at year end.
(viii) Book reserve as a percentage of original cost.
(9) A summary of retirements by function or account shall be submitted with the following information:
(i) Original cost balance of plant at the beginning of year.
(ii) Original cost of additions during year.
(iii) Original cost of retirements during year.
(iv) Adjustments to original cost.
(v) Original cost balance of plant at the end of year.
(vi) Percent of beginning of year original cost retired.
(vii) Explanation of whether the level of retirements is considered abnormal for the type of property being retired and if the level of retirements necessitates a review of the average service life of that type of property.
(10) For utilities that do not include salvage in the depreciation rate calculation, the utilities shall provide the calculation of the 5-year rolling average of net salvage by function or account showing each year’s experienced gross salvage and cost of removal, including a detailed explanation of any amounts excluded from the 5-year rolling average calculation of net salvage. Utilities using average or future net salvage in the depreciation rate calculation shall provide the average or future net salvage by depreciation rate category or account.
(11) Additional information and schedules shall be submitted as requested by the Commission if unique procedures are used by a utility.
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.5 Service life study report.
(a) A public utility with gross intrastate revenues in excess of $20 million per year providing electric service, gas service or water service, except gas and petroleum transportation pipeline companies, shall file a service life study report every 5 years. The first service life study report shall be filed with the Office of Special Assistants by August 31, 2000.
(b) The due dates for the service life study report are as follows:
(1) Electric, water and gas public utilities are due on or before August 31.
(2) If a public utility is required to file a service life study report by an existing Commission Order or other directive, the study period shall commence on January 1 of the year in which the last report was filed.
(3) When a public utility is required to file a service life study in response to a Commission Order, the report shall be prepared consistent with formats and filing deadlines specified in this chapter.
(4) Service life studies shall be based upon the same body of historic data used in the annual depreciation reports.
(5) The public utility shall file a copy of the service life study report required under this chapter with the Office of Consumer Advocate and the Office of Small Business Advocate at the same time that it files the report with the Office of Special Assistants.
The provisions of this § 73.5 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 73.5 amended December 15, 2006, effective December 16, 2006, 36 Pa.B. 7558. Immediately preceding text appears at serial page (235416).
This section cited in 52 Pa. Code § 66.38 (relating to pro forma tariff or tariff supplement requirements).
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.6 Format for filing service life study report.
(a) The public utility shall include the following information in the service life study report:
(1) An explanation of methods used in selecting average service lives and survivor curves, if applicable; any significant changes in comparison with the previous service life study report; and the impact of the proposed service lives on annual depreciation expense.
(2) The exhibits shall include the following:
(i) Account or category number.
(ii) Account or category description.
(iii) Present average service life or average remaining life.
(iv) Present survivor curve, if applicable.
(v) Proposed average service life or average remaining life.
(vi) Proposed survivor curve, if applicable.
(3) An explanation by account or category of the individual factors used in selection of an average service life, survivor curve or other depreciation parameter. When a change from the previous average service life, survivor curve or other depreciation parameter is proposed, the utility shall provide an explanation of what developments brought about the change.
(4) When survivor curve comparisons are used, a graph showing the developed, experienced or projected plant data, parameters used to develop the plant data, and the selected survivor curve.
(5) An exhibit detailing the calculations done to develop plant data for survivor curve or other depreciation parameter comparisons, including a description of the parameters and an explanation of the life tables and other data used.
(6) Interim service life studies on individual accounts when circumstances indicate that a significant service life estimate change may be warranted, or when requested by the Office of Special Assistants.
(7) An exhibit of depreciation calculations by function, account or rate category supporting annual depreciation expense claims, including an explanation of methods used.
(b) When the information required by this section has been provided in another required report to the Commission, the utility shall notify the Office of Special Assistants as to the location of the information. If the information was not previously filed in the electronic format designated by the Office of Special Assistants, the information shall either be submitted in, or converted to, the electronic format required under this chapter.
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.7 Capital investment plan report.
(a) A public utility with gross intrastate revenues in excess of $20 million per year providing electric service, gas service or water service, except gas and petroleum transportation pipeline companies, shall file a capital investment plan report every 5 years. The first capital investment plan report shall be filed with the Office of Special Assistants by August 31, 2000.
(b) Thereafter, the capital investment plan report for electric, water and gas public utilities shall be filed with the Office of Special Assistants on or before August 31 of the year in which the report is due.
(c) The public utility shall file a copy of its capital investment plan report required under this chapter with the Office of Consumer Advocate and the Office of Small Business Advocate at the same time that it files the report with the Office of Special Assistants.
The provisions of this § 73.7 amended under the Public Utility Code, 66 Pa.C.S. § § 501 and 1501.
The provisions of this § 73.7 amended December 15, 2006, effective December 16, 2006, 36 Pa.B. 7558. Immediately preceding text appears at serial pages (235417) to (235418).
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.8 Format for filing capital investment plan report.
The public utility shall include the following information in the capital investment plan report:
(1) A summary with an overview of plans for major project expansion, modification or other alteration of current and proposed facilities.
(2) A discussion of each major project expansion, modification or other alteration of current and proposed facilities expected to commence before the next capital investment plan report, or which was not addressed under this chapter in any other capital investment plan report, including the following:
(i) An explanation of what need the expansion, modification or other alteration of the facilities will meet.
(ii) A summary of other alternatives investigated to meet the need and criteria used in selecting the expansion, modification or other alteration of the facilities, including a discussion and explanation of alternatives considered and analyzed on an economic and functional basis.
(iii) A description of the expansion, modification or other alteration of the facilities including whether it entails an enlargement of existing service (more equipment for more customers), or a replacement of existing service (new equipment for the same customers).
(iv) The effect of the expansion, modification or other alteration of the facilities on the service life of existing equipment.
(v) The projected in-service date of the expansion, modification or alteration of the facilities.
(vi) The cost of the expansion, modification or other alteration and the associated original cost of equipment of the facilities to be retired.
(3) A discussion of anticipated major expansions, modifications or other alterations of the facilities which are not addressed under this chapter, including replacement schedules for major facilities and anticipated expansions, modifications or alterations of facilities affecting projected service lives of facilities.
(4) When the material is provided in the utility’s annual resource planning report, specific references shall be made to the section of that report where the data may be found.
(5) A utility may designate portions of its capital investment planning report as confidential subject to challenges by the Office of Trial Staff, the Office of Consumer Advocate, the Office of Small Business Advocate or other participants.
(6) When the information required by this section has been provided in another required report to the Commission, the utility shall notify the Office of Special Assistants as to the location of the information. If that information was not previously filed in the electronic format designated by the Office of Special Assistants, the information shall either be submitted in, or converted to, the electronic format required under this chapter.
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
52 Pa. Code § 73.9 Processing of filings under this chapter.
(a) When the annual depreciation report is based upon previously approved service lives, depreciation parameters or methods, the public utility’s annual depreciation report will be deemed approved by the Commission, for accounting purposes only, 120 days from the filing date unless the Commission takes other action.
(b) A service life study or annual depreciation report containing proposed changes to service lives or other depreciation parameters or methods, will be deemed approved by the Commission, for accounting purposes only, within 180 days from the filing date unless the Commission takes other action. The filing utility may request Commission authorization to implement proposed changes in a new service life study.
(c) In subsequent ratemaking proceedings, the most recent annual depreciation report or service life study approved or deemed approved for accounting purposes only under this chapter, constitutes a rebuttable presumption as to the reasonableness of the accrued depreciation claimed for ratemaking purposes, and the burden of proving the unreasonableness of the accrued depreciation shall be on the challenging party.
(d) Capital investment plans are for informational purposes only and are not endorsed or approved for any purpose due to actions or inactions by the Commission under this chapter.
History
- Authority: The provisions of this Chapter 73 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 73 adopted August 4, 1995, effective August 5, 1995, 25 Pa.
Chapter 74 Perfection of Security Interests in Intangible Transition Property
52 Pa. Code § 74.1 Purpose.
This chapter implements the ministerial requirements of section 2812(d)(1)—(4) of the act (relating to security interests in intangible transition property) governing the perfection of a security interest in intangible transition property and the filing of notice of transfer to an assignee of an interest in intangible transition property. This chapter establishes the recordkeeping regulations and requirements and provides technical rules on administration concerning the perfection of the security interests and the filing of the notices of transfer to an assignee. This chapter also establishes how an intangible transition property notice is filed, what a filing must contain and what obligatory record retention requirements are imposed on the Commission. This chapter governs notice, amendment, effectiveness, and termination of the perfection of a security interest and notice of transfer to an assignee.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.2 Definitions.
The following words and terms, when used in this chapter have the following meanings, unless the context clearly indicates otherwise: Act—66 Pa.C.S. Chapter 28 (relating to restructuring of electric utility industry). Assignee—An assignee as defined in section 2812(g) of the act (relating to approval of transition bonds). Assignor—An electric utility or other person who transfers an interest in intangible transition property to an assignee. Certificate—A document establishing, based upon the file number, a qualified rate order docket number and general docket number, whether there is on file with the Commission on the date and time stated a presently effective intangible transition property notice. Commission—The Pennsylvania Public Utility Commission, including an appointed successor entity. Continuation notice—A notice submitted to extend the effectiveness of an intangible transition property notice. Department of State—The Corporation Bureau of the Department of State of the Commonwealth, including an appointed successor entity. File number—A numerical sequence assigned by the Commission to identify a specific filing made under this chapter. Filing—The submission of a completed intangible transition property notice or other document described in this chapter to the filing officer, together with the applicable filing or processing fee, and the acceptance thereof by the filing officer as evidenced by the indication of a file number and filing date thereon. Filing date—The date and time at which a filing is accepted by the Commission as described in this chapter. Filing officer—An authorized person in the Office of the Prothonotary of the Commission, including an appointed successor entity or office. Filing party—A person who makes a filing under this chapter. The term does not include the Commission. Financing party—A financing party as defined in section 2812(g) of the act. General docket—A generic docket established by the Commission as a collective repository for all filings pertaining to the perfection of a security interest in, or the transfer to an assignee of an interest in, intangible transition property. General docket number—The generic docket number M-00970937 established by the Commission to identify the general docket for perfection of security interests. Grantor—An electric utility or other person who grants a security interest in intangible transition property to another person. The term does not include the Commission. Information request—A request from a person to the Commission concerning a filing. Intangible transition property—Intangible transition property as defined in section 2812(g) of the act. Intangible transition property notice—A notice of a security interest in, or of a transfer to an assignee of an interest in, intangible transition property, complying with § 74.6 (relating to intangible transition property notice filing; duration; lapses; filing officer) and properly filed amendments to the notice. Lapse—The expiration of the period of effectiveness of an intangible transition property notice. Person—A human being, partnership, corporation, public authority or trust (including a business trust), unincorporated association, limited liability company, joint stock company or any other legal entity, whether public or private, existing under the laws of the Commonwealth, another state, the United States or a foreign country. Qualified rate order—A qualified rate order as defined in section 2812(g) of the act. Qualified rate order docket number—The established Commission filing number for a qualified rate order. Release—An action taken by a filing party to alter a right, duty or obligation concerning the perfection of a security interest. Retransfer—An action taken by an assignee to return to an assignor all or a portion of the interest of the assignee in intangible transition property. Security interest—An interest in intangible transition property securing the payment or performance of an obligation. Termination notice—The notice submitted to terminate perfection of a security interest.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.3 Information, filing and hours.
(a) Information on the procedures and forms for filing under this chapter, submittals, requests and other information or instructions supplementing this chapter in special instances can be obtained upon request:
Office of the ProthonotaryPennsylvania Public Utility CommissionAttention: Filing OfficerP. O. Box 3265Harrisburg, Pennsylvania 17105-3265
If hand carried or delivered by courier, submittals, requests or other information shall be delivered as follows:
Office of the ProthonotaryAttention: Filing OfficerPennsylvania Public Utility CommissionHarrisburg, Pennsylvania 17120
(b) A filing, information request concerning the procedures and forms for filing under this chapter, submittals, requests and other information or instructions supplementing this chapter in special instances shall be sent to the attention of the filing officer.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.4 Place of filing.
(a) Place of filing. An intangible transition property notice shall be filed with the filing officer of the Commission by the filing party and be accompanied by the payment of the filing fees established by the Commission.
(b) Effect of successor entity on filing. An effective intangible transition property notice continues in force and effect even though the grantor or assignor whose intangible transition property notice is (or originally was) the subject of a filing merges, consolidates or otherwise reorganizes.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.5 Intangible transition property notice requirements; amendment; forms; error; recharacterization.
(a) General rule. An intangible transition property notice will be deemed sufficient if it provides the following:
(1) The name of the grantor or assignor.
(2) The address of the grantor or assignor.
(3) A signature of an authorized person acting on behalf of the grantor or assignor.
(4) The name of the financing party or assignee.
(5) The address of the financing party or assignee from which information concerning the security interest or transfer of an interest in intangible transition property may be obtained.
(6) The signature of an authorized person acting on behalf of the financing party or assignee.
(7) A statement setting forth whether all or a portion of the recovery permitted under the qualified rate order (from which the intangible transition property is derived) is covered by the intangible transition property notice. If the portion covered by an intangible transition property notice relates to less than all of the qualified rate order, the portion or the amount thereof to which the intangible transition property notice relates shall be stated.
(8) A statement (subject to subsection (h)) of whether the intangible transition property notice is intended to be filed to perfect a security interest in intangible transition property or to give notice of a transfer of an interest in intangible transition property to an assignee.
(9) The qualified rate order docket number from which the intangible transition property is derived.
(10) The general docket number.
(b) Filing sequence. An intangible transition property notice may be filed before a security agreement is made or a security interest otherwise attaches or before a transfer of an interest in intangible transition property to an assignee becomes effective.
(c) Effect of partial completion. An intangible transition property notice which otherwise complies with this section will be deemed sufficient when it is signed by the financing party or assignee instead of the grantor or assignor, if it is submitted to perfect a security interest in or record a transfer to an assignee of:
(1) In the case of a security interest, intangible transition property as to which the filing of an intangible transition property notice has lapsed.
(2) Intangible transition property under a security agreement or an agreement effecting a transfer to an Assignee signed by the grantor or assignor and authorizing the financing party or the assignee, to file an intangible transition property notice. The intangible transition property notice shall state that it is being submitted in accordance with a security agreement or an agreement effecting a transfer signed by the grantor or assignor that authorizes the filing of an intangible transition property notice by the financing party or the assignee.
(d) Form. A filing party shall submit Form A, in Appendix A, to comply with subsection (a).
(e) Amendments. Except when only one signature is expressly required by a provision of this chapter, an intangible transition property notice may be amended only with a written document signed by both the grantor or assignor and the financing party or assignee. An amendment does not extend the period of effectiveness of an intangible transition property notice unless it is filed as a continuation notice. If any amendment adds intangible transition property, it is effective as to the added intangible transition property only from the filing date of the amendment.
(f) Amendment form. A filing party shall submit Form B, in Appendix B, to comply with subsection (e).
(g) Sufficiency of name. An intangible transition property notice sufficiently shows the name of the grantor or assignor who is not an individual only if it gives the partnership, corporate, trust or entity name of the grantor or assignor, as the name is shown on the public records in the jurisdiction of organization in the case of persons who are required to register in the public records to organize or as the name is shown on the organizational documents of the person in the case of other persons formed under written agreements that are not required to register in the public records to organize. An intangible transition property notice that sufficiently shows the name of the grantor or assignor is not rendered ineffective by the absence of trade names or other names or names of partners, members or associates. A filed intangible transition property notice remains effective with respect to intangible transition property transferred by the grantor or assignor even though the financing party or the assignee knows of or consents to the transfer. No amendment to an intangible transition property notice is required to reflect a change in the name, identity or corporate structure of a grantor or assignor.
(h) Effect of minor errors; recharacterization. An intangible transition property notice substantially complying with this chapter will be sufficient even if it contains minor errors which are not seriously misleading. If an intangible transition property notice is filed to give notice of a transfer to an assignee of an interest in intangible transition property under this chapter, and the transfer is thereafter held for any reason or purpose to constitute the grant of a security interest in the intangible transition property, the intangible transition property notice will be deemed to constitute a filing with respect to a security interest under this chapter, from and as of the filing date of the original intangible transition property notice, without the necessity of any amendment of (or other action by the parties with respect to) the originally filed intangible transition property notice.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.6 Intangible transition property notice filing; duration; lapses; filing officer.
(a) What constitutes a filing. Presentation of an intangible transition property notice and tender of the filing or processing fee, and acceptance of the intangible transition property notice by the filing officer by indication of a file number and filing date on the intangible transition property notice, will constitute a filing under the act and this chapter. Nothing in the act or this chapter precludes the filing officer from refusing to accept for filing an intangible transition property notice not complying with this chapter.
(b) Purposes of filing. An intangible transition property notice shall be filed to perfect the security interest of a financing party in intangible transition property. An intangible transition property notice shall also be filed in respect of each transfer to an assignee of an interest in intangible transition property.
(c) Duration of effectiveness of filing in general. An intangible transition property notice filed to perfect the security interest of a financing party will be effective for 12 years from the filing date. An intangible transition property notice filed to perfect the security interest of a financing party lapses on the expiration of the 12-year period unless a continuation notice is filed prior to the lapse. An intangible transition property notice filed to record the transfer to an assignee of intangible transition property is continuously effective.
(d) Lapse. Upon lapse, the security interest becomes unperfected and is deemed to have been unperfected as against a person who became a purchaser or lien creditor before the lapse.
(e) Continuation notice. A continuation notice shall be filed by a financing party no earlier than 6 months prior to the expiration of the 12-year period specified in subsection (c). A continuation notice shall be signed by the financing party, identify the original notice by file number and state that the original intangible transition property notice is still effective. A continuation notice signed by a person other than the financing party of record shall be accompanied by a separate written statement of assignment of the security interest signed by the financing party of record and comply with this chapter, including payment of the required fees. Upon timely filing of the continuation notice, the effectiveness of the original notice is continued for 12 years after the last date to which the filing was effective whereupon it lapses in the same manner as provided in subsection (d) unless another continuation notice is filed prior to a lapse. Succeeding continuation notices may be filed in the same manner to continue the effectiveness of the original notice.
(1) Unless a statute on disposition of public records provides otherwise, the filing officer may remove a lapsed notice from the files and destroy it if he has retained a microfilm or other photographic record or, in other cases, 1 year after the lapse.
(2) The filing officer will manage the intangible transition property notice filings to retain a filing that is continued beyond the 12-year limitation.
(f) Establishment and duties of filing officer.
(1) The Commission will establish and appoint a filing officer to maintain the records and to take other necessary action. The filing officer will place copies of filings made under this chapter in the appropriate dockets for future reference and manage the filings.
(2) The filing officer will also mark each intangible transition property notice and each subsequent related filing with a consecutive file number and with the date and time of filing and will hold the intangible transition property notice and each subsequent related filing or microfilm or other photographic or electronic copy thereof for public inspection. Consecutive file numbers for intangible transition property notices and subsequent related notices filed in each calendar year will begin with the number one preceded by the last two digits of the calendar year in which the filing occurs. In addition, the filing officer will index the intangible transition property notices according to the name of the grantor or assignor and will mark in the index the file number and the address of the grantor or assignor.
(g) Legible papers. The duties of the filing officer prescribed in this chapter relate only to clearly legible papers submitted to the filing officer. The filing officer will accept only clearly legible papers. No intangible transition property notice or other related notice will be accepted unless it is typed or printed in black ink and, in the determination of the filing officer, can be interpreted or reproduced using the technology employed by the Commission.
This section cited in 52 Pa. Code § 74.2 (relating to definitions).
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.7 Termination notice; filing officer.
(a) General rule. Whenever there is no outstanding secured obligation and no commitment to make advances, incur obligations or otherwise give value, the financing party shall on written demand by the grantor send the grantor a termination notice to the effect that it no longer claims a security interest under the applicable intangible transition property notice, which shall be identified by its file number. A termination notice signed by a person other than the financing party of record shall be accompanied by a separate written notice of assignment of the security interest signed by the financing party of record and complying with this chapter, including payment of the required fee. If the affected financing party fails to file a termination notice or send a termination notice within 10 days after proper demand therefor, the financing party shall be liable for the loss caused to the grantor by reason of the failure.
(b) Duties of filing officer. On presentation to the filing officer of a termination notice, the filing officer shall mark the date and time of filing on the termination notice. If the filing officer has received the termination notice in duplicate, the filing officer will return one copy of the termination notice to the financing party marked to show the date and time of filing thereof. The filing officer may remove the original, microfilm or other photographic record from the file no sooner than 1 year after receipt of the termination notice.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.8 Assignment of security interest or interest of an assignee; filing officer.
(a) Assignment disclosed in intangible transition property notice. An intangible transition property notice may disclose an assignment of a security interest of a financing party or of the interest of an assignee in the intangible transition property described in a filed intangible transition property notice by indication in the notice of the name and address of the transferee. Either the original financing party or assignee or the transferee may sign this statement as the financing party or assignee. On presentation to the filing officer of an intangible transition property notice, the filing officer will mark it as provided for in this chapter.
(b) Separate notice of assignment. A financing party or assignee of record may assign all or a part of its rights under an intangible transition property notice by submitting a separate written notice of assignment signed by the financing party or assignee of record and setting forth the name of the financing party or assignee of record, the grantor or assignor, the file number and the filing date of the intangible transition property notice and the name and address of the transferee, a description of the interest in the intangible transition property assigned, the qualified rate order docket number for the qualified rate order from which the intangible transition property is derived, and the general docket number. A copy of the assignment is sufficient as a separate notice if it complies with the preceding sentence. On presentation to the filing officer of a separate notice which complies with this section, the filing officer will mark a separate notice with the date and time of the filing. The filing officer will mark the assignment on the indices of the intangible transition property notice or enter the assignment information into the computerized system for intangible transition property notices.
(c) Status of transferee. After the filing of an assignment under this section, the transferee becomes the financing party or assignee of record as to the interest assigned.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.9 Release or retransfer; filing officer.
(a) A financing party or assignee of record may by its signed notice release or retransfer all or a part of its interest in intangible transition property described in a filed intangible transition property notice.
(b) The notice of a release or retransfer is sufficient if it contains the following:
(1) A description of the intangible transition property being released or retransferred.
(2) The name and address of the grantor or assignor.
(3) The name and address of the financing party or assignee.
(4) The file number of the intangible transition property notice.
(5) The qualified rate order docket number for the qualified rate order from which the intangible transition property is derived.
(6) The general docket number.
(c) A notice of release or retransfer signed by a person other than the financing party or assignee of record shall be accompanied by a separate written state ment of assignment of the interest in intangible transition property signed by the financing party or assignee of record and comply with this chapter, including payment of the required fee.
(d) Upon presentation of a notice of release or retransfer to the filing officer, the filing officer will mark the notice with the date and time of filing and will mark the same on the indices of the intangible transition property notice or enter the release or retransfer information into the computerized system for intangible transition property notices.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.10 Information requests; filing officer.
(a) Marking copy of intangible transition property notice filed. If the filing party submitting an intangible transition property notice, continuation notice, termination notice, notice of assignment, notice of release or notice of retransfer, furnishes the filing officer with a copy, the filing officer will upon request mark upon the copy the file number and date and time of the filing of the original and deliver or send the copy to the filing party.
(b) Furnishing certificates and copies. Upon request of a person, the filing officer will issue a certificate showing whether there is on file on the date and time stated therein, a presently effective intangible transition property notice naming a particular grantor or assignor and a notice of assignment and, if there is, giving the date and time of filing of each notice and the names and addresses of each financing party or assignee named therein. A certificate will also show whether there is on file on the date and time stated therein, a notice affecting intangible transition property of the grantor or assignor, and if there is, giving the date and time of filing of each notice. Upon request, the filing officer will furnish, upon payment of the requisite fee, a copy of a filed intangible transition property notice, or notice affecting intangible transition property of a grantor or assignor, or a continuation notice, termination notice, notice of assignment, notice of release or notice of retransfer respecting an intangible transition property notice.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.11 Record retention; admissibility; filing officer.
In lieu of retaining the original of a filing, a filing officer may make microfilm, photographic, photostat, electronic or other copies which accurately reproduce an original and may thereafter dispose of the originals so copied, and the copy will be admissible in evidence in a proceeding with the same effect as though it were an original. If a filing officer upon making a copy of a paper disposes of the original, then upon the filing of a termination notice the filing officer will be relieved of the duties imposed regarding the underlying intangible transition property notice, and instead will mark the termination notice on the index and will send to the financing party an acknowledgement of the filing of the termination notice.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.12 Fees.
(a) The fees are those in § 1.43(a) (relating to schedule of fees payable to the Commission) for services. The fees in § 1.43(a) governing this chapter are based on the total direct and indirect administrative cost of providing the service, including staffing and infrastructure support, necessary to effectuate the perfection of a security interest under the act and as required by 66 Pa. Code § 317(a) (relating to fees for services rendered by Commission).
(b) The initial filing fee will be that in § 1.43 for the filing of Form A. The fee for changes and other actions with respect to an intangible transition property notice in connection with an amendment, assignment, continuation, release, retransfer or termination will be that in § 1.43 for the filing of Form B. The forms will be available from the filing officer of the Commission. The fee for information requests relating to this chapter is the fee in § 1.43 for Chapter 74 related public information requests.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.13 Forms officer.
The filing officer shall also be the forms officer responsible for providing Forms to the public. The forms will include, at a minimum, the following:
(1) Form A, in Appendix A, for intangible transition property notice.
(2) Form B, in Appendix B, for any amendment, assignment, continuation, release, retransfer or termination of interest in an intangible transition property notice.
(3) An established fee schedule.
(4) Other forms as may be necessary to effectuate the perfection of a security interest under the act and this chapter.
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
52 Pa. Code § 74.14 Additional Commission filings; Commission information filing.
(a) Commission filing. The filing officer may place a copy of any filing in the Commission’s general docket and in the qualified rate order docket related to the intangible transition property covered by any intangible transition property notice.
(b) Informational filing. The filing officer will forward to the Department of State, for informational purposes only, a copy of any filing in accordance with the procedures and fees as determined to be necessary by the Department of State. Any failure of the Commission to make such an informational filing shall have no effect whatsoever on the perfection of a security interest in or transfer of an interest in intangible transition property under section 2812(d) of the act (relating primarily to perfection of security interests in intangible transition property). The Commission is not liable in law or equity for failure to make the informational filing.
For Filing Officer Only File Number: Filing Date:
General Docket Number:M-00970937
Name of Grantor or Assignor:
Address of Grantor or Assignor:
Name of Financing Party or Assignee:
Address of Financing Party or Assignee from which Information concerning the Security Interest or Transfer in Interest Intangible Transition Property may be obtained:
This Intangible Transition Property Notice covers the Intangible Transition Property arising from the following Qualified Rate Order:
Commission Docket Number: Date of Entry:
State whether the Intangible Transition Property Notice relates to all the above Qualified Rate Order and the amount of Intangible Transition Property arising therefrom, or only to a portion of such Order or Amount:
History
- Authority: The provisions of this Chapter 74 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 74 adopted October 17, 1997, effective October 18, 1997, 27 Pa.
Chapter 77 Pole Attachments
52 Pa. Code § 77.1 Statement of purpose and preemption.
This chapter exercises reverse preemption of the jurisdiction of the Federal Communications Commission over pole attachments under section 224(c) of the Pole Attachments Act (47 U.S.C. § 224(c)) to improve the ability of persons and entities to utilize pole attachments within this Commonwealth and subject to regulation under 47 U.S.C. § 224 and the regulations promulgated thereunder at 47 CFR Chapter I, Subchapter A, Part 1, Subpart J (relating to pole attachment complaint procedures).
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
52 Pa. Code § 77.2 Applicability.
(a) This chapter applies to all utility poles, ducts, conduits and rights-of-way under this Commission’s jurisdiction and subject to 47 U.S.C. § 224 and 47 CFR Chapter I, Subchapter A, Part 1, Subpart J (relating to pole attachment complaint procedures) as those regulations may be amended, but excluding any person or entity expressly exempted by 47 U.S.C. § 224(a)(1) and 47 CFR 1.1402(a) (relating to definitions).
(b) For the purposes of this chapter, the Commission will apply the definition of ‘‘pole attachments’’ as codified in section 224(a)(4) of the Pole Attachments Act (47 U.S.C. § 224(a)(4)), the definition of ‘‘utility’’ as codified in 47 U.S.C. § 224(a)(1), and the definition of ‘‘telecommunications carrier’’ as codified in 47 CFR 1.1402(h).
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
52 Pa. Code § 77.3 Commission oversight.
(a) This chapter establishes the Commission’s regulatory authority over the rates, terms and conditions of access to and use of utility poles, ducts, conduits and rights-of-way to the full extent of this Commission’s jurisdiction and authority and as provided for in 47 U.S.C. § 224 for pole attachments but excluding any person or entity expressly exempted by 47 U.S.C. § 224(a)(1) and 47 CFR 1.1402(a) (relating to definitions) as of 60 days after the effective date of this chapter.
(b) The Commission has the authority to consider the interests of the subscribers of the services offered by means of pole attachments, as well as the interests of the consumers of the utility services.
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
52 Pa. Code § 77.4 Adoption of Federal Communications Commission regulations.
(a) This chapter adopts the rates, terms and conditions of access to and use of utility poles, ducts, conduits and rights-of-way to the full extent provided for in 47 U.S.C. § 224 and 47 CFR Chapter I, Subchapter A, Part 1, Subpart J (relating to pole attachment complaint procedures), inclusive of future changes as those regulations may be amended.
(b) For an amendment or modification under paragraph (a) that takes effect in Pennsylvania by operation of law under paragraph (c) or (e), the Commission will publish notice of the effective date in Pennsylvania in the Pennsylvania Bulletin.
(c) Notwithstanding paragraph (b), an amendment or modification under paragraph (a) shall take effect 60 days after the effective date of the Federal change unless the Commission publishes a notice in the Pennsylvania Bulletin stating that the amendment or modification may not take effect.
(d) A Commission notice issued under paragraph (c) will provide an opportunity for public comment on the Federal change. Comments may be filed with the Commission no later than 15 days following publication of the Commission notice in the Pennsylvania Bulletin.
(e) An amendment or modification under paragraph (a) that is the subject of a Commission notice pursuant to paragraph (c) shall become effective 60 days after publication of the notice in the Pennsylvania Bulletin unless the Commission determines otherwise for good cause shown.
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
52 Pa. Code § 77.5 Resolution of disputes.
(a) Persons and entities subject to this chapter may utilize the mediation, formal complaint and adjudicative procedures under 52 Pa. Code Chapters 1, 3 and 5 (relating to rules of administrative practice and procedure; special provisions; and formal proceedings) of the Commission’s regulations to resolve disputes or terminate controversies.
(b) Parties before the Commission under this chapter shall employ the procedural requirements in 52 Pa. Code Chapters 1, 3 and 5, Title 66 Pa.C.S. (relating to the public utility code), and related Commission precedent except where silent, in which case 47 U.S.C. § 224 or 47 CFR Chapter I, Subchapter A, Part 1, Subpart J (relating to pole attachment complaint procedures) will control.
(c) When exercising authority under this chapter the Commission will consider Federal Communications Commission orders promulgating and interpreting Federal pole attachment rules and Federal court decisions reviewing those rules and interpretations as persuasive authority in construing the provisions of 47 U.S.C. § 224 and 47 CFR Chapter I, Subchapter A, Part 1, Subpart J.
(d) The Commission will take final action consisting of an order that will issue within 180 days of the filing of a formal complaint initiating a pole attachment dispute as required by 47 U.S.C. § 224(c)(3)(B)(i) except for good cause shown. If the Commission determines that a final action will not issue within 180 days, the Commission will issue a final action consisting of an order no later than 270 days from the filing of the formal complaint as permitted by 47 U.S.C. § 224(c)(3)(B)(ii).
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
52 Pa. Code § 77.6 Voluntarily negotiated agreements.
(a) This chapter does not prevent or limit the ability of a pole owner and an attaching entity to enter into a voluntarily negotiated written agreement regarding the rates, terms and conditions for pole attachment access.
(b) Voluntarily negotiated agreements are preferred and encouraged by the Commission.
(c) This chapter does not supersede or modify any lawful rate, term or condition of a voluntarily negotiated written agreement.
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
52 Pa. Code § 77.7 Working Group.
(a) Purpose. The Commission will establish a pole attachment working group to ensure that the Commission remains apprised of industry concerns, that Federal amendments are properly vetted before becoming effective in this Commonwealth and that dispute resolution processes are efficient and effective.
(b) Creation of Working Group. The Commission’s Law Bureau will establish the Working Group, in coordination with the Commission’s Bureau of Technical Utility Services and the Office of Special Assistants, no later than 30 days from the effective date of this chapter.
(c) Membership. The Commission will invite persons and entities that it determines to be in the public interest to participate in the Working Group including, but not limited to, the following:
(1) Commission staff from the Law Bureau, Technical Utility Services, and the Office of Special Assistants.
(2) Pole owners.
(3) Pole attachers.
(4) The statutory advocates.
(5) Interest groups, including the Pennsylvania Telephone Association, the Broadband Cable Association of Pennsylvania, and the Pennsylvania Office of Broadband Initiatives or their respective successor persons or entities.
(d) Meeting Frequency. The Working Group shall convene at least once annually but may convene at other times, as the Working Group deems necessary or at the direction of the Commission.
(e) Duties. The Working Group shall:
(1) Monitor and advise the Commission on Federal and State pole attachment issues, including advising the Commission on whether to adopt any future change to the FCC’s pole attachment rules.
(2) Provide an ongoing forum for stakeholders, pole owners and pole attachers to discuss issues and ideas regarding effective pole attachment regulations.
(3) Evaluate the effectiveness and efficiency of Commission complaint, mediation and dispute resolution processes.
(f) Reporting. The Law Bureau will annually report its findings on issues developed in the pole attachment Working Group along with any recommended Commission action as appropriate.
History
- Authority: The provisions of this Chapter 77 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 77 adopted January 17, 2020, effective January 18, 2020, 50 Pa.
Subpart D Consumer Affairs
Chapter 91 Consumer Advisory Council
52 Pa. Code § 91.1 Creation of the Council.
The Consumer Advisory Council to the Pennsylvania Public Utility Commission is hereby created, and shall be known in this subpart as the Council.
History
- Authority: The provisions of this Chapter 91 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 91 adopted April 15, 1977, 7 Pa.
52 Pa. Code § 91.2 Purposes of the Council.
The purpose of the Council shall be to advise the Commission upon matters relating to the protection of consumer interests as those interests are affected by the Commission’s exercise of its jurisdiction as provided by law. Nothing in this chapter shall prevent or discourage advice on any subject which will aid the Commission in pursuance of its regulatory duties.
The provisions of this § 91.2 amended December 30, 1994, effective December 31, 1994, 24 Pa.B. 6568. Immediately preceding text appears at serial page (172425).
This section cited in 52 Pa. Code § 91.3 (relating to powers and duties of the Council).
History
- Authority: The provisions of this Chapter 91 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 91 adopted April 15, 1977, 7 Pa.
52 Pa. Code § 91.3 Powers and duties of the Council.
(a) The Council shall consider all matters within the scope of § 91.2 (relating to purposes of the council) which arise from:
(1) Consumer inquiry or request;
(2) Commission inquiry or request; or
(3) The proceedings, deliberations, or motions of the Council itself.
(b) The Council shall make periodic reports to the Commission regarding the activities of the Council and its recommendations as to how the Commission may better serve the public and, particularly, the interest of ratepayers.
(c) The Council, in considering matters within its jurisdiction, may conduct investigations and may solicit and receive comments from interested parties and the general public.
(d) The Council shall hold regular meetings not less than quarterly in such places as it may deem appropriate in the performance of its duties.
(e) All meetings of the Council shall be open to the public and shall be preceded by reasonable notice of the date, time, and place thereof. Notice of all Council meetings shall be made to the media through the Public Information Office of the Commission.
(f) Copies of all Council actions shall be filed with the Secretary and the Bureau of Consumer Services.
History
- Authority: The provisions of this Chapter 91 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 91 adopted April 15, 1977, 7 Pa.
52 Pa. Code § 91.4 Composition of the Council.
(a) Terms and numbers of members and officers. Terms and numbers of members and officers shall conform with the following:
(1) Terms. Members of the Council shall serve a 2-year term but may be reappointed thereafter without limit. An officer of the Council shall serve for a term of 2 years. A Chairperson may not act for more than 2 consecutive terms.
(2) Number of members and officers. The members of the Council shall select the following from one of their number:
(i) A chairperson.
(ii) Other officers as the Council deems appropriate.
(b) Quorum. For all purposes, a quorum of the Council shall consist of one more than half of the members then appointed.
(c) Qualifications and appointment of Council members. Qualifications and appointment of Council members shall conform with the following:
(1) The Council shall be composed of persons who, as a group, reflect a reasonable geographic representation of this Commonwealth and shall include low-income individuals, members of minority groups and various classes of consumers.
(2) A person may not serve as a member of the Council if that person does one of the following:
(i) Occupies an official relation to a public service company or public utility.
(ii) Holds or is a candidate for a paid appointive or elective office of the Commonwealth.
(3) The Commission will appoint members of the Council as appropriate to comply with this chapter. Additional members shall be appointed by each of the following persons:
(i) The Governor.
(ii) The Lieutenant Governor.
(iii) The Majority Chairperson of the Senate Consumer Protection and Professional Licensure Committee.
(iv) The Minority Chairperson of the Senate Consumer Protection and Professional Licensure Committee.
(v) The Majority Chairperson of the House Consumer Affairs Committee.
(vi) The Minority Chairperson of the House Consumer Affairs Committee.
(4) An individual listed in paragraph (3) who appoints a member of the Council may, during his term in the position named, revoke the appointment and name another person to the position.
(5) The appointee of an individual listed in paragraph (3) shall continue to serve even if the individual appointing him no longer holds the office listed unless the successor in office to that individual revokes the appointment and names a different person to complete the remainder of the term.
The provisions of this § 91.4 amended December 30, 1994, effective December 31, 1994, 24 Pa.B. 6568. Immediately preceding text appears at serial pages (172426) and (98739) to (98740).
History
- Authority: The provisions of this Chapter 91 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 91 adopted April 15, 1977, 7 Pa.
52 Pa. Code § 91.5 Salaries and expenses of the Council and its members.
The members of the Council shall serve without compensation but shall be entitled to reimbursement for all necessary expenses actually incurred in the discharge of their duties, including travel; and, subject to budgetary restrictions, the Commission will provide the Council reasonable amounts of staff assistance. All costs covered by this section will be borne by the Commission.
History
- Authority: The provisions of this Chapter 91 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 91 adopted April 15, 1977, 7 Pa.
Subpart E Public Utility Security Planning and Readiness
Chapter 101 Public Utility Preparedness through Self Certification
52 Pa. Code § 101.1 Purpose.
This chapter requires a jurisdictional utility to develop and maintain appropriate written physical security, cyber security, emergency response and business continuity plans to protect this Commonwealth’s infrastructure and ensure safe, continuous and reliable utility service. A jurisdictional utility shall submit a Self Certification Form to the Commission documenting compliance with this chapter.
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
52 Pa. Code § 101.2 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Abnormal operating condition—A condition possibly showing a malfunction of a component or deviation from normal operations that may:
(i) Indicate a condition exceeding design limits.
(ii) Result in a hazard to person, property or the environment. Business continuity plan—A written plan that will ensure the continuity or uninterrupted provision of operations and services through arrangements and procedures that enable a utility to respond to an event that could occur by abnormal operating conditions. Business recovery—The process of planning for and implementing expanded operations to address less time-sensitive business operations immediately following an abnormal operating condition. Business resumption—The process of planning for and implementing the restarting of defined business operations following an abnormal operating condition, usually beginning with the most critical or time-sensitive functions and continuing along a planned sequence to address all identified areas required by the business. Contingency planning—The process of developing advance arrangements and procedures that enable a jurisdictional utility to respond to an event that could occur by abnormal operating conditions. Critical functions—Business activities or information that cannot be interrupted or unavailable for several business days without significantly jeopardizing operations of the organization. Cyber security—The measures designed to protect computers, software and communications networks that sup-port, operate or otherwise interact with the company’s operations. Cyber security plan—A written plan that delineates a jurisdictional utility’s information technology disaster plan. Emergency response plan—A written plan describing the actions a jurisdictional utility will take if an abnormal operating condition exists. Infrastructure—The systems and assets so vital to the utility that the incapacity or destruction of the systems and assets would have a debilitating impact on security, economic security, public health or safety, or any combination of those matters. Jurisdictional utility—A utility subject to the reporting requirements of § 27.10, § 29.43, § 31.10, § 33.103, § 57.47, § 59.48, § 61.28, § 63.36 or § 65.19. Mission critical—A term used to describe essential equipment or facilities to the organization’s ability to perform necessary business functions. Physical security—The physical (material) measures designed to safeguard personnel, property and information. Physical security plan—A written plan that delineates the response to security concerns at mission critical equipment or facilities. Responsible entity—The person or organization within a jurisdictional utility designated as the security or emergency response liaison to the Commission. Self Certification Form—The Public Utility Security Planning and Readiness Self Certification Form. Test—A trial or drill of physical security, cyber security, emergency response and business continuity plans. Testing may be achieved through a sum of continuous partial testing rather than one distinct annual drill when an entire plan is tested from beginning to end.
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
52 Pa. Code § 101.3 Plan requirements.
(a) A jurisdictional utility shall develop and maintain written physical and cyber security, emergency response and business continuity plans.
(1) A physical security plan must, at a minimum, include specific features of a mission critical equipment or facility protection program and company procedures to follow based upon changing threat conditions or situations.
(2) A cyber security plan must, at a minimum, include:
(i) Critical functions requiring automated processing.
(ii) Appropriate backup for application software and data. Appropriate backup may include having a separate distinct storage media for data or a different physical location for application software.
(iii) Alternative methods for meeting critical functional responsibilities in the absence of information technology capabilities.
(iv) A recognition of the critical time period for each information system before the utility could no longer continue to operate.
(3) A business continuity plan must, at a minimum, include:
(i) Guidance on the system restoration for emergencies, disasters and mobilization.
(ii) Establishment of a comprehensive process addressing business recovery, business resumption and contingency planning.
(4) An emergency response plan must, at a minimum, include:
(i) Identification and assessment of the problem.
(ii) Mitigation of the problem in a coordinated, timely and effective manner.
(iii) Notification of the appropriate emergency services and emergency preparedness support agencies and organizations.
(b) A jurisdictional utility shall review and update these plans annually.
(c) A jurisdictional utility shall maintain and implement an annual testing schedule of these plans.
(d) A jurisdictional utility shall demonstrate compliance with subsections (a)—(c), through submittal of a Self Certification Form which is available at the Secretary’s Bureau and on the Commission’s website.
(e) A plan shall define roles and responsibilities by individual or job function.
(f) The responsible entity shall maintain a document defining the action plans and procedures used in subsection (a).
This section cited in 52 Pa. Code § 61.45 (relating to security planning and emergency contact list); and 52 Pa. Code § 101.6 (relating to compliance).
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
52 Pa. Code § 101.4 Reporting requirements.
(a) A utility under the reporting requirements of § 27.10, § 57.47, § 59.48, § 61.28, § 63.36 or § 65.19 shall file the Self Certification Form at the time each Annual Financial Report is filed, under separate cover at Docket No. M-00031717.
(b) A utility not subject to the financial reporting requirements in subsection (a), but subject to the reporting requirements of § 29.43, § 31.10 or § 33.103 (relating to assessment reports; assessment reports; and reports) shall file the Self Certification Form at the time each Annual Assessment Report is filed, under separate cover at Docket No. M-00031717.
This section cited in 52 Pa. Code § 101.6 (relating to compliance).
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
52 Pa. Code § 101.5 Confidentiality of self certification form.
A Self Certification Form filed at the Commission is not a public document or record and is deemed confidential and proprietary.
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
52 Pa. Code § 101.6 Compliance.
(a) The Commission will review a Self Certification Form filed under § 101.4 (relating to reporting requirements).
(b) The Commission may review a utility’s cyber security plan, physical security plan, emergency response plan and business continuity plan under 66 Pa.C.S. § § 504—506 (relating to reports by public utility; duty to furnish information to commission; and inspection of facilities and records).
(c) The Commission may inspect a utility’s facility, to the extent utilized for or necessary to the provision of utility service, to assess performance of its compliance monitoring under 66 Pa.C.S. § § 504—506.
(d) A utility that has developed and maintained a cyber security, physical security, emergency response or business continuity plan under the directive of another state or Federal entity that meets the requirements of § 101.3 (relating to plan requirements) may utilize that plan for compliance with this subpart, upon the condition that a Commission representative be permitted to review the cyber security, physical security, emergency response or business continuity plan. A company that is utilizing another entity’s plan shall briefly describe the alternative plan and identify the authority that requires the alternative plan along with the Self Certification Form filed with the Commission.
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
52 Pa. Code § 101.7 Applicability.
This chapter does not apply to an entity regulated by the Federal Railroad Safety Act (FRSA) (49 U.S.C.A. § § 20101—20153) and the Hazardous Materials Transportation Act (HMTA) (49 U.S.C.A. § § 5101—5127), if by August 10, 2005, it submits a certification to the Commission indicating that it has its own written physical and cyber security, emergency response and business continuity plans in place and is in compliance with the FRSA and HMTA.
History
- Authority: The provisions of this Chapter 101 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 101 adopted June 10, 2005, effective June 11, 2005, 35 Pa.
Chapter 102 Confidential Security Information
52 Pa. Code § 102.1 Purpose.
This chapter establishes procedures for public utilities to follow when filing records with the Commission containing confidential security information under Act 156 (Act 156), and procedures to address challenges by members of the public to a public utility’s designation of confidential security information or requests to examine records containing confidential security information in both adversarial and nonadversarial proceedings pending before the Commission.
This section cited in 52 Pa. Code § 121.4 (relating to filing and Commission review procedures).
History
- Authority: The provisions of this Chapter 102 issued under the Public Utility Confidential Security Information Disclosure Protection Act (35 P.
- Source: The provisions of this Chapter 102 adopted August 22, 2008, effective August 23, 2008, 38 Pa.
52 Pa. Code § 102.2 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act 156—The Public Utility Confidential Security Information Disclosure Protection Act (35 P. S. § § 2141.1—2141.6). Commission—The Pennsylvania Public Utility Commission. Challenger—A member of the public that challenges a public utility record as constituting confidential security information. Confidential security information—The term as defined in section 2 of Act 156 (35 P. S. § 2141.2). Facilities—The term as defined in section 2 of Act 156. Mass destruction—The term as defined in section 2 of Act 156. Member of the public—The term includes a legal resident of the United States, a public utility certified by the Commission, the Office of Consumer Advocate, the Office of Small Business Advocate or authorized Commission employees. Public utility—The term as defined in section 2 of Act 156. Requester—A member of the public that requests to examine a public utility’s confidential security information but who is not challenging the designation. Right-to-Know Law—65 P. S. § § 67.101—67.3104. Secretary—The Secretary of the Commission. Terrorist act—The term as defined in section 2 of Act 156.
This section cited in 52 Pa. Code § 121.4 (relating to filing and Commission review procedures).
History
- Authority: The provisions of this Chapter 102 issued under the Public Utility Confidential Security Information Disclosure Protection Act (35 P.
- Source: The provisions of this Chapter 102 adopted August 22, 2008, effective August 23, 2008, 38 Pa.
52 Pa. Code § 102.3 Filing procedures.
(a) Maintenance of records onsite. Unless required by order or other directive from the Commission or its staff that records containing confidential security information shall be filed with the Commission, public utilities shall do the following:
(1) Maintain any record containing confidential security information onsite.
(2) Certify that the record is present and up-to-date consistent with Chapter 101 (relating to public utility preparedness through self certification).
(3) Make the record containing confidential security information available for review upon request by authorized Commission employees.
(b) Filing requirements. When a public utility is required to submit a record that contains confidential security information to the Commission, the public utility shall do the following:
(1) Clearly state in its transmittal letter to the Commission that the record contains confidential security information and explain why the information should be treated as confidential. The transmittal letter will be treated as a public record and may not contain any confidential security information.
(2) Separate the information being filed into at least two categories:
(i) Records that are public in nature and subject to the Right-to-Know Law.
(ii) Records that are to be treated as containing confidential security information and not subject to the Right-to-Know Law.
(3) Stamp or label each page of the record containing confidential security information with the words ‘‘Confidential Security Information’’ and place all pages labeled as containing confidential security information in a separate envelope marked ‘‘Confidential Security Information.’’
(4) Redact the portion of the record that contains confidential security information for purposes of including the redacted version of the record in the public file.
(c) Public utility’s responsibility. The public utility has the responsibility to identify records as containing confidential security information. When the public utility fails to designate a record as containing confidential security information, it does not obtain the protections offered in this chapter and in Act 156. Any record that is not identified, stamped and separated as set forth in subsection (b), may be made available to the public under the Right-to-Know Law.
(d) Commission’s responsibility with marked records. When a public utility files a record containing confidential security information, the unopened envelope will be given to the Commission employee authorized to review the filing. The authorized person will make a preliminary determination whether the information has been properly designated in accordance with the definition of confidential security information under Act 156. If the marked information is deemed to have been improperly designated, the authorized person will give the submitter an opportunity to resubmit the record without the improper designation. If the submitter disagrees with this preliminary determination and advises the authorized person, the authorized person may submit the dispute to the Law Bureau for determination as a challenge in accordance with § 102.4 (relating to challenge procedures to confidentiality designation).
(e) Status of previously-filed unmarked records. Records containing what would otherwise be deemed confidential security information already on file at the Commission prior to May 29, 2007, the effective date of Act 156, are not covered by the protections offered in this chapter and in Act 156. To obtain the protections, the public utility shall resubmit and replace the existing records by following the filing procedures provided for in this section. When a public utility’s filing is intended to replace pre-Act 156 filed records, the Commission will waive any otherwise applicable filing fee. Within 30 days of refiling the records containing confidential security information, the Commission will destroy the original pre-act 156 filed records, with a certification of destruction provided to the public utility, or will return the records to the public utility by a secure method.
(f) Commission’s responsibility with unmarked records. When a request is made by a member of the public for an existing record that is not marked ‘‘Confidential Security Information’’ and Commission staff has reason to believe that it contains confidential security information, staff will refer the requested record to the Law Bureau for review. If the Law Bureau determines the record may contain confidential security information, the Law Bureau will provide the affected public utility with written notice of its determination and give it an opportunity to resubmit and replace the record with a copy that is marked ‘‘Confidential Security Information’’ pursuant to subsection (e). Failure by the public utility to respond to the written notice within 15 days from the date of the notice shall be deemed a negative response as to whether the record contains confidential security information.
(g) Electronic submissions. The Commission does not authorize the use of e-mail or any other electronic mail system to transmit records containing confidential security information.
This section cited in 52 Pa. Code § 121.4 (relating to filing and Commission review procedures).
History
- Authority: The provisions of this Chapter 102 issued under the Public Utility Confidential Security Information Disclosure Protection Act (35 P.
- Source: The provisions of this Chapter 102 adopted August 22, 2008, effective August 23, 2008, 38 Pa.
52 Pa. Code § 102.4 Challenge procedures to confidentiality designation.
(a) General rule for challenges or requests to review. When a member of the public challenges the public utility’s designation of confidential security information or requests in writing to examine confidential security information, the Commission will issue a Secretarial Letter within 5 days to the public utility notifying the public utility of the challenge to its designation or the request to examine records containing confidential security information.
(1) The matter will be referred to the Law Bureau for recommended disposition by the Commission.
(2) The Commission will have up to 60 days from the date the challenge or written request to review is filed with the Secretary’s Bureau to render a final decision. During the 60-day review period, the following process shall be used:
(i) For identification purposes, the challenger or requester, if not a statutory advocate or Commission employee, shall provide his full name, address, telephone number and a valid photo identification if an individual and its certification number, address and telephone number if it is a Pennsylvania utility.
(ii) For challenges, the challenger shall provide at the time it files the challenge a detailed statement explaining why the confidential security information designation should be denied.
(iii) For requests to review, the requester, if not a statutory advocate or Commission employee, shall provide at the time it files the request a detailed statement explaining the particular need for and intended use of the information and a statement as to the requester’s willingness to adhere to limitations on the use and disclosure of the information requested.
(iv) The public utility shall have 15 days from the date the challenge or request to review is filed with the Secretary’s Bureau to respond to the challenger’s or requester’s detailed statement in support of its position.
(v) The Law Bureau will have 15 days from the date the public utility’s response is filed with the Secretary’s Bureau to issue its recommended disposition to the Commission.
(b) Relevant factors to be considered for requests to review. The Commission will apply a balancing test that weighs the sensitivity of the designated confidential security information and the potential harm resulting from its disclosure against the requester’s need for the information. Applying this balancing test, a written request to review a record containing confidential security information will be granted only upon a determination by the Commission that the potential harm to the public utility or to the public of disclosing information relating to the public utility’s security is less than the requester’s need for the information. If the Commission determines that there are reasonable grounds to believe disclosure may result in a safety risk, including the risk of harm to any person, or mass destruction, the Commission will deny the request. In determining whether to grant a written request to review a record containing confidential security information, the Commission or the Law Bureau will consider, along with other relevant factors, the following:
(1) The requester’s willingness to sign a nondisclosure agreement prepared by the Law Bureau. The agreement shall be executed prior to any release of confidential security information.
(2) The requester’s willingness to consent to a criminal background check.
(3) The conditions, if any, to place on release of the information and the requester’s willingness to consent in writing to comply with these conditions.
(c) Written notification of disposition. The Commission will provide, within the 60-day period, written notification of its decision on confidentiality to the public utility and the member of the public that requested to examine the records containing confidential security information or challenged the designation made by the public utility. Failure by the Commission to act within the 60-day period will be deemed a denial of the challenge or the request to review. In the written notification, the Commission will affirmatively state whether the disclosure would compromise the public utility’s security against sabotage or criminal or terrorist act. When the Commission determines that a request for review will be granted, this grant may not invalidate or otherwise affect the record’s designation as containing confidential security information for any other purpose, request, or challenge.
(d) Appeal of Commission decision. The Commission’s decision on confidentiality under this chapter will be issued by order adopted at a public meeting. The public utility and member of the public shall have up to 30 days following entry of this order to file an appeal in Commonwealth Court.
(e) Treatment of records during pendency of review. During the challenge, request to review, or an appeal of the Commission’s final determination, the Commission will continue to honor the confidential security information designation by the public utility.
(f) Access for statutory advocates. Authorized individuals, as provided for in Act 156, employed by the statutory advocates shall be provided with access to confidential security information on file with the Commission when they provide the Commission with a justification for the need of the information and execute access agreements with the Commission that summarize responsibilities and personal liabilities when confidential security information is knowingly or recklessly released, published or otherwise disclosed. The Commission will provide written notice to the affected public utility prior to disclosure of the confidential security information to the requesting statutory advocate.
(g) Access for Commission staff. Unopened envelopes marked ‘‘Confidential Security Information’’ filed with the Commission will be given only to Commission employees authorized to review the information as provided for in Act 156. Authorized Commission employees will execute access agreements that summarize responsibilities and personal liabilities when confidential security information is knowingly or recklessly released, published or otherwise disclosed. Commission employees may decline designation as authorized individuals. Commission employees that agree to the designation will have their names added to the Authorized Access List maintained by the Commission’s Secretary’s Bureau. The Commission will withdraw designations when the employee no longer requires access to confidential security information because of a change in duties or position or when the employee fails to attend required training.
(h) Discovery requests in adversarial proceedings. The challenge and request to review procedures described in this chapter do not apply to exchanges of documents among parties in adversarial proceedings pending before the Commission. In adversarial proceedings, a party wishing to limit availability of records containing confidential security information must move for an appropriate protective order before the presiding officer in accordance with accepted rules and procedures for issuing protective orders.
This section cited in 52 Pa. Code § 102.3 (relating to filing procedures); and 52 Pa. Code § 121.4 (relating to filing and Commission review procedures).
History
- Authority: The provisions of this Chapter 102 issued under the Public Utility Confidential Security Information Disclosure Protection Act (35 P.
- Source: The provisions of this Chapter 102 adopted August 22, 2008, effective August 23, 2008, 38 Pa.
Subpart F Competitive Markets
Chapter 111 Marketing and Sales Practices for the Retail Residential Energy Market
52 Pa. Code § 111.1 General.
The purpose of this chapter is to establish standards and practices for marketing and sales activities for EGSs and NGSs and their agents to ensure the fairness and the integrity of the competitive residential energy market. EGSs and NGSs and their agents shall comply with these standards and practices when engaged in sales and marketing activities involving residential customers. When these standards and practices do not address a specific situation or problem, the supplier shall exercise good judgment and use reasonable care in interacting with customers and members of the public.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.2 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise. Act—Telemarketer Registration Act (73 P. S. § § 2241—2249). Agent—A person who conducts marketing or sales activities, or both, on behalf of a licensed supplier. The term includes an employee, a representative, an independent contractor or a vendor. The term also includes subcontractors, employees, vendors and representatives not directly contracted by the supplier who conduct marketing or sales activities on behalf of the supplier. Commission—The Pennsylvania Public Utility Commission. Customer—A natural person in whose name a residential EDC, NGDC, EGS or NGS service account is listed and who is primarily responsible for payment of bills rendered for the service. Disclosure statement—A written disclosure of the terms of service between a supplier and a customer that satisfies the definition of ‘‘consumer contract’’ in section 3 of the Plain Language Consumer Contract Act (73 P. S. § 2203) containing information as required in, and developed consistent with, § 54.5 (relating to disclosure statement for residential and small business customers) for electric generation service and § 62.75 (relating to disclosure statement for residential and small business customers) for natural gas supply service. Distribution company—An EDC or an NGDC. Door-to-door sales—A solicitation or sales method whereby an agent proceeds randomly or selectively from residence to residence. EDC—Electric distribution company—The term as defined in 66 Pa.C.S. § 2803 (relating to definitions). EGS—Electric generation supplier—The term as defined in 66 Pa.C.S. § 2803. Electric generation service—Electricity and related services. Energy service—Electric generation service or natural gas supply service. NGDC—Natural gas distribution company—The term as defined in 66 Pa.C.S. § 2202 (relating to definitions). NGS—Natural gas supplier—The term as defined in 66 Pa.C.S. § 2202. Natural gas supply services—The term as defined in 66 Pa.C.S. § 2202. Public event—An event in a public location which may facilitate sales and marketing activities or may result in a customer enrollment transaction. Sales and marketing—The extension of an offer to provide services or products communicated orally, electronically or in writing to a customer. Supplier—An EGS or an NGS. Telemarketing—An activity, plan, program or campaign using one or more telephones that is conducted to induce customers to purchase goods or services. See section 2 of the act (73 P. S. § 2242), regarding definitions. Transaction—A process by which a customer authorizes the transfer of his account to the supplier. Transaction document—Contracts and forms used by a supplier to enroll a customer for service. Verification—Customer validation of his intent to enter into a contract and receive service from a supplier. Verification process—An action by means of written, audio or electronic documentation by which a customer validates his intent to enter into a contract and receive service from a supplier.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.3 Supplier liability for its agent.
(a) A supplier may use an agent to conduct marketing or sales activities in accordance with applicable Commission rules, regulations and orders.
(b) In accordance with § 54.43(f) (relating to standards of conduct and disclosure for licensees) for an EGS and § 62.114(e) (relating to standards of conduct and disclosure for licensees) for an NGS, a supplier is responsible for fraudulent, deceptive or other unlawful marketing acts performed by its agent.
(c) Consistent with due process, for violations committed by the supplier’s agent, the Commission may:
(1) Suspend or revoke a supplier’s license.
(2) Impose fines for fraudulent acts, violations of Commission regulations and orders.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.4 Agent qualifications and standards; criminal background investigations.
(a) A supplier shall develop standards and qualifications for individuals it chooses to hire as its agents. A supplier may not hire an individual that fails to meet its standards.
(b) A supplier may not permit a person to conduct door-to-door sales and marketing activities until it has obtained and reviewed a criminal history record from the Pennsylvania State Police and from every other state in which the person resided for the last 12 months. For a current employee or agent who conducts sales and marketing activities, a supplier shall obtain a criminal history record by September 27, 2013.
(1) The criminal background investigation shall include checking the sex offender registry commonly referred to as the ‘‘Megan’s Law’’ registry maintained by the Pennsylvania State Police.
(2) A supplier may not hire a person as an employee or an agent for door-to-door marketing or sales who was convicted of a felony or misdemeanor when the conviction reflects adversely on the person’s suitability for this type of employment.
(c) When a supplier contracts with an independent contractor or vendor to perform door-to-door activities, the supplier shall confirm that the contractor or vendor has performed criminal background investigations on an agent in accordance with this section and with the standards set by the supplier.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.5 Agent training.
(a) A supplier shall ensure the training of its agents on the following subjects:
(1) State and Federal laws and regulations that govern marketing, telemarketing, consumer protection and door-to-door sales, including consumer protection regulations in Chapters 54 and 62 (relating to electricity generation customer choice; and natural gas supply customer choice), applicable provisions in Chapters 56, 57 and 59 (relating to standards and billing practices for residential utility service; electric service; and gas service) and the act.
(2) Responsible and ethical sales practices as described in this chapter.
(3) The supplier’s products and services.
(4) The supplier’s rates, rate structures and payment options.
(5) The customer’s right to rescind and cancel contracts.
(6) The applicability of an early termination fee for contract cancellation when the supplier has one.
(7) The necessity of adhering to the script and knowledge of the contents of the script if one is used.
(8) The proper completion of transaction documents.
(9) The supplier’s disclosure statement.
(10) Terms and definitions related to energy supply, transmission and distribution service as found in the dictionary of utility terms on the Commission’s web site at www.puc.pa.gov.
(11) Information about how customers may contact the supplier to obtain information about billing, disputes and complaints.
(12) The confidentiality and protection of customer information and § § 54.43(d) and 62.114 (relating to standards of conduct and disclosure for licensees).
(b) A supplier shall document the training of an agent and maintain a record of the training for 3 years from the date the training was completed.
(c) A supplier shall make training materials and training records available to the Commission upon request. A supplier is not required to submit training materials and programs for advance Commission review and approval.
(d) When a supplier contracts with an independent contractor or vendor to perform marketing or sales activities on the supplier’s behalf, the supplier shall confirm that the contractor or vendor has provided supplier-approved training to agents and independent contractors in accordance with this section.
(e) The supplier shall monitor telephonic and door-to-door marketing and sales calls to:
(1) Evaluate the supplier’s training program.
(2) Ensure that agents are providing accurate and complete information, complying with applicable rules and regulations and providing courteous service to customers.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.6 Discipline.
In developing internal agent discipline practices and procedures, a supplier shall consider the Commission’s regulations regarding the unauthorized transfer of customer accounts in § § 57.171—57.179 and 59.91—59.99 (relating to standards for changing a customer’s electricity generation supplier; and standards for changing a customer’s natural gas supplier) and the violation of other consumer protections.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.7 Customer authorization to transfer account; transaction; verification; documentation.
(a) A supplier shall establish a written, oral or electronic transaction process for a customer to authorize the transfer of the customer’s account to the supplier.
(1) A document used to complete a transaction must include a means to identify, when an agent is involved, the agent who completed the transaction and a notation indicating whether the transaction was the result of:
(i) A door-to-door call or other in-person contact with an agent.
(ii) A telephone contact with an agent.
(iii) A written document completed and mailed to a supplier by a customer outside the presence of, or without interaction with, an agent.
(iv) An electronic document completed and uploaded to a supplier’s web site or e-mailed to a supplier by a customer outside the presence of, or without interaction with, an agent.
(2) A supplier shall provide a copy of documentation used in a customer transaction to the Commission upon request.
(b) A supplier shall establish a process to verify a transaction that involved an agent. The process shall confirm that the customer authorized the transfer of the customer’s account to the supplier. This subsection does not apply to a transaction that was completed solely by the customer as set forth in subsection (a)(1)(iii) and (iv).
(1) A supplier may use a third party to verify transactions.
(2) The verification process shall be separate from the transaction process and initiated only after the transaction has been finalized. When verifying a transaction that resulted from an agent’s contact with a customer at the customer’s residence, the verification process shall be initiated only after the agent has physically exited the customer’s residence, unless the customer agrees that the agent may remain in the vicinity of the customer during the verification process. Prior to initiating the verification process, the agent shall inform the customer that the agent may not be in the vicinity during the verification unless the customer agrees to the agent’s presence.
(3) A customer shall be informed of the 3-business-day right of rescission of the transaction under § § 54.5(d) and 62.75(d) (relating to disclosure statement for residential and small business customers) and the customer’s rights under section 7 of the Unfair Trade Practices and Consumer Protection Law (73 P. S. § 201-7) at the end of the verification process contact.
(4) A supplier shall maintain a record of a verification in a system that is capable of retrieving the record by customer name and customer account number for a period of time equivalent to at least six billing cycles to enable compliance with § 57.177 (relating to customer dispute procedures) for an EGS and § 59.97 (relating to customer dispute procedures) for an NGS.
(5) The verification record must include the transaction documents and the following information:
(i) The date that the transaction was completed.
(ii) The name or identification number of the agent that completed the transaction.
(iii) The date of the verification.
(iv) The name or identification number of the individual that conducted the verification.
(v) The results of the verification.
(vi) The date that the disclosure statement was provided to the customer and the method by which it was provided.
(6) A supplier shall provide copies of verification records to the Commission upon request.
(c) When a supplier is informed that a transaction could not be verified, the supplier shall contact the customer by telephone, e-mail or letter and explain that the transaction could not be verified. The supplier may offer assistance to correct the problem so that the transaction can be resubmitted to the verification process.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.8 Agent identification; misrepresentation.
(a) A supplier shall issue an identification badge to agents who conduct door-to-door activities or appear at public events. The badge must:
(1) Accurately identify the supplier, its trade name and logo.
(2) Display the agent’s photograph.
(3) Display the agent’s full name.
(4) Be prominently displayed.
(5) Display a customer-service phone number for the supplier.
(b) Upon first contact with a customer, an agent shall identify the supplier that he represents. The agent shall state that he is not working for and is independent of the customer’s local distribution company or other supplier. This requirement shall be fulfilled by both an oral statement by the agent and by written material provided by the agent.
(c) When conducting door-to door activities or appearing at a public event, an agent may not wear apparel or accessories or carry equipment that contains branding elements, including a logo, that suggests a relationship that does not exist with an EDC, NGDC, government agency or another supplier.
(d) A supplier may not use the name, bills, marketing materials or consumer education materials of another supplier, EDC, NGDC or government agency in a way that suggests a relationship that does not exist.
(e) An agent of a supplier that is an affiliate of a distribution company shall comply with the rules regarding affiliate marketing in § 54.122 (relating to code of conduct) for an EGS and in § 62.142 (relating to standards of conduct) for an NGS.
(f) A supplier or supplier agent may not say or suggest to a customer that a utility customer is required to choose a competitive energy supplier.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.9 Door-to-door sales.
(a) A supplier and its agents shall comply with local ordinances regarding door-to-door marketing and sales activities. A supplier shall limit door-to-door marketing or sales activities to the hours between 9 a.m. and 7 p.m. during the 6 months beginning October 1 and ending March 31, and to the hours between 9 a.m. and 8 p.m. during the months beginning April 1 and ending September 30. When a local ordinance has stricter limitations, a supplier shall comply with the local ordinance.
(b) A supplier and its agents shall comply with regulations that govern marketing, consumer protection and door-to-door sales including consumer protection regulations in Chapters 54 and 62 (relating to electricity generation customer choice; and natural gas supply customer choice) and the applicable provisions in Chapters 56, 57 and 59 (relating to standards and billing practices for residential utility service; electric service; and gas service).
(c) When conducting door-to-door sales or marketing activities, an agent shall display his identification badge issued by the supplier. The identification shall be prominently displayed.
(d) When engaging in door-to-door sales or marketing activities, an agent shall comply with the following:
(1) After greeting the customer, the agent shall immediately identify himself by name, the supplier the agent represents and the reason for the visit. The agent shall state that he is not working for and is independent of the local distribution company or another supplier.
(2) The agent shall offer a business card or other material that lists the agent’s name, identification number and title, and the supplier’s name and contact information, including telephone number. This information does not need to be preprinted on the material. When the information is handwritten, it shall be printed and legible.
(e) When a customer’s language skills are insufficient to allow the customer to understand and respond to the information being conveyed by the agent, or when the customer or a third party informs the agent of this circumstance, the agent shall terminate contact with the customer.
(f) When an agent completes a transaction with a customer, the agent shall:
(1) Provide a copy of each document that the customer signed or initialed relating to the transaction. A copy of these documents shall be provided to the customer before the agent leaves the customer’s residence. If requested by the customer, a copy of the materials used by the agent during the call shall be provided to the customer as soon as practical.
(2) Explain the supplier’s verification process to the customer.
(3) State that the supplier shall send a copy of the disclosure statement about the service to the customer after the transaction has been verified if the disclosure statement has not been previously provided.
(4) State that the customer may rescind the transaction within 3 business days after receiving the disclosure statement.
(g) An agent shall immediately leave a residence when requested to do so by a customer or the owner or an occupant of the premises or if the customer does not express an interest in what the agent is attempting to sell.
(h) A supplier shall comply with an individual’s request to be exempted from door-to-door marketing and sales contacts and annotate its existing marketing or sales databases consistent with this request within 2 business days of the individual’s request.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.10 Telemarketing.
(a) A supplier and its agents shall comply with regulations that govern marketing, consumer protection and telemarketing sales including consumer protection regulations in Chapters 54 and 62 (relating to electricity generation customer choice; and natural gas supply customer choice) and applicable provisions in Chapters 56, 57 and 59 (relating to standards and billing practices for residential utility service; electric service; and gas service).
(1) A supplier that is licensed by the Commission and engages in telemarketing is not required to register as a telemarketer under section 3(a) of the act (73 P. S. § 2243(a)), regarding registration requirement, but shall comply with other provisions of the act.
(2) An agent that contracts with a supplier to conduct telemarketing and sales activities on behalf of the supplier shall register as a telemarketer and comply with the act.
(3) A supplier and its agents shall comply with the Telemarketing and Consumer Fraud and Abuse Prevention Act (15 U.S.C.A. § § 6101—6108) and 16 CFR Part 310 (relating to telemarketing sales rule).
(4) Customer consent to the release of customer information by the distribution company to the supplier to enable competitive solicitations does not constitute an express request to receive telephone solicitation calls. See section 5 of the act (73 P. S. § 2245), regarding unlawful acts and penalties. See the definition of ‘‘do not call list’’ in section 2 of the act (73 P. S. § 2242).
(b) An agent who contacts customers by telephone shall, after greeting the customer, immediately identify himself by name, identify the supplier the agent represents and the reason for the telephone call. The agent shall state that he is not working for and is independent of the local distribution company or another supplier. The agent may not say or suggest to a customer that a utility customer is required to choose a competitive energy supplier.
(c) When an agent completes a transaction with a customer, the agent shall explain the supplier’s verification process to the customer and state that the supplier will send a copy of the disclosure statement and other material about the service to the customer after the transaction has been verified. At the end of the telephone contact, the agent shall state that the customer may rescind the transaction within 3 business days after receiving the disclosure statement.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.11 Receipt of disclosure statement and right to rescind transaction.
(a) When a transaction is completed by a customer without the presence of or interaction with an agent and is not submitted to the verification process, a supplier shall provide the customer with a copy of its disclosure statement as soon as it is practical. A customer shall have the right to rescind the transaction within 3 business days after receiving the disclosure statement. See § 54.5(d) (relating to disclosure statement for residential and small business customers), which applies to EGSs, and § 62.75(d) (relating to disclosure statement for residential and small business customers), which applies to NGSs.
(b) After a transaction that involved an agent has been completed and verified, a supplier shall provide the customer with a copy of its disclosure statement. The disclosure statement may be provided in-person or by United States mail. The disclosure statement may be provided electronically if the customer consents to electronic delivery. A customer shall have the right to rescind the transaction within 3 business days after receiving the disclosure statement.
(c) There shall be a rebuttable presumption that a disclosure statement correctly addressed to a customer with sufficient first class postage attached shall be received by the customer 3 days after it has been properly deposited in the United States mail. If delivered in-person, the disclosure will be considered received by the customer on the date of delivery. If delivered electronically, the disclosure will be considered received by the customer on the date it was transmitted electronically.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.12 Consumer protection.
(a) A supplier and its agents may not discriminate in the provision of electric generation and natural gas as to availability and terms of service to a customer based on race, color, religion, national origin, sex, marital status, age, receipt of public assistance income and exercise of rights under the Consumer Credit Protection Act (15 U.S.C.A. § § 1601—1693r) and 12 CFR Part 202 (relating to Equal Credit Opportunity Act (Regulation B)). This requirement is consistent with § 54.43(e) (relating to standards of conduct and disclosure for licensees) for EGSs and § 62.114(e) (relating to standards of conduct and disclosure for licensees) for NGSs.
(b) A supplier and its agents that engage in door-to-door marketing or sales shall comply with the Federal cooling off period requirements. See 16 CFR Part 429 (relating to rule concerning cooling off period for sales made at homes or at certain other locations).
(c) A supplier and its agents shall comply with the 3-business-day cooling off period requirement in § 54.5(d) (relating to disclosure statement for residential and small business customers) that applies to EGSs and § 62.75(d) (relating to disclosure statement for residential and small business customers) that applies to NGSs. This cooling off period may run concurrently with the Federal cooling off period in subsection (b).
(d) A supplier:
(1) May not engage in misleading or deceptive conduct as defined by State or Federal law, or by Commission rule, regulation or order.
(2) May not make false or misleading representations including misrepresenting rates or savings offered by the supplier.
(3) Shall provide the customer with written information about the products and services being offered, or with instructions for where the information can be obtained.
(4) Shall provide accurate and timely information about services and products being offered. Information includes rates being offered, contract terms, early termination fees and right of cancellation and rescission.
(5) Shall ensure that product or service offerings made by a supplier contain information, verbally or written, in plain language designed to be understood by the customer. This includes providing written information to the customer in a language which the supplier’s representative has had substantive discussions with the customer or in which a contract is negotiated.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.13 Customer complaints.
(a) A supplier shall investigate customer inquiries, disputes and complaints concerning marketing or sales practices. The supplier shall cooperate with the Commission and other government agencies that are investigating complaints about marketing or sales practices prohibited by State and Federal laws and with local law enforcement officials that are investigating complaints about violations of local municipal law.
(b) A supplier shall implement an internal process for responding to and resolving customer inquiries, disputes and complaints. The process shall document as a record the customer inquiry, dispute or complaint, subsequent communications between the supplier and the customer, and the resolution of the inquiry, dispute or complaint. A supplier shall retain the record for a time period equivalent to six billing cycles in a system capable of retrieving that record by customer name and account number or by other effective means to obtain access to the information.
(c) The internal process shall comply with the applicable dispute regulations including:
(1) Section 54.9 (relating to complaint handling process).
(2) Section 56.141 (relating to dispute procedures).
(3) Section 56.151 (relating to general rule).
(4) Section 56.152 (relating to contents of the public utility company report).
(5) Section 57.177 (relating to customer dispute procedures).
(6) Section 59.97 (relating to customer dispute procedures).
(7) Section 62.79 (relating to complaint handling process).
(d) A supplier shall provide a single contact and a list of designated escalation contacts for the Commission staff to access to address consumer inquiries and resolve complaints.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
52 Pa. Code § 111.14 Notification regarding marketing or sales activity.
(a) When a supplier engages in door-to-door sales and marketing activity, the supplier shall notify the Bureau of Consumer Services no later than the morning of the day that the activity begins. The notification shall include general, nonproprietary information about the activity, the period involved and a general description of the geographical area.
(b) A supplier shall provide the local distribution company with general, nonproprietary information about the door-to-door sales and marketing activity that caused the supplier to provide notice to the Commission in accordance with subsection (a). The supplier shall provide this general information to the distribution company no later than the morning of the day that the sales and marketing activities begin. The distribution company shall use this information only for acquainting its customer service representatives with sales and marketing activity occurring in its service territory so that they may knowledgably address customer inquiries. Consistent with § 54.122 (relating to code of conduct) for an EDC and § 62.142 (relating to standards of conduct) for an NGDC, a distribution company may not use the information for other purposes.
(c) In responding to a customer inquiry about price and service, a distribution company may provide information about its own price and terms but shall refer the customer to the supplier for questions about the supplier’s prices and terms. This subsection does not apply in the context of a Commission-approved program that requires a distribution company to provide information about a supplier’s prices and terms.
History
- Authority: The provisions of this Chapter 111 issued under the Public Utility Code, 66 Pa.
- Source: The provisions of this Chapter 111 adopted June 28, 2013, effective June 29, 2013, 43 Pa.
Subpart G Distribution System Improvement Charge
Chapter 121 Long-Term Infrastructure Improvement Plan
52 Pa. Code § 121.1 Purpose.
To be eligible to recover the reasonable and prudently incurred costs regarding the repair, improvement and replacement of eligible property from a DSIC, a utility shall submit an LTIIP for Commission approval. See 66 Pa.C.S. § 1353 (relating to distribution system improvement charge). The LTIIP must show the acceleration of the replacement of aging infrastructure by the utility and be sufficient to ensure and maintain adequate, efficient, safe, reliable and reasonable service to customers.
52 Pa. Code § 121.2 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: AAO plan—Annual asset optimization plan—The plan and supporting documents identified in 66 Pa.C.S. § 1356 (relating to asset optimization plans) that specify the eligible property repaired, improved or replaced by a utility under its Commission-approved LTIIP. DSIC—Distribution system improvement charge—A charge imposed by a utility to recover the reasonable and prudent costs incurred to repair, improve or replace eligible property that is part of the utility’s distribution system under 66 Pa.C.S. § 1353 (relating to distribution system improvement charge). Eligible property—Property that is part of a distribution system and eligible for repair, improvement and replacement of infrastructure as defined in 66 Pa.C.S. § 1351 (relating to definitions). LTIIP—Long-term infrastructure improvement plan—The plan and supporting documents identified in 66 Pa.C.S. § 1352(a) (relating to long-term infrastructure improvement plan) that shall be submitted to and approved by the Commission for a utility to be eligible to recover costs from a DSIC mechanism, which includes information regarding the utility’s eligible property and its repair and replacement schedule. Major modification—A change to a utility’s previously approved LTIIP which meets at least one of the following criteria:
(i) Eliminates a category of eligible property from the LTIIP.
(ii) Extends the schedule for repair, improvement or replacement of a category of eligible property by more than 2 years.
(iii) Increases the total estimated cost of the LTIIP by more than 20%.
(iv) Otherwise reflects a substantial change to the current Commission-approved LTIIP. Qualified personnel—An individual who, by possession of a recognized degree, certificate or professional standing, or who by extensive knowledge, training and experience, has successfully demonstrated his ability to solve or resolve problems relating to the subject matter, the work or the project as established by the United States Department of Labor, Occupational Safety and Health Administration in 29 CFR 1926.32 (relating to definitions). Utility—A natural gas distribution company, electric distribution company, water utility, wastewater utility or city natural gas distribution operation subject to the jurisdiction of the Commission.
This section cited in 52 Pa. Code § 65.52 (relating to definitions); 52 Pa. Code § 66.32 (relating to definitions); and 52 Pa. Code § 121.5 (relating to modifications to and expiration of an LTIIP).
52 Pa. Code § 121.3 LTIIP.
(a) A utility seeking to implement a DSIC mechanism or to continue a previously-approved DSIC mechanism shall file an LTIIP. The LTIIP must include the following elements:
(1) Identification of types and age of eligible property owned and operated by the utility for which it is seeking DSIC recovery.
(2) An initial schedule for planned repair and replacement of eligible property.
(3) A general description of location of eligible property.
(4) A reasonable estimate of quantity of eligible property to be improved or repaired.
(5) Projected annual expenditures and means to finance the expenditures.
(6) A description of the manner in which infrastructure replacement will be accelerated and how repair, improvement or replacement will ensure and maintain adequate, efficient, safe, reliable and reasonable service to customers.
(7) A workforce management and training program designed to ensure that the utility will have access to a qualified workforce to perform work in a cost-effective, safe and reliable manner.
(8) A description of a utility’s outreach and coordination activities with other utilities, Department of Transportation and local governments regarding the planned maintenance/construction projects and roadways that may be impacted by the LTIIP.
(b) The LTIIP must address only the specific property eligible for DSIC recovery.
This section cited in 52 Pa. Code § 65.54 (relating to petitioning the Commission for a LSLR program); 52 Pa. Code § 66.34 (relating to petitioning the Commission for a DWSL program); 52 Pa. Code § 121.4 (relating to filing and Commission review procedures); and 52 Pa. Code § 121.5 (relating to modifications to and expiration of an LTIIP).
52 Pa. Code § 121.4 Filing and Commission review procedures.
(a) A utility seeking to implement a DSIC mechanism or to continue a previously-approved DSIC mechanism shall file an LTIIP for Commission approval. The LTIIP shall be filed with the Commission’s Secretary’s Bureau with copies served upon the Bureau of Investigation and Enforcement, the Office of Consumer Advocate, the Office of Small Business Advocate and the parties of record in the utility’s most recent base rate case. Service is evidenced by a certificate of service filed with the LTIIP.
(b) An LTIIP is a public document. If a utility believes that a portion of the information in the LTIIP qualifies as confidential security information under section 2 of the Public Utility Confidential Security Information Disclosure Protection Act (35 P. S. § 2141.2) or should be afforded proprietary and confidential treatment, the utility shall request proprietary treatment of the information pursuant to a protective order. See § § 5.365 and 102.1—102.4 (relating to orders to limit availability of proprietary information; and confidential security information). Confidential security information in the LTIIP shall be marked confidential by the utility and excluded from the public version of the filing.
(c) LTIIP filings are subject to a 30-day comment period. The LTIIP will be reviewed by Commission staff. The LTIIP will be referred to the Office of Administrative Law Judge for hearings and a decision if comments raise material factual issues.
(d) A utility has the burden of proof to demonstrate that its proposed LTIIP and associated expenditures are reasonable, cost effective and are designed to ensure and maintain efficient, safe, adequate, reliable and reasonable service to consumers.
(e) The Commission will review the filed LTIIP and determine if the LTIIP:
(1) Contains measures to ensure that the projected annual expenditures are cost-effective.
(2) Specifies the manner in which it accelerates or maintains an accelerated rate of infrastructure repair, improvement or replacement.
(3) Is sufficient to ensure and maintain adequate, efficient, safe, reliable and reasonable service.
(4) Meets the requirements of § 121.3(a) (relating to LTIIP).
(f) If the utility’s LTIIP, which has been filed for the purpose of implementing a DSIC mechanism or to continue a previously-approved DSIC mechanism, does not meet the criteria in this section or in § 121.3(a), the Commission will order the utility to file a new or revised LTIIP.
(g) If the Commission determines that the utility must file a new or revised LTIIP under subsection (f), the utility may elect to withdraw its filed LTIIP under § 1.82 or § 5.94 (relating to withdrawal or termination; and withdrawal of pleadings in a contested proceeding). If the utility elects to withdraw its LTIIP filing, the utility is not eligible to implement its proposed DSIC mechanism or to continue its previously-approved DSIC mechanism.
This section cited in 52 Pa. Code § 121.5 (relating to modifications to and expiration of an LTIIP).
52 Pa. Code § 121.5 Modifications to and expiration of an LTIIP.
(a) If a utility elects to modify a Commission-approved LTIIP during its term to incorporate a major modification to any of the elements in § 121.3(a) (relating to LTIIP), the utility shall file a separate petition for modification. The utility shall clearly identify the change and explain the operational, financial or other justification for the change in its petition. The petition will be subject to notice and an opportunity to be heard by interested parties. Parties shall have 30 days to file comments to the petition.
(b) Minor modifications to an LTIIP that are changes that do not qualify as major modifications as defined in § 121.2 (relating to definitions) will be addressed concurrent with Commission staff’s review of the utility’s AAO plan, if applicable.
(c) A utility seeking to continue its DSIC mechanism after expiration of its LTIIP shall file a new LTIIP with the Commission at least 120 days prior to the expiration of a currently-effective LTIIP. The new LTIIP must contain the elements in § 121.3(a) and is subject to the review under § 121.4 (relating to filing and Commission review procedures). If the utility fails to file a new LTIIP before the expiration of its prior LTIIP, the approved DSIC mechanism will terminate upon expiration of the prior LTIIP.
This section cited in 52 Pa. Code § 121.6 (relating to AAO plan filings).
52 Pa. Code § 121.6 AAO plan filings.
(a) A utility with an approved DSIC shall file with the Commission, for informational purposes, an AAO plan. The AAO plan shall be filed annually with the Commission 60 days after the 12 months of its LTIIP has expired and under this time frame for each successive year of the term of the LTIIP.
(b) An AAO plan must include:
(1) A description that specifies all the eligible property repaired, improved and replaced in the prior 12-month period under its LTIIP and prior year’s AAO plan.
(2) A description of the eligible property to be repaired, improved and replaced in the upcoming 12-month period.
(c) If a utility determines that a major modification to its LTIIP is necessary once it has finalized its AAO plan, it shall submit a separate petition for modification as set forth in § 121.5(a) (relating to modifications to and expiration of an LTIIP) to the Commission.
(d) An AAO plan will be reviewed by the Commission only to determine whether the utility is in substantial compliance with the repairs, improvements or replacements of the specific eligible property in its approved LTIIP for the corresponding 12-month time frames.
(e) Absent any major modifications to the LTIIP or Commission action to reject an AAO plan within 60 days of its submission to the Commission, the AAO plan will be deemed approved. The Commission may extend its consideration period if necessary.
(f) If an AAO plan is rejected by the Commission, the utility will be notified of the plan’s deficiencies and actions needed to repair, improve or replace eligible property to bring the utility into compliance with the work schedule in its approved LTIIP. If the utility concludes that it needs to revise its LTIIP to comply with the Commission’s determinations, it shall file a petition for modification under § 121.5.
This section cited in 52 Pa. Code § 65.59 (relating to LSLR program reports); and 52 Pa. Code § 66.39 (relating to DWSL program reports).
52 Pa. Code § 121.7 Periodic review of an LTIIP.
(a) The Commission will review a utility’s LTIIP at least once every 5 years or more frequently if deemed necessary to address safety, reliability or other issues related to the approved LTIIP.
(b) The Commission’s review will determine:
(1) If the utility has adhered to its LTIIP.
(2) If changes to the LTIIP are necessary to maintain and improve the efficiency, safety, adequacy and reliability of its existing distribution infrastructure.
(c) Unless otherwise directed, the Commission’s periodic review will begin at the midpoint of the term of the current LTIIP. The Commission will, by means of a Secretarial Letter, establish a schedule for comments and reply comments to aid in its periodic review.
(d) If the Commission determines during this periodic review that a utility’s approved LTIIP is no longer adequate to ensure and maintain efficient, adequate, safe, reliable and reasonable service, the Commission will direct the utility to revise, update or resubmit its LTIIP as appropriate. If the utility elects to withdraw its LTIIP filing under § 5.94 (relating to withdrawal of pleadings in a contested proceeding), the utility’s approved DSIC mechanism will immediately terminate and the utility may not recover the expenses for the work it has performed until it files a base rate proceeding.
This section cited in 52 Pa. Code § 65.57 (relating to periodic review of LSLR plan); and 52 Pa. Code § 66.37 (relating to periodic review of DWSL plan).
52 Pa. Code § 121.8 Enforcement of LTIIP implementation.
(a) A utility with a Commission-approved LTIIP is obligated to comply with the infrastructure replacement schedule and elements of that LTIIP. Compliance with the LTIIP will be evaluated on a multiyear basis over the life of the LTIIP. Construction expenditure variations in individual years and minor changes or deviations from the Commission-approved LTIIP may not be the basis for an enforcement complaint.
(b) A Commission-approved LTIIP may be subject to enforcement complaints brought by statutory advocates and other interested persons. Enforcement complaints may be referred to the Office of Administrative Law Judge for hearings and a decision, as appropriate.
(c) The remedy for noncompliance with an approved LTIIP is the termination of the utility’s approved DSIC mechanism.
Part II Philadelphia Parking Authority
Subpart A General Provisions
Chapter 1002 Advisory Committee
52 Pa. Code § 1002.1 Purpose.
This chapter establishes and prescribes certain procedures for the Philadelphia Taxicab and Limousine Advisory Committee.
History
- Authority: The provisions of this Chapter 1002 temporarily issued under 53 Pa.
- Source: The provisions of this Chapter 1002 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.
52 Pa. Code § 1002.2 Definitions.
The following word, when used in this chapter, has the following meaning, unless the context clearly indicates otherwise:
Advisory Committee—An advisory committee established under section 5702 of the act (relating to advisory committee).
History
- Authority: The provisions of this Chapter 1002 temporarily issued under 53 Pa.
- Source: The provisions of this Chapter 1002 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.
52 Pa. Code § 1002.3 Function of the Advisory Committee.
(a) The Advisory Committee may thoroughly consider questions and issues submitted by the Authority regarding the regulation, enforcement, compliance and operation of taxicabs and limousines in the City of Philadelphia and may prepare and transmit written responses to the Authority and the public.
(b) The Advisory Committee may submit suggestions and proposals to the Authority in writing on topics considered important by a majority of the Advisory Committee members.
(c) A majority of the members of the Advisory Committee plus one additional member constitute a quorum for purposes of subsection (b).
(d) The actions of the Advisory Committee will be considered strictly advisory and the Authority will give careful and due consideration to the comments and proposals of the Advisory Committee.
History
- Authority: The provisions of this Chapter 1002 temporarily issued under 53 Pa.
- Source: The provisions of this Chapter 1002 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.
52 Pa. Code § 1002.4 Meetings.
(a) The Director or other Authority designee will meet with the Advisory Committee on a monthly basis.
(b) The Advisory Committee chairperson will provide the date, time and location of each meeting under subsection (a) to the Director no later than 10 days prior to the scheduled meeting.
History
- Authority: The provisions of this Chapter 1002 temporarily issued under 53 Pa.
- Source: The provisions of this Chapter 1002 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.
Subpart B Taxicabs
Chapter 1011 General Provisions
52 Pa. Code § 1011.1 Purpose.
This subpart establishes and prescribes Authority regulations and procedures for taxicab service in Philadelphia.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.2 Definitions.
The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise: Controlling interest—
(i) A controlling interest is an interest in a legal entity, applicant or certificate holder if a person’s voting rights under state law or corporate articles or bylaws entitle the person to elect or appoint one or more of the members of the board of directors or other governing board or the ownership or beneficial holding of 5% or more of the securities of the corporation, partnership, limited liability company or other form of legal entity, unless this presumption of control or ability to elect is rebutted by clear and convincing evidence. A member, partner, director or officer of a corporation, partnership, limited liability company or other form of legal entity is deemed to have a controlling interest.
(ii) A person who owns or beneficially holds less than 5% of the securities of a privately held domestic or foreign corporation, partnership, limited liability company or other form of privately held legal entity shall be deemed as having rebutted the presumption of control by clear and convincing evidence. Department of Transportation—The Department of Transportation of the Commonwealth of Pennsylvania. Dispatcher’s certificate—A certificate issued by the Authority to a dispatcher. Driver history report—A driver’s license report issued by the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States containing details about a driver’s history including accidents and violations issued by a jurisdiction within the United States. Driver’s license—A license or permit to operate a motor vehicle issued by the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States. Federal Tax Identification number—The Social Security number of an individual or the Employer Identification number of a business entity, fiduciary or other person. Holding company—A person, other than an individual, which, directly or indirectly, owns, has the power or right to control or to vote 20% or more of the outstanding voting securities of a corporation or other form of business organization. A holding company indirectly has, holds or owns the power, right or security if it does so through an interest in a subsidiary or successive subsidiaries. Inspector—Enforcement Department uniformed or nonuniformed staff assigned to investigate and enforce the act, this part and orders of the Authority who will be identifiable by an Authority-issued badge number. Key employee—An individual who is employed in a director or department head capacity and who is empowered to make discretionary decisions that affect the operations of an applicant or a regulated person. Limousine certificate—A certificate granting the owner the right to operate a class of limousine service as provided in Subpart C (relating to limousines). Major violation—A suspension or cancellation of a state-issued driver’s license as a result of a moving violation. Medallion—A piece of metal in a shape and with a color to be determined by the Authority which is to be affixed to a vehicle by Authority staff before that vehicle may provide citywide taxicab service. Medallion lienholder—A person holding a recorded lien against a medallion as provided under section 5713 of the act (relating to property and licensing rights) and § 1013.21 (relating to notice of medallion lien). Medallion number—The number assigned to and placed on a particular medallion by the Authority, under § 1017.14 (relating to taxicab numbering). Medallion taxicab—A taxicab certified by the Authority to provide citywide taxicab service and affixed with a medallion by the Authority as provided in § 1013.2 (relating to attachment of a medallion) and section 5714(a) of the act (relating to certificate and medallion required). Medallion taxicab certificate—A certificate granting the owner the right to operate one or more medallion taxicabs under this part. Moving violation—A violation issued by the Commonwealth or any of its political subdivisions for a violation of 75 Pa.C.S. (relating to Vehicle Code), or a similar statute under any other jurisdiction, that upon conviction of the violation points are assessed against the driver’s license. Parking violations—Any debt owed to the City of Philadelphia related to a violation of the Philadelphia Traffic Code (12 Phila. Code § § 100—3012) that is not under appeal. Partial-rights taxicab—A taxicab authorized by the Authority to provide common carrier call or demand transportation of persons for compensation on a non-citywide basis, under Chapter 1015 (relating to partial-rights taxicabs), section 5711(c)(2.1) of the act (relating to power of authority to issue certificates of public convenience) and section 5714(d)(2) of the act. Partial-rights taxicab certificate—A certificate granting the owner the right to operate one or more partial-rights taxicabs under this part. Proposed buyer—The party seeking to acquire an ownership interest in a medallion or certificate, as the context provides. Seal—A security or software encryption device used for the purpose of preventing unauthorized access, capture or manipulation of data in meter systems or safety cameras, including an encryption key or wire seal. Traffic violations—A debt owed to the Commonwealth or one of its political subdivisions for violations of 75 Pa.C.S. that is not under appeal. Transfer fee—The nonrefundable fee charged by the Authority to review an application to sell transferable rights. WAV medallion—A medallion restricted to use on a wheelchair accessible vehicle (WAV) taxicab. WAV medallion taxicab—A taxicab to which a WAV medallion is attached by the Authority as provided in this chapter. WAV taxicab—A motor vehicle authorized by the Authority to provide taxicab service that meets the requirements of a ‘‘wheelchair accessible taxicab’’ as defined in section 5701 of the act (relating to definitions) and § 1017.8 (relating to wheelchair accessible vehicle taxicab specifications). WAV taxicab dispatcher—A dispatcher approved by the Authority to dispatch WAV taxicabs as provided in § 1019.8(b) (relating to dispatcher requirements). WAV taxicab driver—The individual to whom a current and valid WAV taxicab driver’s certificate has been issued by the Authority under section 5706 of the act (relating to driver certification program) and § 1021.5a (relating to special wheelchair accessible vehicle taxicab driver’s certificate and requirements). WAV taxicab driver’s certificate—The original photographic identification card issued by the Authority which confirms that an individual has complied with section 5706 of the act and § 1021.8 (relating to certain training subjects). Wheelchair—A manually-operated or power-driven device designed primarily for use by an individual with a mobility disability for the main purpose of indoor or of both indoor and outdoor locomotion.
The provisions of this § 1011.2 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.2 amended August 29, 2014, effective August 30, 2014, 44 Pa.B. 5662; amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373815) to (373816) and (373987) to (373988).
This section cited in 52 Pa. Code § 1001.10 (relating to definitions); 52 Pa. Code § 1011.9 (relating to taxicab service limitations); 52 Pa. Code § 1019.3 (relating to dispatcher application); 52 Pa. Code § 1021.4 (relating to ineligible persons for taxicab driver certificate); and 52 Pa. Code § 1027.7 (relating to required application information).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.3 Annual rights renewal process.
(Editor’s Note: This regulation has been recognized as invalid as applied to partial-rights taxicabs. Germantown Cab Company v. Philadelphia Parking Authority, 155 A.3d 669 (Pa. Cmwlth. 2017).)
(a) Expiration of driver and broker rights. All driver and broker rights will expire as follows:
(1) A taxicab driver’s certificate will expire 1 year from its date of issuance or renewal unless a taxicab driver opts to pay no more than double the annual renewal fee as provided in § 1011.4 (relating to annual assessments and renewal fees) to be issued a taxicab driver certificate to expire 2 years from the date of issuance or renewal.
(2) Except as provided in subsection (g), a broker registration will expire on June 30 of each year.
(b) Expired rights.
(1) Expired rights may be placed out of service by the Authority as provided in § 1003.32 (relating to out of service designation).
(2) Taxicab driver certificates that have been expired for 2 years or more will be deemed cancelled.
(3) Broker registrations that have been expired for 1 year or more will be deemed cancelled.
(c) Renewal forms.
(1) Rights in subsection (a) shall be renewed by completing and filing the required renewal form with the Manager of Administration. Renewal forms may be obtained on the Authority’s web site at www.philapark.org/tld or from TLD Headquarters.
(2) The renewal forms may require the submission of additional information or documents to confirm continuing eligibility under the act or this part.
(3) The renewal forms shall be verified as provided in § 1001.36 (relating to verification and affidavit) and filed as follows:
(i) For taxicab drivers’ certificates, Form DR-3 ‘‘Driver Renewal’’ shall be filed between 60 and 90 days before the expiration date printed on the taxicab driver’s certificate.
(ii) For broker registrations, Form BR-4 ‘‘Broker Renewal’’ shall be filed on or before February 15 of each year.
(d) Renewal denial. The Authority will deny renewal of rights in all of the following circumstances:
(1) If the owner of the rights subject to renewal fails to complete the renewal process.
(2) The renewal process reveals information about the renewing person that would have resulted in a denial of an initial application for the rights.
(3) The renewing person fails to comply with § 1011.4.
(e) Incomplete renewals. If the filing requirements of the renewal forms are incomplete for any reason, including compliance with § 1011.7 (relating to payment of outstanding fines, fees and penalties), the regulated party shall have 90 days from the filing date of the renewal form to complete the renewal process or the application will be rendered void.
(f) Suspended driver and broker rights. Rights subject to suspension for any reason must be renewed on the dates and in the manner provided by subsection (c)(3) regardless of the suspended status.
(g) New certificates and registrations. A certificate or broker registration will not be subject to the renewal or annual information filing requirements in this section during the calendar year in which it is first issued.
(h) Taxicab and dispatcher information filing.
(1) The owner of taxicab or dispatcher rights shall complete the annual information filing required under this subsection to ensure continued compliance with the act, this part and the orders of the Authority.
(2) The annual information filing required under this subsection shall be verified as provided in § 1001.36 and filed with the Manager of Administration as follows:
(i) For medallion taxicab certificates, Form TX-1 ‘‘Medallion Renewal’’ shall be filed on or before May 1 of each year.
(ii) For partial-rights taxicab certificates, Form PR-1 ‘‘Partial Rights Renewal’’ shall be filed on or before March 31 of each year.
(iii) For dispatcher certificates, Form DSP-6 ‘‘Dispatcher Renewal’’ shall be filed on or before March 31 of each year.
(3) The forms identified in paragraph (2) may require the submission of additional information or documents in furtherance of that review and may be obtained on the Authority’s web site at www.philapark.org/tld or from TLD Headquarters.
(4) The filing requirements of this subsection apply to rights subject to suspension for any reason.
(5) The failure to file any of the annual information filing forms required under this subsection will subject the applicable rights to an out of service designation as provided in § 1003.32(c).
(6) The TLD will not issue a TLD inspection sticker to a vehicle operated through a taxicab certificate if the review of the information required under this section reveals information about the certificate holder that would have resulted in a denial of an initial application for the rights. This paragraph does not relieve a certificate holder of any other penalty that may result from noncompliance, nor the obligation to appear at inspections as directed by the TLD.
(7) The annual information filings will be reviewed for all of the following:
(i) The filing does not reveal information about the certificate holder that would have resulted in a denial of an initial application for the rights.
(ii) The certificate holder is in compliance with § 1011.4.
(iii) The certificate holder is in compliance with § 1011.7.
(8) Failure to complete the annual information filing requirements of this subsection within 30 days of notice will subject the applicable rights to an out of service designation as provided in § 1003.32(c).
The provisions of this § 1011.3 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.3 amended October 17, 2014, effective October 18, 2014, 44 Pa.B. 6665; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373988) to (373990).
This section cited in 52 Pa. Code § 1013.32 (relating to bidder qualifications); 52 Pa. Code § 1017.42 (relating to prerequisites to inspection); 52 Pa. Code § 1019.8 (relating to dispatcher requirements); 52 Pa. Code § 1021.3 (relating to designation of taxicab driver’s certificates); 52 Pa. Code § 1021.5a (relating to special wheelchair accessible vehicle taxicab driver’s certificate and requirements); and 52 Pa. Code § 1029.1 (relating to purpose).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.4 Annual assessments and renewal fees.
(a) Assessments and renewal fees. The owners of rights issued by the Authority shall pay an annual assessment or renewal fee as follows:
(1) Taxicab drivers and brokers. A taxicab driver or broker shall pay a renewal fee in an amount established each year as set forth in the Authority’s annual fee schedule as provided in § 1001.43 (relating to Authority fee schedule).
(2) Medallion taxicab certificate holders. A medallion taxicab certificate holder shall pay an assessment amount that is 1% of the annual gross operating revenue of a medallion owner through fares collected excluding tips and tolls.
(3) Dispatcher certificate holders. A dispatcher certificate holder shall pay an assessment in an amount established each year under section 5707(c)(3) of the act (relating to budget and assessments).
(b) Payment of assessments by certificate holders.
(1) Medallion taxicab certificate holders. Assessment payments shall be made by each medallion taxicab certificate holder to the Authority on a quarterly basis of each fiscal year. The first quarter begins on July 1 and ends on September 30. The second quarter begins on October 1 and ends on December 31. The third quarter begins on January 1 and ends on March 31. The fourth quarter begins on April 1 and ends on June 30. The assessment payment is due within 30 days after service of the notice of assessment from the Authority as provided in § 1001.51 (relating to service by the Authority).
(2) Dispatcher certificate holder. A dispatcher certificate holder may pay the assessment in four equal installments with the first payment being due within 30 days after service of the notice of assessment as provided in section 5707.1(a) of the act (relating to assessment notice and hearings) and on September 15, December 15 and February 15 of each fiscal year.
(c) Payment of renewal fees by taxicab drivers. The annual renewal fee for taxicab drivers is due with the filing of the DR-3 as provided in § 1011.3(c)(3)(i) (relating to annual rights renewal process).
(d) Payment of renewal fees by brokers. The annual renewal fee for brokers is due with the filing of the BR-4 as provided in § 1011.3(c)(3)(ii).
(e) Late assessment or renewal fee payments. Rights issued by the Authority may be placed out of service at the time an assessment or renewal fee payment becomes late, as provided in § 1003.32(c) (relating to out of service designation).
(f) Assessment hearings.
(1) Within 15 days after service of notice of assessment, a medallion taxicab certificate holder or a dispatcher certificate holder may file a petition with the Authority which specifically avers the reason that the assessment is excessive, erroneous, unlawful or otherwise invalid.
(2) Petitions filed under this subsection shall be filed with the Clerk, served as provided in § 1001.52 (relating to service by a party), otherwise comply with § 1005.21 (relating to petitions generally) and will be assigned to a presiding officer for a recommended decision as provided in § § 1005.201—1005.204 (relating to recommended decisions).
(3) The Authority shall fix the time and place for a hearing on a properly filed petition and will serve notice thereof upon parties in interest. After the conclusion of the hearing, the Authority will issue a decision and findings in sufficient detail to enable a court to determine, on appeal, the controverted question presented by the proceeding and whether proper weight was given to the evidence.
(4) The filing of a petition under this subsection does not relieve the owner of the obligation to pay the assessment within the specified time frame. If a refund due from the Authority to the objecting owner or an additional assessment payment due from the objecting owner to the authority is required, the payment shall be made within 10 days after notice of the findings of the Authority.
(5) A suit or proceeding may not be commenced or maintained in a court for the purpose of restraining or delaying the collection or payment of an assessment made under this section. A person aggrieved by an order entered under this subsection is subject to § 1005.211 (relating to exceptions to recommended decisions).
The provisions of this § 1011.4 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.4 amended October 17, 2014, effective October 18, 2014, 44 Pa.B. 6665; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373990) to (373991).
This section cited in 52 Pa. Code § 1011.3 (relating to annual rights renewal process).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.5 Ineligibility due to conviction or arrest.
(a) A person is ineligible to own any interest in any right issued by the Authority if the person, or a person having a controlling interest in the person or a key employee, has been subject to a conviction as defined in § 1001.10 (relating to definitions).
(b) In the event a regulated party owning a transferable right becomes ineligible to hold rights issued by the Authority due to a conviction, the regulated party shall immediately cease use of the rights and initiate the sale of the rights to an eligible person as provided in Chapter 1027 (relating to sale of rights). If the regulated party is an individual medallion taxicab certificate holder or the sole owner of the securities of a medallion taxicab certificate holder, that person shall surrender to the Authority any medallion owned by the certificate holder and associated TLD inspection stickers to hold for safekeeping until the medallion is sold.
(c) A regulated party or applicant shall inform the Director within 72 hours of being subject to an arrest or conviction as defined under § 1001.10.
(d) In the event a criminal prosecution is initiated against a regulated party for a crime that may lead to a conviction as defined in § 1001.10, the Enforcement Department or trial counsel may place the subject rights out of service as provided in § 1003.32 (relating to out of service designation).
The provisions of this § 1011.5 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373991) to (373992) and (360407).
This section cited in 52 Pa. Code § 1011.9 (relating to taxicab service limitations); 52 Pa. Code § 1011.15 (relating to death or incapacitation of a certificate holder or certain persons with controlling interest); 52 Pa. Code § 1017.42 (relating to prerequisites to inspection); 52 Pa. Code § 1019.2 (relating to ineligible persons for dispatcher service); 52 Pa. Code § 1019.3 (relating to dispatcher application); 52 Pa. Code § 1027.7 (relating to required application information); and 52 Pa. Code § 1029.4 (relating to ineligible persons for broker certification).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.6 Fleet program.
(a) The Authority will maintain a fleet program to assist taxicab certificate holders with the process of accurately transferring liability for Philadelphia parking violations from the owner of the vehicle to the driver of the vehicle when the parking violation was issued.
(b) Each taxicab certificate holder engaged in the leasing of a taxicab to a taxicab driver shall enroll in the Authority’s fleet program. Information related to enrollment and an enrollment application may be obtained from the Authority at www.philapark.org/tld.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.7 Payment of outstanding fines, fees and penalties.
(a) Regulated persons and applicants for any right issued by the Authority shall pay all assessments, fees, penalties and other payments due to the Authority under the act, this part or an order of the Authority on schedule, unless the matter related to the payment is under appeal.
(b) Regulated persons and applicants for any right issued by the Authority shall remain current on the payment of parking violations and traffic violations, unless the violation is under appeal.
(c) For purposes of this section, regulated persons and applicants include those with a controlling interest in the regulated person or applicant, or both.
The provisions of this § 1011.7 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.7 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360407).
This section cited in 52 Pa. Code § 1011.3 (relating to annual rights renewal process); 52 Pa. Code § 1011.14 (relating to voluntary suspension of certificate); 52 Pa. Code § 1017.42 (relating to prerequisites to inspection); 52 Pa. Code § 1019.2 (relating to ineligible persons for dispatcher service); 52 Pa. Code § 1019.3 (relating to dispatcher application); 52 Pa. Code § 1021.5 (relating to standards for obtaining a taxicab driver’s certificate); 52 Pa. Code § 1021.7 (relating to taxicab driver training); 52 Pa. Code § 1027.7 (relating to required application information); 52 Pa. Code § 1029.4 (relating to ineligible persons for broker certification); and 52 Pa. Code § 1029.5 (relating to broker registration).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.8 Facility inspections.
(a) Inspectors may enter upon the premises of taxicab certificate holders where taxicabs are parked, stored or maintained during ordinary business hours to inspect vehicles or records, or both, associated with the operation of taxicabs in Philadelphia, including inspection reports and lease agreements between the certificate holder and another regulated party.
(b) Inspectors may enter upon the premises of dispatchers used to dispatch taxicabs in Philadelphia, during ordinary business hours, to inspect dispatching equipment or records, or both, to assure that the dispatcher’s equipment and procedures comply with the act and Chapter 1019 (relating to dispatchers).
(c) Inspectors may enter upon the premises of brokers during ordinary business hours to review records related to either completed or pending transfers filed with the Authority as provided in § 1027.6 (relating to application for sale of transferable rights) to assure compliance with the act and Chapter 1029 (relating to brokers).
This section cited in 52 Pa. Code § 1011.11 (relating to record retention).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.9 Taxicab service limitations.
(a) Providers. Only the following individuals may provide taxicab service:
(1) The owner, if the owner is a taxicab driver.
(2) An employee of the certificate holder who is a taxicab driver.
(3) A taxicab driver who leases the taxicab directly from the certificate holder.
(b) Supervision. A certificate holder shall continually supervise its taxicab to make certain that only those taxicab drivers authorized by this section provide taxicab service.
(1) A medallion taxicab certificate holder is required to ensure that a person holds a valid taxicab driver’s certificate issued by the Authority before permitting the person to drive a taxicab.
(2) A medallion taxicab certificate holder is required to ensure that a person holds a valid WAV taxicab driver’s certificate issued by the Authority before permitting the person to drive a WAV taxicab.
(c) Criminal history and driver history reports.
(1) A medallion taxicab certificate holder is required to conduct or have a third party conduct annual criminal history and driver history checks for taxicab drivers operating under the certificate holder’s medallion.
(i) The criminal history report shall be conducted on a local and National background check, which must include a multistate or multijurisdictional criminal records locator or other similar commercial Nationwide database with primary source validation and a review of the United States Department of Justice’s National Sex Offender Public Website.
(ii) The driver history report shall be obtained from the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States containing details about a driver’s history including accidents and violations issued by a jurisdiction within the United States.
(2) A medallion taxicab certificate holder shall review the criminal history and driving history reports before a taxicab driver operates under its medallion, and on annual basis thereafter, to ensure the driver has not been subject to a conviction as defined under § § 1001.10 and 1021.4 (relating to definitions; and ineligible persons for taxicab driver certificate), holds a current valid driver’s license, and has not been subject to three moving violations or a major violation as defined under § 1011.2 (relating to definitions).
(3) A taxicab driver whose criminal history or driver history renders the driver ineligible to operate a taxicab under § 1011.5 (relating to ineligibility due to conviction or arrest) or § 1021.4 shall be immediately disqualified by the medallion taxicab certificate holder and the disqualification shall be reported by the medallion taxicab certificate holder to the Director within 48 hours.
(4) Records required to be maintained by a medallion taxicab certificate holder under this subsection are subject to audits by the Authority under § 1011.11(d) (relating to record retention).
(d) Personal vehicle use prohibited. A vehicle registered as a taxicab within this Commonwealth may not be operated as a personal vehicle by a driver affiliated with a TNC under Chapter 57A of the act (relating to transportation network companies).
The provisions of this § 1011.9 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.9 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360408).
This section cited in 52 Pa. Code § 1011.11 (relating to record retention).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.10 Discrimination in service.
A regulated person may not refuse service to a member of the public on the basis of gender, sexual orientation, race, religious preference, nationality, age, point of origin, point of destination or to a person with a disability.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.11 Record retention.
(a) Records to be maintained. All of the following records shall be maintained in the English language for 2 years from the date of origin:
(1) Taxicab certificate holders.
(i) Each lease agreement for a taxicab or medallion, or both.
(ii) Records of payment by a driver under each lease agreement for a taxicab or medallion, or both.
(iii) Records related to accidents involving vehicles used as taxicabs, including repair records.
(iv) Trip sheets or service logs used by a certificate holder’s drivers when the certificate holder is exempted from the standard meter requirements in this subpart under § 1017.24(f) (relating to meter activation and display). The trip logs may be maintained on digital or other electronic devices as approved by the Authority upon a detailed written request by the certificate holder.
(2) Dispatchers.
(i) Records of dues paid by taxicab certificate holders or drivers for dispatching services.
(ii) Prior lists of associated taxicabs.
(iii) Prior rule books or other terms of participation applicable to taxicab certificate holders or drivers that are associated with the dispatcher.
(3) Brokers. Brokers shall retain documents submitted to the Authority for review of each proposed sale of rights, including closing documents
(b) Order. Paper or electronic records, or both, shall be maintained in chronological order by date and time of day.
(c) Review by Authority. A regulated party shall produce records maintained under subsection (a) to the Authority upon written request or upon inspection as provided in § 1011.8 (relating to facility inspections). In the event the records require a special form of software to search or interpret, a regulated party shall make that software available to the Authority.
(d) Audit of driver records.
(1) Maintenance period. Medallion taxicab certificate holders shall maintain records in the English language for 2 years from the date of origin concerning taxicab drivers under § 1011.9(b) (relating to taxicab service limitations).
(2) Compliance audit. The Authority may conduct a compliance audit of the records required to be maintained by a medallion taxicab certificate holder under § 1011.9(b) to verify that the certificate holder has complied with the taxicab driver screening requirements and to confirm that the certificate holder’s taxicab drivers are eligible to provide taxicab service under this part.
(3) Audit designation. Upon the random selection of a medallion taxicab being called for a compliance inspection under § 1017.31 (relating to vehicle inspections by the Authority), the medallion taxicab certificate holder will be notified by the Manager of Administration that it has also been designated for an audit under this section.
(i) Within 5 business days of receiving an audit designation, the medallion taxicab certificate holder shall make available for visual inspection to the Authority the records required to be maintained under § 1011.9(b) for each taxicab driver that has provided taxicab service in the immediately preceding 1 year using the medallion taxicab that was called for a compliance inspection.
(ii) The records shall be produced in person to the Manager of Administration or by email to TLDAdmin@philapark.org.
(iii) If an audit reveals that the medallion taxicab certificate holder authorized a taxicab driver to provide taxicab service when the criminal history report or driver history report revealed that the taxicab driver was ineligible under this part or the certificate holder did not conduct the annual records required under § 1011.9(b), the Authority may impose a penalty against the medallion taxicab certificate holder and taxicab driver under § 1001.61 (relating to penalties) and may subject the rights to an out of service designation under § 1003.32 (relating to out of service designation).
(iv) The medallion taxicab certificate holder shall immediately remove a noncompliant taxicab driver identified as provided in subparagraph (iii) from taxicab service upon the Authority’s direction.
(v) The Authority may alert other medallion taxicab certificate holders of the ineligibility of the noncompliant taxicab driver to protect the public good.
(4) Remedial audits.
(i) In the event that an audit discrepancy is identified as specified in paragraph (3)(iii), the Authority may direct a medallion taxicab certificate holder to submit a follow-up report detailing its efforts to ensure compliance with § 1011.9(b).
(ii) In the event that that an egregious audit discrepancy is identified or multiple audit discrepancies are identified or the Authority makes a determination that a medallion taxicab certificate holder has failed to reasonably cooperate in the driver information audit process, the Authority may direct a medallion taxicab certificate holder to participate in remedial audits.
(iii) A determination under this section is subject to § 1005.24 (relating to appeals from actions of the staff).
(iv) A remedial audit will proceed as provided in paragraph (3) and may subject a review of all taxicab drivers providing service in any medallion taxicab owned by the certificate holder during the immediately preceding year regardless of whether the taxicab was called for a compliance inspection.
(v) The Authority may direct one remedial audit at any time each month for a 4-month period following discovery of a violation under this section.
(e) Enforcement investigations. This section may not be construed to limit the power of the Authority to conduct enforcement investigations related to this part or the obligation of certificate holders and taxicab drivers to cooperate with investigations and produce information demanded as required under this part.
The provisions of this § 1011.11 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.11 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360408) and (373541).
This section cited in 52 Pa. Code § 1011.9 (relating to taxicab service limitations); 52 Pa. Code § 1017.62 (relating to taxicab leases); 52 Pa. Code § 1019.14 (relating to dispatcher records); 52 Pa. Code § 1021.17 (relating to partial-rights taxicab driver log); and 52 Pa. Code § 1029.14 (relating to broker conduct and obligations).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.12 Aiding or abetting violations.
A person may not aid, abet, encourage or require a regulated party to violate the act, this part or an order of the Authority.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.13 Interruptions of service.
(a) A discontinuance in the provision of taxicab service for 5 or more days shall be reported by the certificate holder to the Manager of Enforcement within 7 days of the discontinuation of service. The written report must include the cause of interruption and its probable duration and may be forwarded by email.
(b) A discontinuance in the provision of dispatcher service for 2 or more hours shall be reported by the certificate holder to the Manager of Enforcement in writing within 5 hours of the beginning of the discontinuation of service. The written report must include the cause of interruption and its probable duration and may be forwarded by email.
This section cited in 52 Pa. Code § 1011.14 (relating to voluntary suspension of certificate).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.14 Voluntary suspension of certificate.
(a) A certificate holder may apply to place a certificate or individual medallion in a voluntary state of suspension as provided in subsection (c) to avoid penalties for violation of § 1011.13 (relating to interruptions of service).
(b) The Authority will not grant an application for voluntary suspension if the approval will result in a reduction of 5% or more of the aggregate number of authorized medallion taxicabs in Philadelphia.
(c) To request approval from the Authority for the voluntary suspension of a certificate, the certificate holder shall file a completed CPC-1 ‘‘Voluntary Suspension Application’’ with the Director and pay the application fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The CPC-1 may be obtained at www.philapark.org/tld.
(d) Before a CPC-1 is granted, a certificate holder shall be in compliance with § 1011.7 (relating to payment of outstanding fines, fees and penalties).
(e) A medallion may be removed from a vehicle by either the Authority or a certificate holder only upon the granting of voluntary suspension as provided by this section. If a medallion is removed by the medallion owner, the medallion shall be delivered to the Authority within 2 business days to be held by the Authority for safekeeping as provided under § 1013.3 (relating to removal of a medallion).
The provisions of this § 1011.14 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.14 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373541) to (373542).
This section cited in 52 Pa. Code § 1011.14 (relating to bidder qualifications); 52 Pa. Code § 1013.3 (relating to removal of a medallion); 52 Pa. Code § 1013.32 (relating to bidder qualifications); and 52 Pa. Code § 1027.15 (relating to commencement of service).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.15 Death or incapacitation of a certificate holder or certain persons with controlling interest.
(a) Definitions. The following word, when used in this section, has the following meaning, unless the context indicates otherwise:
Incapacitation—A determination by a court that an individual is incapacitated as provided in 20 Pa.C.S. § 5511 (relating to petition and hearing; independent evaluation) or, for non-Pennsylvania residents, a substantially similar order from a court of competent jurisdiction.
(b) Death or incapacitation of an individual certificate holder.
(1) Except as provided in subsection (d), upon the death or incapacitation of an individual certificate holder, the operation or use of Authority rights conferred by the certificate may continue with the legal representative of the deceased or incapacitated certificate holder.
(2) The legal representative of the deceased or incapacitated certificate holder shall immediately notify the Authority in writing upon the death or incapacitation and provide to the Authority the legal representative’s mailing address, telephone number and email address along with the applicable documentation proving legal authorization to act on the part of the certificate holder.
(3) The legal representative of the deceased or incapacitated certificate holder shall immediately begin the process of finding a qualified person to buy the transferable rights as provided in Chapter 1027 (relating to sale of rights), including the use of a broker or attorney. Nothing in this section prohibits the legal representative from applying to the Authority to obtain the transferrable rights.
(4) In the event an SA-1 for the transferable right is not correctly filed, as provided in Chapter 1027, within 90 days of the date the certificate holder died or was declared incapacitated, the certificate will be placed out of service as provided in § 1003.32 (relating to out of service designation) and may be cancelled upon determination of a formal complaint filed by the Enforcement Department or trial counsel.
(5) In the event an SA-1 for the transferable right is correctly filed within 90 days of the date the certificate holder died or was declared incapacitated, the rights conferred by the certificate shall continue with the legal representative of the deceased or incapacitated certificate holder for the duration of the SA-1 review period and through closing on the sale.
(6) Paragraphs (4) and (5) do not apply if the transferable right is a medallion.
(c) Death, incapacitation or dissolution of certain persons with controlling interest in a certificate.
(1) Except as provided in subsection (d), upon the death, incapacitation or dissolution of a person that owns 5% or more of the certificate holder’s securities, the operation or use of the Authority rights conferred by the certificate may continue with either the certificate holder or with the legal representative of the deceased, incapacitated or dissolved person.
(2) The certificate holder or the legal representative of the deceased, incapacitated or dissolved person shall immediately notify the Authority in writing upon the death, incapacitation or dissolution of the person and provide to the Authority the legal representative’s mailing address, telephone number and email address along with the applicable documentation proving legal authorization to act on the part of the deceased, incapacitated or dissolved person.
(3) The certificate holder or the legal representative of the deceased, incapacitated or dissolved person shall immediately begin the process of finding a qualified person to buy the securities of the certificate holder referenced in paragraph (1) as provided in Chapter 1027, including the use of a broker or attorney. Nothing in this section prohibits the certificate holder from acquiring the securities of the person referenced in paragraph (1).
(4) In the event an SA-1 for the sale of the securities referenced in paragraph (1) is not correctly filed as provided in Chapter 1027 within 6 months of the date of the person’s death, incapacitation or dissolution, the certificate will be placed out of service as provided in § 1003.32 and may be cancelled upon determination of a formal complaint filed by the Enforcement Department or trial counsel.
(5) In the event an SA-1 for the sale of the securities referenced in paragraph (1) is correctly filed, as provided in Chapter 1027, within 6 months of the date of the person’s death, incapacitation or dissolution, the rights conferred by the certificate shall continue for the duration of the SA-1 review period and through closing on the sale.
(6) Paragraphs (4) and (5) do not apply if the transferable right is a medallion.
(d) Ineligibility of successor or legal representative. This section may not be interpreted to permit the operation or use of Authority rights by a person otherwise prohibited from the ability to receive Authority rights. For example, the executor of the estate on a deceased individual certificate holder who would be ineligible to possess Authority rights as provided in § 1011.5 (relating to ineligibility due to conviction or arrest) may not operate or supervise the operation of the rights conferred by the certificate.
The provisions of this § 1011.15 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1011.15 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373542) to (373543).
This section cited in 52 Pa. Code § 1011.17 (relating to limitations); and 52 Pa. Code § 1051.16 (relating to limitations).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.16 Power of successors by law.
(a) If a trustee, receiver, assignee, custodian or similar officer or officers is appointed by a court of competent jurisdiction, or is selected by creditors in accordance with provisions of law, with authority to take or retain possession and to operate the property and business of a certificate holder, the officer shall have authority to perform the service authorized in the certificate of the debtor certificate holder for 90 days from his appointment or selection.
(b) The appointed officer may petition the Authority for authorization to exercise the rights conferred by the certificate for an additional period of time, and the Authority may, for good cause shown, grant authority.
(c) If the petition is filed within 60 days of the appointment or selection of the petitioner, the appointed officer shall have authority to exercise the rights conferred by the certificate pending a decision by the Authority on the petition. Pertinent orders or decrees of the court having jurisdiction may be deemed cause for the granting of petitions by the Authority.
This section cited in 52 Pa. Code § 1011.17 (relating to limitations); and 52 Pa. Code § 1051.16 (relating to limitations).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.17 Limitations.
Operations covered under § § 1011.15 and 1011.16 (relating to death or incapacitation of a certificate holder or certain persons with controlling interest; and power of successors by law) are subject to the terms and conditions of the certificate of public convenience and may not be conducted without full compliance with the act, this part or an order of the Authority, including insurance coverage.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.18 Application review generally.
Application for rights required by this subpart will be reviewed as provided in § 1003.51 (relating to applications generally).
This section cited in 52 Pa. Code § 1011.18 (relating to application review generally).
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.19 Exclusive service.
Taxicabs may transport persons on request on an exclusive basis.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
52 Pa. Code § 1011.20 Service in unauthorized territory.
Taxicab service between points outside authorized territory may not be validated by the subterfuge of routing the taxicab through authorized territory. A certificate holder or taxicab driver may not attempt to evade operating rights restrictions by encouraging or causing the passengers to make a theoretical or actual fare-paying break in a trip by routing it through authorized territory.
History
- Authority: The provisions of this § 1011.
- Source: The provisions of this § 1011.
Chapter 1015 Partial-Rights Taxicabs
52 Pa. Code § 1015.1 Purpose.
This chapter establishes and prescribes certain Authority regulations and procedures for partial-rights taxicab service in Philadelphia.
History
- Source: The provisions of this § 1015.
52 Pa. Code § 1015.2 Certificate required.
(a) A partial-rights taxicab may not provide taxicab service in Philadelphia unless certificated by the Authority.
(b) Each vehicle operated as a partial-rights taxicab shall be registered with the Department of Transportation in the name of the owner of the partial-rights certificate.
(c) A partial-rights taxicab may not provide taxicab service to two points in Philadelphia unless one or both of the points is within the geographical boundaries identified in the partial-rights taxicab certificate holder’s Authority-approved tariff.
(d) A partial-rights taxicab may only accept a street hail for taxicab service at a location within the geographical boundaries identified in the partial-rights taxicab certificate holder’s Authority-approved tariff.
The provisions of this § 1015.2 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867. Immediately preceding text appears at serial page (360415).
History
- Source: The provisions of this § 1015.
Chapter 1019 Dispatchers
52 Pa. Code § 1019.1 Purpose and prohibition.
(a) This chapter establishes and prescribes Authority regulations and procedures for the certification and operation of dispatching services in Philadelphia under sections 5711(c)(6) and 5721 of the act (relating to power of authority to issue certificates of public convenience; and centralized dispatcher).
(b) A person may not provide dispatching services in Philadelphia without a certificate issued by the Authority as provided in this chapter.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.2 Ineligible persons for dispatcher service.
An applicant is ineligible to be a dispatcher under the following circumstances:
(1) If the applicant, a person with a controlling interest in the applicant or a key employee is ineligible to own Authority issued rights as provided in § 1011.5 (relating to ineligibility due to conviction or arrest).
(2) The applicant is incapable of providing dispatching services through persons or communication devices that speak, read and write the English language.
(3) The applicant, a person with a controlling interest in the applicant or a key employee knowingly makes a false statement on a dispatcher application.
(4) The applicant, a person with a controlling interest in the applicant or a key employee is in violation of § 1011.7 (relating to payment of outstanding fines, fees and penalties).
(5) The applicant or any person having a controlling interest over the applicant is 20 years of age or younger.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.3 Dispatcher application.
(a) General. To obtain a dispatcher’s certificate a person shall complete and file Form SA-1 ‘‘Sale Application’’ in person with the Director along with the application fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The SA-1 may be obtained on the Authority’s web site at www.philapark.org/tld.
(1) The applicant for a dispatcher’s certificate shall execute the SA-1 in the presence of the Director or a designee. If the applicant is not an individual, the application must include an original executed and notarized resolution from the applicant authorizing the execution and filing of the SA-1 application.
(2) The Director will refuse to accept an application which is incomplete for any reason.
(3) Upon acceptance, the Director will submit a copy of the application documents to the Clerk and an application docket number will be assigned.
(b) SA-1 application. The completed SA-1 shall be verified as provided in § 1001.36 (relating to verification and affidavit) and be filed with the Director in person by the owner of the applicant and include all of the information required by the Authority:
(1) The name of the applicant and contact information, including a mailing address, a business address of the exact location of dispatch operations, a telephone number, an email address and a facsimile number.
(2) An identification of the applicant as an individual or a person as provided in § 1001.10 (relating to definitions).
(3) If the applicant is not an individual, the following must be included:
(i) The articles of incorporation, operating agreement, formation documents or other applicable organizing documents for the applicant.
(ii) A certificate of good standing for the applicant from the Bureau of Corporations and Charitable Organizations.
(iii) A copy of the Department of State’s entity page for the applicant.
(iv) The trade name, if any, of the applicant and a copy of the trade name registration certificate, if applicable.
(v) The name of a holding company as defined in § 1011.2 (relating to definitions) having an interest in the proposed buyer and a contemporaneous certificate of good standing for the holding company from the Bureau of Corporations and Charitable Organizations, or similarly authorized entity in another jurisdiction in the United States.
(4) The mailing address and physical address of the applicant, if different.
(5) A list of all Authority or PUC certificates or other rights in which the applicant or any person with a controlling influence in the applicant has any controlling interest, including taxicab medallions.
(6) The name, address, telephone number, facsimile number and email address of any attorney or broker, or both, assisting the applicant through the Authority’s dispatcher certification process.
(7) A criminal history report issued within 30 days of the filing of the application from any jurisdiction in which all of the following individuals have lived during the last 5 years through the date of application:
(i) An individual applicant.
(ii) Any person with a controlling interest in the applicant.
(iii) Each key employee.
(8) A written statement verified as provided in § 1001.36, which provides that:
(i) The applicant, each person with a controlling interest in the applicant and each key employee have not been subject to a conviction as provided in § 1001.10.
(ii) The applicant, each person with a controlling interest in the applicant and each key employee are in compliance with § 1011.7 (relating to payment of outstanding fines, fees and penalties).
(iii) The applicant, each person with a controlling interest in the applicant and each key employee are current on all reports due in relation to other rights issued by the Authority.
(iv) The applicant can comply with the requirements in § 1019.8 (relating to dispatcher requirements).
(v) The proposed buyer has read and understands the prohibitions of ownership as provided in § 1011.5 (relating to ineligibility due to conviction or arrest).
(9) A copy of the applicant’s business plan.
(10) A completed original of Form DSP-3 ‘‘Business Experience Questionnaire.’’ A copy of the DSP-3 may be obtained on the Authority’s web site at www.philapark.org/tld.
(11) The Federal Tax Identification number of the applicant.
(12) A list including name, home address and telephone numbers for current corporate officers, directors, stockholders, key employees and persons with controlling interests as defined in § 1011.2, if applicable.
(c) DSP-2 application. At the time an SA-1 is filed, an applicant for a dispatcher’s certificate shall also file a DSP-2 ‘‘Dispatcher Colors and Markings Change/Application’’ as provided in § 1019.7 (relating to name, colors and markings review).
(d) Financial fitness generally. The Authority will review the financial fitness of the applicant for a dispatcher’s certificate, including all of the following:
(1) Bank statements of the applicant for a dispatcher’s certificate or bank statements of the holder of stock or membership certificate evidencing ownership of a bank account not less than the greater of $5,000 in unencumbered or available funds.
(2) The credit report of each of the persons identified in subsection (b)(12) evidencing a credit score of at least 600 for each person.
(3) The absence of any outstanding and unappealed civil judgments against each person identified in subsection (b)(12).
(4) The Authority may require the submission of additional financial information necessary to determine the financial fitness of an applicant for a dispatcher’s certificate.
(e) Broker. Documents intended for submission to the Director as part of the sale process shall be prepared by a broker registered with the Authority as provided in Chapter 1029 (relating to brokers) or an attorney admitted to practice law by the Supreme Court of Pennsylvania.
The provisions of this § 1019.3 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1019.3 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360438) and (373115).
This section cited in 52 Pa. Code § 1019.8 (relating to dispatcher requirements).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.4 Application changes.
An applicant for a dispatcher certificate shall immediately notify the Authority in writing of any changes that affect the accuracy of the information in the application while the application is under review by the Authority.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.5 Facility inspection.
(a) An applicant for a dispatcher’s certificate shall make its proposed operating locations available for inspection by the Enforcement Department as part of the application process and throughout the term of its status as a dispatcher. A facility inspection may be conducted without prior notice.
(b) Dispatchers shall provide all dispatching services from facilities located in this Commonwealth within 10 miles of Philadelphia.
The provisions of this § 1019.5 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1019.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373115).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.6 Review of dispatcher application.
(a) An application for a dispatcher’s certificate will be denied by the Authority if the dispatcher is unable to meet the requirements in this chapter, including § 1019.8 (relating to dispatcher requirements).
(b) An application for a dispatcher’s certificate will be denied if the applicant has a record of regulatory violations with the Authority or the PUC which evidences a disregard for the public interest.
(c) The application for a dispatcher’s certificate will be denied if the applicant or a person with controlling interest or a key employee of the applicant has been subject to the suspension, revocation or cancellation of rights issued by the Authority or common carrier rights issued by the PUC during the 1-year period immediately preceding the date the SA-1 was filed with the Authority.
(d) If the Director determines that the applicant for a dispatcher’s certificate is qualified as provided in the act, this part or an order of the Authority, and the applicant is capable of providing dependable service, a recommendation to approve the application will be presented to the Authority for approval at its next regularly scheduled meeting.
(e) Upon compliance with all requirements of this chapter and the Authority’s notice of approval, the Authority will issue a new dispatcher certificate to the new dispatcher as part of the approval process.
The provisions of this § 1019.6 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1019.6 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373115).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.7 Name, colors and markings review.
(a) To change or establish any fictitious operating name, colors or markings, a dispatcher shall file a DSP-2 ‘‘Dispatcher Colors and Markings Change/Application.’’ If the DSP-2 is being filed for purposes of a markings review and approval, the DSP-2 must be accompanied by the application fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The DSP-2 may be obtained on the Authority’s web site at www.philapark.org/tld.
(b) The Authority will not approve a DSP-2 application if it determines that the requested fictitious operating name or markings are similar to those of an existing dispatcher.
(c) Upon approval of a DSP-2 application, the dispatcher shall have the exclusive right to use the approved fictitious operating name and markings, provided the certificate has not expired or been cancelled.
(d) Each dispatcher shall use only a single name and marking scheme that is approved by the Authority for all the medallion taxicabs it dispatches.
(e) Each dispatcher shall use only the color scheme that is on file with the Authority for all medallion taxicabs it dispatches.
(f) Each dispatcher shall use a distinctive name and marking scheme for partial-rights taxicabs it dispatches as provided in § 1017.11(b) (relating to distinctive colors and markings).
(g) A dispatcher may not change an approved fictitious operating name or markings scheme without advance approval of the Authority as provided in this section.
(h) A dispatcher may not change its colors without advance notice to the Authority as provided in subsection (a).
(i) Upon the approval of a fictitious operating name or markings scheme, the Director will notify the dispatcher of the applicable time period of when all taxicabs affiliated with the dispatcher must display the new name or markings scheme.
(j) The colors and markings of a dispatcher must be consistent with the requirements in Chapter 1017 (relating to vehicle and equipment requirements).
The provisions of this § 1019.7 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1019.7 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373116).
This section cited in 52 Pa. Code § 1017.5 (relating to basic vehicle standards); 52 Pa. Code § 1017.11 (relating to distinctive colors and markings); 52 Pa. Code § 1017.12 (relating to required markings and information); and 52 Pa. Code § 1019.3 (relating to dispatcher application).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.8 Dispatcher requirements.
(a) General requirements. A dispatcher shall continually maintain standards and equipment capable of providing prompt and adequate service to the public, including all of the following:
(1) Technology that is approved by the Authority that facilitates two-way communication, in real time verbal and data, between the dispatcher and driver of a taxicab. A written description including the specifications of the two-way communication technology shall be submitted to the Authority for approval and inspection before a dispatcher may use the technology, unless the two-way communication has already been approved for use in conjunction with an approved meter system as provided in § 1017.23 (relating to approved meters).
(2) Respond to customer calls 24 hours a day.
(3) Have taxicabs available for dispatch 24 hours a day, 7 days a week.
(4) Dispatch taxicabs with current Authority rights to provide the service requested.
(5) Obtain the Authority’s confirmation, which may be provided by the Authority through email, of a taxicab’s good standing before beginning to provide it with dispatching service.
(6) Have at least one display advertisement in a telephone book with citywide circulation in Philadelphia or a web site which displays all of the information necessary to order a taxicab through the dispatcher.
(7) Have a minimum of four coordinated telephone lines to receive incoming calls for service from the public.
(8) Operate and maintain a taxicab meter system approved by the Authority as provided in § 1017.23, including computer hardware and software, means of communication between the dispatcher and each taxicab meter and the Authority.
(9) Answer customer questions about rates and services provided within 12 hours.
(10) Answer customer questions or complaints about service in writing and within 5 days of receipt of the complaint.
(11) Maintain records as provided in § 1019.14 (relating to dispatcher records).
(12) A dispatcher may not discriminate against nor allow its affiliated drivers to discriminate against any member of the public and may not refuse service to any section of Philadelphia. Partial-rights taxicabs may only be dispatched to provide service consistent with the certificate holder’s rights.
(13) A dispatcher shall be able to receive and respond to emergency or distress alerts received from taxicab drivers 24 hours a day, 7 days a week.
(14) In addition to the requirements in the act, this part or an order of the Authority, a dispatcher may institute rules of conduct for drivers and certificate holders associated with the dispatcher.
(15) A dispatcher shall report violations of the act, this part or an order of the Authority committed by a driver or certificate holder associated with the dispatcher to the Authority immediately.
(16) Upon receipt of a request for wheelchair accessible vehicle (WAV) taxicab service directly from a source, including a potential customer or as provided in § 1021.16(a) (relating to service issues regarding people with disabilities), a dispatcher not authorized to dispatch WAV taxicabs shall immediately forward the potential customer’s contact information and location to a WAV taxicab dispatcher through a means of electronic communication approved by the Authority.
(b) WAV taxicab dispatcher authorization and renewal.
(1) A dispatcher or applicant for a dispatcher’s certificate as provided in § 1019.3 (relating to dispatcher application) may request authorization to act as a WAV taxicab dispatcher by filing Form DSP-7 ‘‘WAV Dispatcher Authorization’’ with the Manager of Administration. Form DSP-7 is available on the Authority’s web site at www.philapark.org/tld.
(2) The authorization to dispatch WAV taxicabs is nontransferable.
(3) The authorization to dispatch WAV taxicabs will automatically expire on July 1 of each year. A dispatcher may reapply for WAV dispatcher authorization at the time it makes its annual filing as provided in § 1011.3 (relating to annual rights renewal process).
(4) The authorization to dispatch WAV taxicabs may be suspended, cancelled or revoked for a violation of the act, this part or an order of the Authority.
(5) Dispatchers engaged in dispatching of WAV taxicabs on August 30, 2014, may continue without the authorization required under paragraph (1) until July 1, 2015. This exemption does not apply to the dispatching of WAV medallion taxicabs.
(c) WAV taxicab dispatcher requirements.
(1) Only a WAV taxicab dispatcher may dispatch WAV taxicabs.
(2) A WAV taxicab dispatcher may not have less than 10% of the WAV taxicabs authorized by the Authority to provide citywide call or demand service in its association at all times. The Authority will maintain a current list of authorized WAV taxicabs on its web site at www.philapark.org/tld.
(3) A WAV taxicab dispatcher shall maintain a means of immediate and simultaneous telephone, Internet or other electronic communication with every WAV taxicab dispatcher that is approved in advance by the Authority. The Authority will post a list of approved communication methods on its web site at www.philapark.org/tld.
(4) Dispatchers shall give preference to persons seated in a wheelchair when dispatching a WAV taxicab.
(5) Customers referred to a dispatcher as provided in subsection (a)(16) or § 1021.16(a) shall be serviced in all ways as if the request were made directly to the dispatcher.
(6) In the event that a WAV taxicab dispatcher cannot provide a WAV taxicab to a requesting customer within 20 minutes, the request for service shall be forwarded by the WAV taxicab dispatcher to every other WAV taxicab dispatcher through the system required under paragraph (3).
(7) The information provided by the forwarding WAV taxicab dispatcher as provided in paragraph (6) must include the information necessary to provide the requested service, including all of the following:
(i) The time the request was received by the forwarding WAV dispatcher.
(ii) The time that the service is requested to begin.
(iii) The location where the WAV taxicab is expected to appear to initiate service.
(iv) The telephone number and other contact information of the person requesting service, if available.
(v) The time that the forwarding WAV dispatcher would be able to initiate service, if at all.
(8) A WAV taxicab dispatcher shall immediately accept the request forwarded as provided in paragraph (6) if the dispatcher can provide a WAV taxicab as requested before the forwarding dispatcher and sooner than any other WAV dispatcher. If the request for service is not accepted, the forwarding WAV dispatcher shall provide the service as provided in paragraph (7)(v).
(9) Acceptance of the forwarded request shall be simultaneously communicated to all other WAV taxicab dispatchers through the system required under paragraph (3).
(10) The accepting dispatcher shall inform the person that has requested WAV taxicab service that it will dispatch a WAV taxicab to the requester immediately.
(11) A WAV dispatcher shall use a dispatching system that maintains all of the following data, in addition to the requirements in this section and § 1019.14:
(i) Each request to the dispatcher for a WAV taxicab and the dispatcher’s response to that request.
(ii) Each occasion of WAV taxicab service to a person in a wheelchair by a taxicab in the dispatcher’s association, including the date of service, the amount of the fare paid and the manner in which the taxicab service was initiated.
(iii) The name and WAV taxicab driver certificate number for each driver that has accepted or declined a dispatch for service to a person in a wheelchair.
(12) The WAV dispatcher’s monthly filing of Form DSP-4 as provided in § 1019.9 (relating to list of affiliated taxicabs) must include the data maintained in its dispatch system as provided in paragraph (11).
(13) The Authority will maintain a list of WAV dispatchers on its web site at www.philapark.org/tld.
The provisions of this § 1019.8 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1019.8 amended August 29, 2014, effective August 30, 2014, 44 Pa.B. 5662; amended October 24, 2014, effective October 25, 2014, 44 Pa.B. 6769; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373116) and (374239) to (374241).
This section cited in 52 Pa. Code § 1011.2 (relating to definitions); 52 Pa. Code § 1019.3 (relating to dispatcher application); and 52 Pa. Code § 1019.6 (relating to review of dispatcher application).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.9 List of affiliated taxicabs.
A dispatcher shall file a complete Form DSP-4 ‘‘Dispatcher Affiliated Taxicabs’’ with the Authority on the first business day of each month noting the taxicab numbers and certificate holders associated with the dispatcher at that time. Form DSP-4 may be obtained at www.philapark.org/tld.
The provisions of this § 1019.9 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1019.9 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (374241) to (374242).
This section cited in 52 Pa. Code § 1019.8 (relating to dispatcher requirements).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.10 Dispatcher rates.
(a) A dispatcher may not provide service to taxicabs unless it has filed a Form No. DSP-5 ‘‘Dispatcher Rates’’ with the Authority establishing the rates schedule charged for the dispatcher’s services. Only the rates identified in the DSP-5 filing may be charged by the dispatcher, or any agent or employee of a dispatcher. The DSP-5 may be obtained at www.philapark.org/tld.
(b) A dispatcher may amend its DSP-5 filing at any time, with an effective date 30 days from the date of filing.
(c) A dispatcher shall provide a copy of its DSP-5 to each of its associated drivers and certificate holders.
(d) Under section 5721 of the act (relating to centralized dispatcher), the Authority may deny the filing of a DSP-5 if it determines that the suggested rates are unreasonable.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.11 Disclosure of conflicts.
(a) A dispatcher shall disclose, through the filing of the DSP-4, any dispatching services that may be provided to taxicabs owned or operated by the dispatcher, a person with a controlling interest in the dispatcher, key employee or immediate family members of the dispatcher.
(b) For the purposes of this section, ‘‘immediate family members’’ means the spouse or domestic partner, parent, grandparent, great-grandparent, great-great grandparent, children, siblings (including ‘‘half’’ and step-siblings), uncles/aunts, grand uncles/aunts, grandchildren, nephews/nieces, first cousins, great-grandchildren and grand nephews/nieces of the dispatcher.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.12 Bond required.
(a) Within 30 days of receipt of the Authority’s email notification of its intention to grant an applicant’s SA-1 application, the applicant shall file a bond or irrevocable letter of credit consistent with this section with the Authority.
(b) A dispatcher may not provide dispatching services unless the bond or irrevocable letter of credit required by this section has been filed and accepted by the Authority and the requirements in § 1003.51(f) (relating to applications generally) have been satisfied.
(c) A dispatcher’s bond or irrevocable letter of credit shall be issued in an amount of at least $10,000 and upon terms and in a form as will insure the dispatcher’s adherence to the law, the Authority’s regulations and orders and the interests of the dispatcher’s clients, including payment of all fines, fees and penalties incurred by the dispatcher.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.13 Minimum number of medallion taxicab affiliations.
(a) A dispatcher shall remain affiliated with at least 20 active medallion taxicabs for dispatching services with each taxicab displaying the name, colors and markings of the dispatcher approved as provided in this subchapter.
(b) If a dispatcher fails to maintain the minimum number of affiliated taxicabs the Enforcement Department or trial counsel will provide 30 days notice of its intention to initiate an enforcement proceeding through a formal complaint as provided in § 1005.11 (relating to formal complaints generally) to cancel the dispatching certificate.
(c) Upon notice of planned enforcement proceedings as provided in subsection (b), the dispatcher will be permitted to initiate a certificate transfer as provided in Chapter 1027 (relating to sale of rights) or come into compliance with subsection (a).
(d) If a dispatcher and proposed buyer of the certificate initiate a certificate transfer within 30 days of the notice provided under subsection (b), the enforcement proceedings may be stayed unless the Enforcement Department or trial counsel determine that a transfer of the certificate is not likely to occur within 6 months of the date the transfer application was filed.
(e) If a dispatcher comes into compliance with subsection (a) within 30 days of the notice provided under subsection (b), the dispatcher shall provide notice of that status to the Enforcement Department or trial counsel, and if proven the matter will be closed.
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
52 Pa. Code § 1019.14 Dispatcher records.
A dispatcher shall maintain records related to its affiliated certificate holders, its customers, the calls or scheduling for service it receives and the dispatches it makes as provided in § 1011.11 (relating to record retention).
This section cited in 52 Pa. Code § 1019.8 (relating to dispatcher requirements).
History
- Authority: The provisions of this § 1019.
- Source: The provisions of this § 1019.
Chapter 1021 Taxicab Drivers
52 Pa. Code § 1021.1 Purpose and scope.
(a) This chapter establishes minimum qualifications for taxicab drivers.
(b) A certificate holder may impose more stringent standards in the selection of its taxicab drivers.
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.2 Certification required.
(Editor’s Note: This regulation has been recognized as invalid as applied to partial-rights taxicabs. Germantown Cab Company v. Philadelphia Parking Authority, 155 A.3d 669 (Pa. Cmwlth. 2017).)
(a) Only a taxicab driver as defined under § 1001.10 (relating to definitions) may provide taxicab service.
(b) A taxicab driver shall carry and display an original taxicab driver’s certificate on the protective shield of the taxicab on the driver’s side with the front of the certificate (picture) facing the rear seat at all times or in the center of the front compartment of the vehicle so long as it is plainly visible to all passengers in the vehicle.
(c) A taxicab driver may not drive a taxicab with a mutilated, damaged or illegible taxicab driver’s certificate.
(d) Only one taxicab driver’s certificate at a time may be displayed in a taxicab.
(e) A taxicab driver’s certificate is not transferable.
The provisions of this § 1021.2 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.2 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373555).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.3 Designation of taxicab driver’s certificates.
(a) Driver designation.
(1) Beginning on December 3, 2011, driver certification rights previously issued by the Authority under section 5706 of the act (relating to driver certification program) shall be designated by the driver as either a taxicab driver’s certificate or limousine driver’s certificate at the time those rights are scheduled for renewal as provided in § 1011.3 (relating to annual rights renewal process).
(2) Provided that all other terms of renewal are met, the TLD will renew the driver’s certificate only for the rights selected by the renewing driver as provided in paragraph (1).
(3) New driver’s certificates will identify each driver as either a taxicab driver or a limousine driver.
(b) Dual driver authority.
(1) This section does not prohibit a taxicab driver from obtaining a limousine driver certificate as provided in Subpart C (relating to limousines).
(2) This section does not prohibit a limousine driver from obtaining a taxicab driver certificate as provided in this chapter.
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.4 Ineligible persons for taxicab driver certificate.
(Editor’s Note: Paragraph (3) has been recognized as invalid as applied to partial-rights taxicabs. Germantown Cab Company v. Philadelphia Parking Authority, 155 A.3d 669 (Pa. Cmwlth. 2017).)
In addition to other prohibitions provided in this part, an applicant for a taxicab driver’s certificate is automatically ineligible under all of the following circumstances:
(1) The applicant does not hold a current driver’s license.
(2) The applicant does not speak the English language sufficiently to communicate with the general public, to understand highway traffic signs and signals in the English language, to respond to official inquiries and to make verifiable entries on reports and records.
(3) The applicant has failed to satisfactorily complete taxicab driver training and testing as prescribed by this chapter.
(4) The applicant is unable to provide information required by this subpart.
(5) The applicant is 20 years of age or younger.
(6) Unless otherwise permitted by the Authority, the applicant does not have a driving history in the United States of at least 1 continuous year prior to the date of application.
(7) The applicant’s driver’s history reflects three moving violations or a major violation as defined in § 1011.2 (relating to definitions) in the 3-year period prior to the driving history check.
(8) The applicant has been convicted of driving under the influence of drugs or alcohol in the preceding 7 years from the filing date of DR-1 ‘‘Driver Application.’’
(9) The applicant has been disqualified by the Authority from being a TNC driver under section 57A12(e) of the act (relating to transportation network company drivers) within the 5 years immediately preceding the filing date of DR-1 ‘‘Driver Application.’’
The provisions of this § 1021.4 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.4 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373556).
This section cited in 52 Pa. Code § 1011.9 (relating to taxicab service limitations).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.5 Standards for obtaining a taxicab driver’s certificate.
(a) General. To obtain a taxicab driver’s certificate an individual shall complete and file with the Director Form DR-1 ‘‘Driver Application,’’ along with the application fee which shall be paid as provided in § 1001.42 (relating to mode of payment to the Authority). The DR-1 may be obtained on the Authority’s web site at www.philapark.org/tld and be completed in person before TLD staff. The fee for a taxicab driver’s certificate is $25 beginning November 4, 2016, and ending January 1, 2018. Thereafter, any annual increase to the fee may not exceed the percentage annual change in the Gross Domestic Product Price Index, as calculated by the United States Department of Commerce. The current taxicab driver certificate fee will be posted on the Authority’s web site at www.philapark.org/tld under § 1001.43 (relating to Authority fee schedule). The taxicab driver certificate fee does not include the fees associated to attend taxicab driver training whether conducted by the Authority or an approved third party under § 1021.7 (relating to taxicab driver training).
(b) DR-1 application. The completed DR-1 must be verified as provided in § 1001.36 (relating to verification and affidavit) and include the information required by the Authority, including all of the following:
(1) The full and legal name of the individual applicant.
(2) The applicant’s residential address and telephone number. Applicants may submit an email address to become eligible for service of notice as provided in § 1001.51 (relating to service by the Authority).
(3) The applicant’s driver’s license.
(4) The applicant’s Social Security card or documents confirming a legal permanent resident status or an alien authorized to work status, if applicable.
(5) Authorization for release of the applicant’s criminal history report from the State Police to the Authority, if necessary, and authorization for the release of the applicant’s criminal history report from a certificate holder.
(6) Authorization for the release of the applicant’s driver history report from the Department of Transportation to the Authority, if necessary, and authorization for the release of the applicant’s driver history report from a certificate holder.
(7) Submit Form DR-2 ‘‘Driver Medical History,’’ which is available on the Authority’s web site at www.philapark.org/tld. The requirement to complete the DR-2 will be waived for an applicant who possesses a current physical exam card issued under the requirements of a commercial driver’s license in Pennsylvania. See 49 CFR 391.41—391.49 (relating to physical qualifications and examinations).
(8) A list of all Authority or PUC certificates in which the applicant has any controlling interest, including taxicab medallions.
(9) A written statement verified as provided in § 1001.36, which provides that:
(i) The applicant has not been subject to a conviction as provided in § 1001.10 (relating to definitions).
(ii) The applicant is in compliance with § 1011.7 (relating to payment of outstanding fines, fees and penalties).
(iii) The applicant can comply with the requirements in this chapter.
The provisions of this § 1021.5 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373557) and (373125) to (373126).
This section cited in 52 Pa. Code § 1021.9 (relating to taxicab driver test); and 52 Pa. Code § 1057.13 (relating to limousine driver’s certificate upon cancellation).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.5a Special wheelchair accessible vehicle taxicab driver’s certificate and requirements.
(a) Purpose. The WAV taxicab driver’s certificate is created to ensure that the needs of the disabled community are known and fully addressed by the drivers of WAV taxicabs and to ensure that those in need of WAV taxicab transportation are efficiently and adequately provided with that transportation by the best qualified drivers available.
(b) WAV taxicab drivers.
(1) The Authority will issue a special driver’s certificate for individuals to provide WAV taxicab service as provided in section 5706(a.1)(1) of the act (relating to driver certification program).
(2) A WAV taxicab driver’s certificate will identify the driver as having been trained in the operation of a WAV taxicab and in the best practices of transporting a person in a wheelchair.
(3) To obtain a WAV taxicab driver’s certificate, an individual, including a current taxicab driver, shall comply with the taxicab driver requirements of this chapter and submit a completed Form DR-4 ‘‘WAV Driver Application.’’ Form DR-4 is available on the Authority’s web site at www.philapark.org/tld.
(4) An applicant may apply for a taxicab driver’s certificate and a WAV taxicab driver’s certificate at the same time. If an applicant discontinues the WAV taxicab driver certification process or is unable to successfully complete the training, the applicant may pursue taxicab driver’s certification.
(5) Applications for a WAV taxicab driver certificate will be processed by the Director in the order accepted for filing.
(6) A WAV taxicab driver certificate includes the authorizations applicable to a taxicab driver’s certificate.
(7) An applicant for a WAV taxicab driver’s certificate shall maintain a record of compliance with the act, this part and orders of the Authority as follows:
(i) A WAV taxicab driver applicant shall have at least 1 year of Philadelphia taxicab driver experience as an Authority-certificated driver completed within the immediately preceding consecutive 24-month period prior to the date of application.
(ii) A WAV taxicab driver application will be denied if an order has been entered against the applicant by the Authority or the PUC related to the provision of unsafe or discourteous taxicab service.
(iii) A WAV taxicab driver application will be denied if the applicant’s taxicab driver’s certificate or limousine driver’s certificate has ever been cancelled or revoked.
(iv) A WAV taxicab driver application will be denied if the applicant’s taxicab driver’s certificate has been suspended for any reason in the immediately preceding consecutive 36 months.
(8) Only a taxicab driver certificated by the Authority as provided in this section may provide taxicab service in a WAV taxicab.
(c) WAV taxicab driver renewal.
(1) A WAV taxicab driver’s certificate may be renewed by filing the completed Form DR-4 with the Manager of Administration and adhering to standard renewal requirements as provided in § 1011.3 (relating to annual rights renewal process).
(2) The Authority will not renew a WAV taxicab driver’s certificate if the driver has failed to provide taxicab service in a WAV taxicab for at least 800 hours in the immediately preceding consecutive 12-month period.
(3) The annual taxicab driver renewal fee charged by the Authority shall be paid from the proceeds of the sale of WAV medallions authorized by section 5711(c) of the act (relating to power of authority to issue certificates of public convenience) for each successfully renewed WAV taxicab driver.
(4) When a WAV taxicab driver’s certificate is denied as provided in paragraph (2) and not on another basis, the Authority will issue the renewing driver a standard taxicab driver’s certificate.
(d) Wheelchair service preference.
(1) A person seated in a wheelchair who requests taxicab service shall be given preference by a WAV taxicab driver over a potential customer that is not in a wheelchair. For example, if a WAV taxicab is hailed by two people at the same time but only one of those people is seated in a wheelchair, service shall be provided to the person seated in the wheelchair first.
(2) A customer already seated in a taxicab may not be asked to exit the taxicab to accommodate a person seated in a wheelchair.
(3) When a WAV taxicab has been dispatched and is in route to provide taxicab service to a person not in a wheelchair and is hailed by a person seated in a wheelchair, the WAV taxicab driver shall stop and provide taxicab service to the person in a wheelchair. Prior to assisting the hailing customer into the WAV taxicab, the driver shall notify his dispatcher of the hail. The dispatcher shall arrange for an alternate taxicab to provide service to the original customer.
(4) A WAV taxicab driver shall notify his dispatcher each time taxicab service is provided to a person in a wheelchair. The notification required under this paragraph shall be made once the customer is secured in the taxicab.
The provisions of this § 1021.5a temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.5a adopted August 29, 2014, effective August 30, 2014, 44 Pa.B. 5662; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373126) to (373128).
This section cited in 52 Pa. Code § 1011.2 (relating to definitions); and 52 Pa. Code § 1021.9 (relating to taxicab driver test).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.6 Application changes.
(a) An applicant for a taxicab driver’s certificate shall immediately notify the Authority in writing of any changes that affect the accuracy of the information in the application while the application is under review by the Authority.
(b) False information provided by an applicant for a taxicab driver’s certificate will result in the denial of the application or cancellation of the driver’s certificate if issued prior to discovery of the false information.
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.7 Taxicab driver training.
(Editor’s Note: This regulation has been recognized as invalid as applied to partial-rights taxicabs. Germantown Cab Company v. Philadelphia Parking Authority, 155 A.3d 669 (Pa. Cmwlth. 2017).)
(a) Training required. An applicant shall complete a training program.
(b) Training options. An applicant has the option to complete the taxicab driver training program conducted by the Authority under subsection (d) or conducted by a third party that has been approved by the Authority under subsection (e).
(c) Eligibility. Upon submission of a completed DR-1 application as provided in this chapter, the DR-1 will be reviewed to determine if the applicant is eligible to attend the required training program conducted by either the Authority or an approved third party as provided in subsection (d) or (e).
(1) An applicant will not be scheduled for training conducted by the Authority or receive clearance from the Authority to attend an approved third-party training program if the application documents present information that clearly renders the applicant ineligible to be a taxicab driver. For example, an applicant who does not possess a valid driver’s license or is not in compliance with § 1011.7 (relating to payment of outstanding fines, fees and penalties) will not be scheduled for training or receive clearance to attend training.
(2) If the applicant is eligible to attend training, the applicant may be issued a provisional taxicab driver certificate, for up to 90 days from the filing date of the DR-1, or until a certificate is issued by the Authority, whichever is earlier.
(d) Training by the Authority. Taxicab driver training conducted by the Authority will be held at TLD Headquarters and will consist of a minimum of 18 hours of in-class instruction addressing the training subjects as provided in § 1021.8 (relating to certain training subjects).
(1) The fee to attend training conducted by the Authority is $100 beginning February 25, 2017, and ending June 30, 2017, or when a new fee schedule is adopted under sections 5707 and 5710 of the act (relating to budget and assessments; and fees), whichever is later.
(2) The training fee shall be paid prior to attending training and as provided in § 1001.42 (relating to mode of payment to the Authority).
(e) Training by an approved third party. An Authority approved third-party taxicab driver training program will be conducted at a location, date and time determined by the third party and will address training subjects as provided in § 1021.8.
(f) Approval of third-party training program. A person may submit a written request to be an approved third-party trainer under this chapter by submitting all of the following to the Director:
(1) A proposed curriculum that includes the training subjects as outlined in § 1021.8.
(2) A detailed comprehensive plan identifying all of the following:
(i) The location of where the training program will be conducted.
(ii) The frequency of when the training program will be offered, including days and hours of the training program’s operations.
(iii) The number of days and hours that a taxicab driver applicant will have to attend to complete the program.
(iv) The cost per taxicab driver applicant for attending the training program.
(v) Explanation as to how the training program will be advertised.
(vi) Nondiscrimination policy to offer the training program to any taxicab driver applicant regardless of which dispatcher or medallion taxicab owner the driver may associate with.
(vii) Rules governing the completion of the training program and procedure for issuing certificates of completion to taxicab driver applicants under § 1021.8(d).
(viii) Explanation as to how the training program will demonstrate and conduct tutorials of all Authority-approved medallion taxicab meter systems.
(3) Upon approval of the third-party training program, the Authority will issue a certificate of approval to be displayed at all times at the third-party training program location.
(4) The Authority will maintain a list of approved third-party training programs on the Authority’s web site at www.philapark.org/tld.
The provisions of this § 1021.7 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.7 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373128).
This section cited in 52 Pa. Code § 1021.5 (relating to standards for obtaining a taxicab driver’s certificate).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.8 Certain training subjects.
(Editor’s Note: This regulation has been recognized as invalid as applied to partial-rights taxicabs. Germantown Cab Company v. Philadelphia Parking Authority, 155 A.3d 669 (Pa. Cmwlth. 2017).)
(a) Continued training subjects. The Authority will continually monitor issues related to taxicab drivers, including safety, wheelchair accessible vehicle (WAV) taxicab service and customer service, and maintain a current list of taxicab driver training subjects on its web site at www.philapark.org/tld.
(b) Basic training issues. Taxicab driver training will be developed to address all areas of the act, this part and orders of the Authority. The dress code applicable to taxicab drivers applies to applicants during training whether conducted by the Authority or an approved third party. Training will address issues provided for in subsection (a), including the following subjects:
(1) Authority regulations governing taxicab drivers, including differences between the services medallion taxicabs and partial-rights taxicabs provide.
(2) Authority regulations governing taxicab certificate holders.
(3) Authority regulations governing equipment.
(4) Penalties for violation of Authority regulations.
(5) An overview of the administrative process related to violations.
(6) The identification and address of the Authority offices responsible for administering the act.
(7) Customer service issues, including the following:
(i) Personal appearance of drivers.
(ii) Driver courtesy and hygiene.
(iii) Assistance to elderly and people with disabilities.
(8) Driving and customer safety issues, including the following:
(i) Defensive driving techniques.
(ii) Emergency aid.
(iii) Vehicle and equipment inspections.
(iv) Crime prevention.
(v) Accident reporting procedures.
(9) Issues related to the geography of Philadelphia, including the following:
(i) Map reading.
(ii) Overview of major street and traffic patterns.
(iii) Identification and location of popular landmarks and locations.
(c) WAV taxicab driver training.
(1) In addition to training required under this section, WAV taxicab driver training will consist of a minimum of 6 hours of in-class instruction and field training necessary to address current and evolving issues related to WAV taxicab service, including sensitivity training, safe and proper use of applicable equipment, and regulations regarding WAV taxicab service.
(2) WAV taxicab driver training will consist of training in all aspects of WAV taxicab service, including the operation of a WAV taxicab and the entry, exit and securing of a passenger in a wheelchair.
(3) A WAV taxicab driver must attend a minimum of 4 hours of continuing WAV taxicab service training every 2 years.
(d) Testing. The applicant will be scheduled for testing conducted by the Authority at TLD Headquarters under § 1021.9 (relating to taxicab driver test) upon completion of training conducted by the Authority or upon the applicant’s submission of a certificate of completion to the Authority from an approved third-party training program.
The provisions of this § 1021.8 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.8 amended August 29, 2014, effective August 30, 2014, 44 Pa.B. 5662; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373128) to (373130).
This section cited in 52 Pa. Code § 1011.2 (relating to definitions); 52 Pa. Code § 1021.7 (relating to taxicab driver training); and 52 Pa. Code § 1021.9 (relating to taxicab driver test).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.9 Taxicab driver test.
(Editor’s Note: This regulation has been recognized as invalid as applied to partial-rights taxicabs. Germantown Cab Company v. Philadelphia Parking Authority, 155 A.3d 669 (Pa. Cmwlth. 2017).)
(a) The Authority will develop a test to assure that applicants for taxicab driver’s certificates and wheelchair accessible vehicle (WAV) taxicab driver’s certificates understand the information presented during training as provided in § 1021.8 (relating to certain training subjects).
(b) The test will be administered in the English language. The assistance of interpreters will not be permitted. An applicant’s responses to all test questions shall be in the English language.
(c) Except as limited by this chapter, the test may be administered in a manner and in a form deemed appropriate by the Authority. The test may include:
(1) Questions requiring a written response. 5662. Immediately preceding text appears at serial pages (360448) to (360449).
(2) Multiple choice questions.
(3) Oral questions.
(4) The demonstration of an ability to operate a motor vehicle and use taxicab related equipment.
(5) For WAV taxicab driver applicants, the demonstration of an ability to operate a WAV taxicab and to assist with the entry, exit and securing of a passenger in a wheelchair in the WAV taxicab.
(d) Failure to pass the test required by this section after three attempts will render the application void.
(e) Failure to pass the test required by this section within 90 days of filing Form No. DR-1 application as provided in § 1021.5 (relating to standards for obtaining a taxicab driver’s certificate) will render the application void.
(f) Except as provided in § 1021.5a (relating to special wheelchair accessible vehicle taxicab driver’s certificate and requirements), upon the denial or voiding of a Form No. DR-1 or Form No. DR-4 as provided in this chapter an applicant may not reapply for a driver’s certificate for 6 months.
The provisions of this § 1021.9 amended August 29, 2014, effective August 30, 2014, 44 Pa.B. 5662. Immediately preceding text appears at serial page (360449).
This section cited in 52 Pa. Code § 1021.8 (relating to certain training subjects).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.10 Expiration and renewal of certificate.
An individual with a taxicab driver’s certificate that has been expired for more than 2 years shall attend taxicab driver training and pass the taxicab driver test provided in this chapter before providing service.
The provisions of this § 1021.10 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.10 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373130).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.11 Driver requirements.
(a) Preservice inspection. Prior to driving a taxicab before each shift, a taxicab driver shall perform a vehicle inspection to confirm that the taxicab complies with this subpart. The inspection must include all of the following:
(1) At least one full walk around the taxicab to assure the exterior of the vehicle is in compliance with this subpart, including all of the following:
(i) The exterior of the taxicab is not damaged, no sharp edges are present and no parts of the vehicle have been removed. For example, the hood and doors of the taxicab are present and in the proper location.
(ii) The appropriate name, colors and markings scheme are affixed to the taxicab.
(iii) The taxicab’s tires are full size and the treads are not worn below the level permitted under 67 Pa. Code Chapter 175 (relating to vehicle equipment and inspection).
(2) The opening and closing of all doors, the hood and the trunk to assure proper functionality and the absence of any sharp edges that may injure a passenger or damage clothing, luggage or other property.
(3) An inspection of the interior of the taxicab to make certain that the vehicle is clean and otherwise in compliance with this subpart.
(4) Operation of the heater and air conditioner to confirm the taxicab’s ability to maintain the air temperature required under § 1017.5(b)(14) (relating to basic vehicle standards).
(5) An inspection of the taxicab meter to assure it has been approved for use by the Authority, is sealed as provided in § 1017.21(b)(3) (relating to taxicab meters) and is in proper working order at all times. Unsealed or improperly sealed meters and malfunctioning meters shall be reported to the Enforcement Department immediately.
(b) Presentation and appearance. A taxicab driver is responsible for providing clean, safe and courteous taxicab service, including all of the following:
(1) Presenting a neat and clean appearance while providing taxicab service.
(2) Dressing in clean clothing which is composed of a shirt with collar, ankle-length trousers, slacks/dress, skirts (if gender appropriate), socks or stockings, and shoes or clean sneakers. For example, shorts, bathing trunks or bathing suits, undershirts, muscle shirts or tank-tops are prohibited unless concealed as undergarments beneath the attire described in this paragraph.
(3) Wearing open toed shoes, sandals or bare feet are prohibited while operating a taxicab.
(4) Ceasing operation of a vehicle known by the driver to be in an unsafe condition.
(5) Being courteous toward passengers, the public, law enforcement officials and representatives of the Authority. A driver may not use obscene, vulgar or offensive language while providing taxicab service.
(6) Maintaining the volume of a radio at a low level and upon the request of a passenger, lowering the volume or switching off any music or electronic noise such as a radio, except that the communications radio required under § 1017.5(b)(3) must remain on and at a reasonable volume at all times.
(7) Ceasing use of a mobile telephone and remove ear phones or Bluetooth devices from ears when a passenger is in the vehicle.
(8) Making certain that the taxicab complies with the temperature requirements in § 1017.5(b)(14).
(9) Assisting the elderly or persons with disabilities in entering and exiting the taxicab.
(10) Maintaining cash capable of providing change for a $20 bill.
(11) Immediately reporting any possessions of passengers left behind in a taxicab after service to the Manager of Enforcement and the taxicab’s dispatcher and then deliver the possessions to TLD Headquarters.
(c) Permitted fares. A taxicab driver may not charge fares other than those approved by the Authority as provided in section 5703 or 5720 of the act, or both (relating to rates; and wages).
(d) Gratuities or payment method.
(1) A taxicab driver may not request the payment of a gratuity by a passenger.
(2) A taxicab driver may not insist upon or express a preference for fare payment method. For example, a taxicab driver may not demand payment in cash as opposed to credit card, nor may a taxicab driver suggest that the passenger be driven to a bank or automatic teller machine to secure cash to pay the fare as opposed to use of a credit card or other cashless payment option.
(3) A taxicab driver may not ask a potential customer for fare payment method information in advance of providing taxicab service.
(4) A taxicab driver shall accept payment by credit card, debit card and other cashless payment options identified by the Authority.
(5) A taxicab driver shall provide each fare-paying customer with a receipt for the taxicab service required under § 1017.24(d) or § 1017.63(a) (related to meter activation and display; and receipts), or both, unless the approved meter system is capable of providing a digital receipt.
(e) Lease or employment documents. A taxicab driver is responsible for maintaining a copy of the lease agreement, employment contract and employee identification card in the taxicab at all times.
(f) Direct route. Unless directed otherwise by a fare-paying customer, a taxicab driver shall select and use the most direct route consistent with prevailing road and traffic conditions from the point of pick-up to the passenger’s point of destination.
(g) Rules of the road. A taxicab driver shall continually provide taxicab service in a manner consistent with 75 Pa.C.S. (relating to Vehicle Code) and the Philadelphia Traffic Code (12 Phila. Code § § 100—3012).
(h) Meter operation. The meter must be in operation during the entire time the taxicab is engaged by a passenger, and the passenger shall be required to pay only the amount recorded by the meter, except that, when back-mileage or surcharge provisions of the tariff of the certificate holder apply, the back-mileage charge or surcharge shall be added to the amount recorded by the meter, or if there is a discounted rate under § 1030.2(b) (relating to taxicab rates and tariffs). Each meter charge shall be collected only once regardless of whether the taxicab is being used in exclusive service or in nonexclusive service.
(i) Zero-tolerance policy. A taxicab driver may not be under the influence of drugs or alcohol while providing taxicab service. The Authority will and certificate holders shall enforce a zero-tolerance policy on the use of drugs or alcohol by a taxicab driver while providing taxicab service.
(1) The driver’s certificate of a taxicab driver who is the subject of a TLD investigation or a passenger complaint and whom the inspector or passenger reasonably suspects was under the influence of drugs or alcohol during the course of providing taxicab service shall be immediately placed of out of service under § 1003.32 (relating to out of service designation).
(2) The Authority may conduct a drug and alcohol test upon written consent by the taxicab driver.
The provisions of this § 1021.11 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.11 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373559) to (373560) and (379399).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.12 Additional requirements.
(a) Each taxicab driver shall know the rights and limitations of any taxicab used to provide taxicab service, including the geographical limitation of partial-rights taxicabs, if applicable.
(b) A taxicab driver may not provide taxicab service beyond the 14th consecutive hour after coming on duty. Time spent on any break from taxicab service does not extend the 14-hour period. A taxicab driver may operate for another 14-hour period only after 8 consecutive hours off duty.
(c) A taxicab driver may not provide taxicab service with an expired taxicab driver’s certificate.
(d) A taxicab driver may not provide taxicab service without a valid driver’s license.
(e) Whenever a taxicab is occupied by a fare-paying passenger or by members of a party of fare-paying passengers who have engaged the taxicab on an exclusive basis, the taxicab driver may not permit another person to occupy or ride in the taxicab.
(f) No requirement of this subpart, or any Authority regulation, may be interpreted to disrupt or interfere with interstate commerce exclusively regulated by or preempted by the government of the United States.
(g) If a taxicab is equipped with a meter system that utilizes a distress button under § 1017.24(e) (relating to meter activation and display), a taxicab driver may not activate the distress button except when the driver is in need of emergency assistance by law enforcement or other emergency responders.
The provisions of this § 1021.12 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.12 amended November 13, 2015, effective November 14, 2015, 45 Pa.B. 6596; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (379399).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.13 Taxicab driver’s certificate upon cancellation.
(a) A cancelled taxicab driver’s certificate may not be reinstated.
(b) An individual subject to cancellation of a taxicab driver’s certificate may not apply to the Authority for a new driver’s certificate, including a limousine driver’s certificate as provided in § 1057.13 (relating to limousine driver’s certificate upon cancellation), for 2 years from the date the cancellation was entered. If the individual subject to cancellation also holds a limousine driver’s certificate, that driver’s certificate will be cancelled with the taxicab driver’s certificate.
(c) The circumstances related to the cancellation of a taxicab driver’s certificate will be considered by the Authority when reviewing any subsequent application submitted by that individual.
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.14 General taxicab driver reports.
A taxicab driver shall make timely written reports to the Authority as required by the act, this part or an order of the Authority, including the following reports which shall be made to the Manager of Administration:
(1) Invalidation of a driver’s license for any reason must be reported with 48 hours.
(2) A change of address or telephone number, or both, shall be reported within 15 days.
(3) A change of name shall be reported to the Authority within 15 days of occurrence or if a court proceeding is required, within 15 days of the court filing.
The provisions of this § 1021.14 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867. Immediately preceding text appears at serial page (373134).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.15 Taxicab driver reports after accident.
A taxicab driver who is involved in an accident while driving a taxicab that results in property damage, personal injury or death shall do the following:
(1) Stop immediately.
(2) Provide driver’s license, registration, insurance, and other information required by law of the Commonwealth, and the name of the taxicab’s certificate holder.
(3) Report the details of the accident as soon as practicable as follows to:
(i) The police if required under 75 Pa.C.S. § 3746 (relating immediate notice of accident to police department).
(ii) The certificate holder.
(iii) The Manager of Enforcement if required under § 1017.37 (relating to inspection subsequent to vehicular accident or damage).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.16 Service issues regarding people with disabilities.
(a) If on-duty and not already transporting a passenger, a taxicab driver shall stop the taxicab when hailed by a person with a disability. The driver shall determine if the services requested by the person can be reasonably accommodated by the vehicle and adhere to the following procedure:
(1) If the service request can be reasonably accommodated, the driver shall provide the service.
(2) If the service request cannot be reasonably accommodated, the driver shall call a dispatcher immediately to arrange for service by the closest taxicab available that can accommodate the person’s request.
(b) This section may not be interpreted to require or permit a taxicab to provide service in an area outside the rights identified in the taxicab certificate holder’s rights. For example, this section does not permit a partial-rights taxicab to stop for a hail outside of its defined geographical area.
The provisions of this § 1021.16 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867. Immediately preceding text appears at serial page (373134).
This section cited in 52 Pa. Code § 1019.8 (relating to dispatcher requirements).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
52 Pa. Code § 1021.17 Partial-rights taxicab driver log.
(a) A taxicab driver providing service in a partial-rights taxicab shall maintain a service log, whether maintained in paper or digital form, identifying all taxicab service provided during each shift.
(b) The partial-rights taxicab service log must identify all of the following information:
(1) The date of service.
(2) The taxicab driver’s name and driver’s certificate number.
(3) The taxicab number, the certificate holder and the dispatcher.
(4) The times and places of origin and destination of each trip including the odometer or meter mileage at the origin and destination of each passenger trip. Origin and destination places must contain a street name and address or, if unavailable, an identifiable landmark.
(5) A designation indicating whether a trip resulted from a hail or through the dispatcher.
(6) The fare paid for the trip.
(7) The amount of any gratuity paid to the taxicab driver.
(8) The number of passengers on each trip, indicating separately each fare collected from each passenger or party of passengers sharing the ride.
(9) Each trip on which packages were delivered and the charge for the trip.
(10) The signature of the driver attesting to the accuracy of the data recorded.
(c) A partial-rights taxicab driver shall completely enter the information required by the log immediately upon the conclusion of each taxicab service trip.
(d) The taxicab log required under this section shall be maintained in the taxicab until the driver’s shift has ended and be presented to an inspector at any time upon demand.
(e) Upon the conclusion of a partial-rights taxicab driver’s shift, the taxicab log shall be delivered to the certificate holder and maintained by the certificate holder as provided in § 1011.11 (relating to record retention).
The provisions of this § 1021.17 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1021.17 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373563) to (373564).
History
- Authority: The provisions of this § 1021.
- Source: The provisions of this § 1021.
Chapter 1025 Insurance Required
52 Pa. Code § 1025.1 Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
Form E—The standard form filed by a regulated party’s insurer evidencing the existence of a current and valid insurance policy or surety bond in the name of the insured and for lines of coverage and with limits required by the Authority.
Form K—The standard form filed by a regulated party’s insurer providing notice of cancellation of an insurance policy or surety bond previously maintained to be in compliance with the act, this part or an order of the Authority.
Self-insurer—A certificate holder that adjusts and is ultimately liable for payment of all or part of its bodily injury, property or cargo damage claims resulting from the operation, maintenance or use of a motor vehicle as a taxicab.
52 Pa. Code § 1025.2 Insurance forms and procedures.
(a) Forms of notice.
(1) Endorsements for policies of insurance and surety bonds, certificates of insurance or for approval of other securities or agreements shall be made through Form E.
(2) Notices of cancellation for policies of insurance, surety bonds, certificates of insurance and self-insurer status shall be made through Form K.
(3) Each provider of insurance and surety bonds shall complete and file the Authority’s Form INS-1 ‘‘Contact Information’’ upon the first filing of a Form E in each calendar year and at any time during the year when the contact information provided will change. A copy of the Form INS-1 is available on the Authority’s web site at www.philapark.org/tld.
(b) Surety bonds and certificates in effect continuously. Surety bonds and certificates of insurance must specify that coverage will remain in effect continuously until terminated, except under one of the following conditions:
(1) When filed expressly to fill prior gaps or lapses in coverage or to cover grants of emergency temporary authority of unusually short duration and the filing clearly so indicates.
(2) Urgent circumstances, when special permission is obtained from the Authority.
(c) Filing and copies.
(1) Certificates of insurance, surety bonds and notices of cancellation required by subsection (a) must be filed with the Director by email at eksubmission@philapark.org.
(2) The Authority will provide prompt notice of acceptance of filings required by this section by return email message.
(d) Name of insured. Certificates of insurance and surety bonds shall be issued in the full and correct name of the regulated party to whom the certificate, registration, or license or other right is, or is to be issued. In the case of a partnership, all partners shall be named.
(e) Cancellation notice. Except as provided in subsection (f), surety bonds, certificates of insurance and other securities or agreements may not be cancelled or withdrawn until after 30 days notice in writing has been issued by the insurance company, surety, motor carrier, broker or other party, to the Director. The period of 30 days begins from the date the Director provides notice of acceptance as provided in subsection (c)(2).
(f) Termination by replacement. Certificates of insurance and surety bonds which have been accepted by the Authority under this chapter may be replaced by other certificates of insurance, surety bonds or other security, and the liability of the retiring insurer or surety under the certificates of insurance or surety bonds shall be considered as having terminated as of the effective date of the replacement certificate of insurance, surety bond or other security, if the replacement certificate, bond or other security is acceptable to the Authority under this chapter.
(g) Refusal to accept or revocation by the Authority of surety bonds. The Authority may refuse to accept or may revoke its acceptance of a surety bond, certificate of insurance or other securities or agreements if, in its judgment, the security does not comply with this subchapter or fails to provide satisfactory or adequate protection for the public. Revocation of acceptance of a certificate of insurance, surety bond or other security does not relieve the regulated party from compliance with this subchapter.
(h) Compliance. Failure to maintain evidence of insurance on file with the Authority in accordance with this chapter may cause the rights and privileges issued to the regulated party to be placed out of service immediately as provided in § 1003.32 (relating to out of service designation). The Authority may establish rules under which suspended rights and privileges may be temporarily reinstated pending compliance with this subpart.
This section cited in 52 Pa. Code § 1029.11 (relating to professional liability insurance).
52 Pa. Code § 1025.3 Insurance required.
(a) A regulated party may not engage in taxicab service and the certificate of public convenience will not be issued or remain in force, except as provided in § 1025.4 (relating to applications to self-insure) until there has been filed with and approved by the Authority a certificate of insurance by an insurer authorized to do business in this Commonwealth, to provide for the payment of valid accident claims against the insured for bodily injury to or the death of a person, or the loss of or damage to property of others resulting from the operation, maintenance or use of a taxicab in the insured authorized service.
(b) The liability insurance maintained by a taxicab certificate holder must conform to 75 Pa.C.S. Chapter 17 (relating to Motor Vehicle Financial Responsibility Law). First party coverage of the taxicab driver of taxicabs must meet the requirements in 75 Pa.C.S. § 1711 (relating to required benefits).
(c) The certificate holder’s loss history with a current or former insurer shall be released to the Authority within 3 business days of a request by the Authority. The certificate holder shall authorize any release required by the insurer to facilitate the timely delivery of the loss history to the Authority.
(d) The Authority may direct insurers to file proof of insurance both electronically and in hard copy.
(e) The limits in subsection (b) do not include the insurance of cargo.
This section cited in 52 Pa. Code § 1065.1 (relating to limousine insurance).
52 Pa. Code § 1025.4 Applications to self-insure.
(a) A taxicab or limousine certificate holder may file an application with the Authority to act as self-insurer of all or part of its bodily injury, property damage or cargo damage claims. In support of its application, the applicant shall submit a true and accurate statement of its financial condition which establishes its capability to satisfy its insurance obligations as they become due, a self-insurance plan which includes adequate security to protect the public and a description of its safety program including its past accident record. A self-insurance applicant shall agree in the application to grant the Authority power to rescind approval of self-insurer status, without hearing, if the Authority determines that the public interest demands it.
(b) In reviewing self-insurance applications, the Authority will examine the following factors in determining whether approval will be granted:
(1) The net worth of the certificate holder in relationship to the size of its operation and the nature and extent of its request for self-insurer status. The evidence must demonstrate the certificate holder’s financial capability to adjust and pay insurance obligations as they become due before approval will be granted.
(2) The organization of the certificate holder’s proposed self-insurance program including the adequacy of security to protect the public. Security may be in the form, but is not limited to, one or more of the following:
(i) Reserves.
(ii) Sinking funds.
(iii) Third party financial guarantees.
(iv) Parent company or affiliate sureties.
(v) Excess insurance coverage.
(vi) Other similar arrangements.
(3) The effectiveness of the certificate holder’s safety program. The Authority will look closely at the average number and average cost of accident losses over the past three years in determining whether self-insurance is feasible.
(c) Authority approval of a self-insurance application may be made conditional on revisions in the applicant’s proposed self-insurance plan, safety program or standards for adjustment and payment of claims, as well as requirements of periodic financial filings with the Authority.
(d) Authority approval of self-insurance status is subject to the issuance of a self-insurance certificate to the motor carrier by the Department of Transportation as required under 67 Pa. Code § 223.5 (relating to certificate) for vehicles registered in this Commonwealth.
This section cited in 52 Pa. Code § 1025.3 (relating to insurance required); and 52 Pa. Code § 1065.1 (relating to limousine insurance).
52 Pa. Code § 1025.5 Standards for adjustment and payment of claims.
Common carriers by motor vehicle, who are responsible to the public for adjustment or payment of bodily injury, property damage or cargo damage claims, or both, are prohibited from:
(1) Misrepresenting pertinent facts relating to claims at issue.
(2) Failing to acknowledge and act promptly upon written or oral communications with respect to insurance claims.
(3) Failing to adopt and implement reasonable standards for the prompt investigation of claims.
(4) Refusing to pay claims without conducting a reasonable investigation based upon available information.
(5) Failing to affirm or deny responsibility for claims within a reasonable time after proof of loss statements have been completed and communicated to the carrier or its representative.
(6) Not attempting in good faith to effectuate prompt, fair and equitable settlements of claims in which the carrier’s liability has become reasonably clear.
(7) Compelling persons to institute litigation to recover amounts due by offering substantially less than the amounts due and ultimately recovered in actions brought by those persons.
(8) Making claim payments to claimants not accompanied by a statement defining which payments are being made.
(9) Making known to claimants a policy of appealing from arbitration awards in favor of claimants to induce or compel them to accept settlements or compromises less than the amount awarded in arbitration.
(10) Delaying the investigation or payment of claims by requiring a physician to submit a preliminary claim report and then requiring the subsequent submission of formal proof of loss forms, both of which submissions contain substantially the same information.
(11) Failing to promptly provide a reasonable explanation in relation to the facts or applicable law for denial of a claim or for the offer of a compromise settlement.
52 Pa. Code § 1025.6 Additional requirements.
(a) Providers of policies of insurance and surety bonds shall summarize as a separate attachment from its policy any and all deviations of the policy from the standard ISO form. The insurer shall have the insured sign the attachment to the policy.
(b) If a provider of a policy of insurance or surety bond is a surplus lines carrier, a Form 1609-PR of the Insurance Department shall be submitted along with the Form E. The Authority reserves the right to have surplus line carriers demonstrate denial of coverage from insurance carriers that the Authority may be aware is providing admitted coverage, if any.
Chapter 1027 Sale of Rights
52 Pa. Code § 1027.1 Purpose.
This chapter establishes and prescribes Authority regulations and procedures for the sale of certain rights issued by the Authority.
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.2 Transferable rights.
Only the following rights may be subject to sale:
(1) A certificate of public convenience to provide partial-rights taxicab service.
(2) A certificate of public convenience to provide dispatching services.
(3) A medallion.
(4) A certificate of public convenience to provide limousine service as provided in Subpart C (relating to limousines).
This section cited in 52 Pa. Code § 1001.10 (relating to definitions).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.3 Authority approval of sale of rights.
(a) Sale of transferable rights. The sale of transferable rights without advance approval of the Authority is void by operation of law.
(b) Sale of securities in transferable rights. The sale of securities in an entity that owns transferable rights will be considered a sale under this chapter in either of the following circumstances:
(1) The securities to be transferred equal or exceed 5% of the issued securities in the entity that holds an ownership interest in a transferrable right.
(2) Upon completion of the transfer the buyer will own 5% or more of the issued securities in the entity that holds an ownership interest in a transferrable right.
(c) New certificate number. The Authority may assign a new certificate number to the rights sold to an approved buyer.
The provisions of this § 1027.3 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1027.3 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373565) to (373566).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.4 Certificate required for medallion sales.
(a) The proposed buyer of a medallion shall own a medallion taxicab certificate on or before the date of transfer.
(b) A proposed buyer that does not own a medallion taxicab certificate on the date the sale application is filed shall request a new medallion taxicab certificate through the sale application as provided in § 1027.6 (relating to application for sale transferable rights).
This section cited in 52 Pa. Code § 1027.12 (relating to approval process and closing on sale).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.5 Agreement of sale.
(a) The parties to a proposed sale of transferable rights shall complete an agreement of sale detailing the terms of the transaction, including provisions required by this chapter, and file the agreement with the Director.
(b) An agreement of sale for transferable rights is void by operation of law if not executed by all parties in the presence of the Director or a designee.
(c) The term of an agreement of sale for transferable rights may not exceed 15 business days from the date of execution, except when executed on the date the application for sale of transferable rights is filed as provided in § 1027.6 (relating to application for sale of transferable rights).
The provisions of this § 1027.5 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867. Immediately preceding text appears at serial page (360462).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.6 Application for sale of transferable rights.
(a) Application documents.
(1) To initiate a sale, the owner and proposed buyer shall file an original and one copy of Form No. SA-1 ‘‘Sale Application,’’ the agreement of sale or transfer and other documents required by this chapter. The proposed buyer will be considered the applicant. The SA-1 is available at www.philapark.org/tld.
(2) The SA-1 shall be filed in person with the Director.
(3) The Director will refuse to accept an application which is incomplete for any reason.
(4) Upon acceptance, the Director will submit a copy of the application documents to the Clerk and an application docket number will be assigned.
(b) Application signatures.
(1) Both parties to the sale shall execute the SA-1 in the presence of the Director or a designee.
(2) Except for individuals, an original executed and notarized resolution from the buyer and seller authorizing the execution of the sale documents must be included with the filing of the SA-1.
(3) The Authority may permit an SA-1 to be executed by an attorney-in-fact if the owner or proposed buyer are unable to appear and as provided in § 1001.28 (relating to power of attorney), in which case the owner will be required to attend the closing on the sale.
(c) Verification and payment. The SA-1 must be verified under § 1001.36 (relating to verification and affidavit) and be accompanied by payment of the transfer fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule).
(d) Multiple rights. The SA-1 may be used to sell an unlimited number of transferable rights from one owner to one proposed buyer.
(e) Broker. Documents intended for submission to the Director as part of the sale process shall be prepared by a broker registered with the Authority as provided in Chapter 1029 (relating to brokers) or an attorney admitted to practice law by the Supreme Court of Pennsylvania.
This section cited in 52 Pa. Code § 1001.71 (relating to notice and filing of copies of pleadings before other tribunals); 52 Pa. Code § 1011.8 (relating to facility inspections); 52 Pa. Code § 1013.32 (relating to bidder qualifications); 52 Pa. Code § 1027.4 (relating to certificate required for medallion sales); and 52 Pa. Code § 1027.5 (relating to agreement of sale).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.7 Required application information.
(a) SA-1 form. The SA-1 is a multipurpose form intended for use in the sale of different transferable rights and shall be completed by the broker or attorney, or both, in a manner consistent with the intentions of the sale. For example, an SA-1 used only for the sale of a partial-rights certificate need not complete the portion of the application which seeks medallion numbers.
(b) Required information. Except as provided in subsection (a), the completed SA-1 must include the information required by the Authority, including all of the following:
(1) The medallion numbers.
(2) The certificate numbers.
(3) The name of the proposed buyer and contact information, including a telephone number, an email address and a facsimile number.
(4) If the proposed buyer is a nonindividual person and is not already a certificate holder:
(i) The articles of incorporation, operating agreement, formation documents or other applicable organizing documents for the applicant.
(ii) A certificate of good standing for the applicant from the Bureau of Corporations and Charitable Organizations.
(iii) A copy of the Department of State’s entity page for the applicant.
(5) The name of any holding company as defined in § 1011.2 (relating to definitions) having an interest in the proposed buyer and a contemporaneous certificate of good standing for the holding company from the Bureau of Corporations and Charitable Organizations, or similarly authorized entity in another jurisdiction in the United States.
(6) The trade name, if any, of the proposed buyer and a copy of the trade name registration certificate, if applicable.
(7) The mailing address and physical address of the proposed buyer.
(8) A copy of the proposed buyer’s business plan.
(9) A list including name, home address and telephone numbers for current corporate officers, directors, stockholders, key employees and persons with controlling interests as defined in § 1011.2, if applicable.
(10) A list of all Authority, PUC and Federal common carrier rights held by the proposed buyer and any of the persons listed in response to paragraph (9), including taxicab medallions.
(11) The name, address, telephone number, facsimile number and email address of any attorney assisting the proposed buyer with the application process, together with an acknowledgement that § 1029.3 (relating to use of attorney) has been reviewed by the proposed buyer.
(12) A criminal history report, issued within 30 days of the filing of the application, from any jurisdiction in which the following persons have lived in the preceding 5 years through the date of application:
(i) An individual proposed buyer.
(ii) An individual with a controlling interest in the proposed buyer.
(iii) An individual with a controlling interest in the holding company of a proposed buyer.
(iv) A key employee.
(13) A verified statement indicating that the persons identified in paragraph (12) have not been subject to a conviction as defined in § 1001.10 (relating to definitions) and that the proposed buyer has read and understands the prohibitions of ownership as provided in § 1011.5 (relating to ineligibility due to conviction or arrest).
(14) Verified statements from the owner and proposed buyer confirming that each are in compliance with § 1011.7 (relating payment of outstanding fines, fees and penalties).
(15) The Federal Tax Identification number for the following persons:
(i) The owner of the rights.
(ii) The proposed buyer.
(iii) Persons with a controlling interest in the owner or a proposed buyer.
(iv) Key employees of an owner or proposed buyer.
(c) Proof of ownership. The Authority may require the owner to prove ownership of the right or rights subject to sale.
The provisions of this § 1027.7 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1027.7 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373567) to (373568) and (360465).
This section cited in 52 Pa. Code § 1027.9 (relating to financial fitness generally).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.8 Additional application requirements.
(a) Agreement of sale. The agreement of sale required under this chapter must include the information required by the Authority, including the following:
(1) The parties to the transaction.
(2) A description of the transaction.
(3) The identification number of each right subject to sale.
(4) The total consideration for the sale and for each right transferred if the sale involves multiple rights in United States dollars, and any payment terms required by the Authority, including the following:
(i) The assumption of any loan or debt.
(ii) Contingencies and nonmonetary consideration.
(iii) Monetary consideration.
(5) An acknowledgement initialed by all parties that the agreement is subject to the laws and jurisdiction of the Commonwealth, the act, this part and orders of the Authority.
(b) Execution of agreement of sale. The proposed agreement of sale must be signed at one time by all parties before the Director or a designee on or before the date the SA-1 is filed.
(c) Removal of liens. If a notice of lien relating to a medallion which is the subject of a proposed sale was filed under 13 Pa.C.S. (relating to Uniform Commercial Code), the Authority will not approve a medallion sale until evidence of a lien’s removal is submitted, unless the Authority is notified by the lienholder that the lien will be satisfied from the proceeds of the sale.
(d) Continuing service. The owner of the rights subject to sale shall confirm that the rights will remain in active service pending review of the application, unless prohibited or authorized for suspension by a provision of this part or an order of the Authority.
(e) Notice.
(1) A notice of applications will be published in the Pennsylvania Bulletin as provided in § 1003.53 (relating to applications requiring notice).
(2) The parties to the sale will receive notices related to the SA-1 as provided in § 1001.51 (relating to service by the Authority).
(f) Loan documents.
(1) Any consideration identified in subsection (a)(4) that is provided to a proposed buyer must be evidenced in the form of written agreements. For example, the loaning of cash money to a proposed buyer by a bank must be confirmed through loan documents executed by the borrowing party.
(2) The documents required under paragraph (1) shall be submitted to the Director at the time the SA-1 is filed, except that specific financial information that cannot be known until on or about the closing date for the sale may be left blank. The final loan documents must be executed at the closing on the sale.
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.9 Financial fitness generally.
The Authority will review the financial fitness of the proposed buyer, including a review of all of the following:
(1) For proposed buyers of medallions or partial-rights certificates, bank statements of the proposed buyer or the bank statements of the holder of the stock or membership certificate evidencing ownership of a bank account holding not less than the greater of $5,000 or 2% of the sale price in unencumbered and available funds.
(2) For proposed buyers of dispatcher certificates, bank statements of the proposed buyer or the bank statements of the holder of the stock or membership certificate evidencing ownership of a bank account holding not less than the greater of $5,000 or 2% of the sale price in unencumbered and available funds.
(3) If the sale does not include financing by a lender authorized to make commercial loans in this Commonwealth, the proposed buyer shall submit documentation for the Authority’s review to insure all of the following requirements are met:
(i) The credit report of each persons identified in § 1027.7(b)(12) (relating to required application information) evidencing a credit score of at least 600 for each person.
(ii) The absence of any outstanding and unappealed civil judgments against each of the parties required to submit a criminal history report under § 1027.7(b)(12).
(4) The Authority may require the submission of additional financial information necessary to determine the financial fitness of a proposed buyer.
The provisions of this § 1027.9 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1027.9 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360466).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.10 Regulatory compliance review.
(a) An SA-1 will be denied if the proposed buyer has a record of regulatory violations with the Authority or the PUC which evidences a disregard for the public interest.
(b) The SA-1 will be denied if the proposed buyer or any person with a controlling interest in the proposed buyer or a key employee of the proposed buyer has been subject to the suspension, revocation or cancellation of rights issued by the Authority or common carrier rights issued by the PUC during the 1-year period immediately preceding the date the SA-1 was filed with the Authority.
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.11 Authority review.
(a) Notice of sale will be published in the Pennsylvania Bulletin.
(b) The SA-1 will be reviewed as provided in § 1003.51 (relating to applications generally).
(c) The SA-1 will be denied if the proposed buyer or any person with a controlling interest in the proposed buyer or a key employee of the proposed buyer is in violation of any provision of this part or if the Authority determines that the sale is not in the public interest. The SA-1 may be denied if the owner is in violation of any provision of this part.
(d) The Authority will review the terms of any loan associated with an SA-1 and deny the application in the circumstances in this subsection. The terms of any loan associated with an SA-1 are likely to lead to a condition of default by the proposed buyer. The Authority will specifically review the following provisions of any loan agreement to assure it does not conflict with the public interest:
(1) The term.
(2) The interest rate or rates, including any adjustable rate or balloon provisions.
(3) Late payment grace periods.
(4) Conditions of default.
(5) Periods in which defaults may be cured.
(6) The qualifications, experience and history of the lender related to commercial loans and loans to public utilities.
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.12 Approval process and closing on sale.
(a) If the Director determines that a proposed buyer of rights is qualified as provided in the act, this part or an order of the Authority, a recommendation to approve the sale will be presented to the Authority for approval at its next regularly scheduled meeting. The Authority may require that proposals from the Director as provided in this section first be presented to a committee of the Board at a public meeting.
(b) Upon approval of the sale by the Authority, the Director will schedule the parties to meet at a time and location where an Authority staff member will witness the closing of the transaction.
(c) An Authority staff member will witness the execution of each document by the owner and proposed buyer, or their designated agents. Any closing not witnessed by Authority staff is void as provided in sections 5711(c)(5) and 5718 of the act (relating to power of authority to issue certificates of public convenience; and restrictions).
(d) If the subject of the sale is a medallion that is the only medallion issued to the owner’s medallion taxicab certificate, that certificate will be cancelled upon completion of the closing on the sale of the medallion. For example, if the owner of only one medallion seeks to sell the medallion through the process provided in this chapter, the owner’s medallion taxicab certificate will be cancelled upon closing on the sale of the medallion.
(e) The Authority will issue a new medallion taxicab certificate to the new medallion owner as part of the closing process if requested by the proposed buyer as provided in § 1027.4(b) (relating to certificate required for medallion sales).
(f) A medallion subject to a completed closing may not be transferred or sold for 1 year from the date of closing.
(g) Subsection (f) does not apply to the sale of a medallion in the following circumstances:
(1) When each person that owns securities of the corporation, partnership, limited liability company or other form of legal entity that owns a medallion sold under this subchapter has died or is declared incapacitated.
(2) When a person that owns securities of the corporation, partnership, limited liability company or other form of legal entity that owns a medallion sold under this subchapter has died or is declared incapacitated and that person’s securities are transferred to the medallion owning entity or another owner of securities in the entity that owns the medallion.
The provisions of this § 1027.12 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1027.12 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360467) to (360468).
This section cited in 52 Pa. Code § 1027.15 (relating to commencement of service); and 52 Pa. Code § 1029.10 (relating to broker agreements required).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.13 Settlement sheet.
(a) The owner and proposed buyer shall use Form SA-2 ‘‘Standard Settlement Sheet’’ at any closing on the sale of rights. The SA-2 is available on the Authority’s web site at www.philapark.org/tld.
(b) The SA-2 must include the information required by the Authority, including the following:
(1) The names and addresses of the owner and proposed buyer.
(2) The names and address of the brokers or attorneys used in the transaction.
(3) The name and address of the lender and a designated contact person employed by the lender, if any.
(4) A copy of all certificates or other documents authorizing the lender to make commercial loans in this Commonwealth.
(5) The amount, term and interest rate of any loan used to purchase the rights.
(6) The medallion numbers.
(7) The certificate numbers.
(8) The total consideration for the rights to be sold and any payment terms, including loan contingencies and nonmonetary consideration.
(9) An allocation of funds expended in the transaction.
(10) The fees and costs associated with the sale, including those payable to any broker or attorney, or both.
(11) Signatures of the owner and proposed buyer, or their designated agents, and the brokers.
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.14 Attachment of medallion.
Upon the completion of the closing on the sale of a medallion, the Enforcement Department will schedule a date and time to attach the medallion to the taxicab designated by the owner in a manner consistent with § 1013.2 (relating to attachment of a medallion).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
52 Pa. Code § 1027.15 Commencement of service.
A regulated party shall, within 30 days from the date of settlement under § 1027.12(b) (relating to approval process and closing on sale), begin operating and furnishing service. If it has not commenced operating and furnishing the authorized service within 30 days, appropriate proceedings shall be initiated to terminate the certificate unless, upon advanced written permission as provided in § 1011.14 (relating to voluntary suspension of certificate), the time for commencement of service is extended.
The provisions of this § 1027.15 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1027.15 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360468).
History
- Authority: The provisions of this § 1027.
- Source: The provisions of this § 1027.
Chapter 1029 Brokers
52 Pa. Code § 1029.1 Purpose.
(a) This chapter establishes and prescribes Authority regulations and procedures for the registration of individuals as brokers for the sale and transfer of medallions and certificates. Unless the context indicates otherwise, the provisions of this chapter apply to the sale of certificates of public convenience or medallions as provided by this subpart and Subpart C (relating to limousines).
(b) An individual authorized to act as a broker by the Authority on December 3, 2011, shall immediately comply with this chapter before the first registration renewal required under § 1011.3 (relating to annual rights renewal process).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.2 Use of broker.
(a) A broker shall be used by the parties to the sale of rights, except as provided in § 1029.3 (relating to use of attorney). A single broker may represent both parties in a transaction. The Authority will maintain a list of brokers, which may be obtained at www.philapark.org/tld.
(b) A person may not act as a broker without having been registered by the Authority under this chapter.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.3 Use of attorney.
A party may use an attorney admitted to practice law before the Supreme Court of Pennsylvania in lieu of a broker.
This section cited in 52 Pa. Code § 1027.7 (relating to required application information); and 52 Pa. Code § 1029.2 (relating to use of broker).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.4 Ineligible persons for broker certification.
An applicant is ineligible to be a broker if in violation of the act, this part or an order of the Authority, including the following:
(1) Upon conviction or arrest as provided in § 1011.5 (relating to ineligibility due to conviction or arrest).
(2) The applicant does not speak, read and write the English language sufficiently to draft and review transactional documents as required by the act, this part or an order of the Authority.
(3) The applicant provides false information in any document submitted to the Authority.
(4) The applicant is in violation of § 1011.7 (relating to payment of outstanding fines, fees and penalties).
(5) The applicant is 20 years of age or younger.
(6) The applicant has failed to satisfactorily complete broker testing as provided in this chapter.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.5 Broker registration.
(a) General. To obtain a broker registration, an individual shall complete and file Form BR-1 ‘‘Broker Application,’’ along with the application fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The BR-1 may be obtained on the Authority’s web site at www.philapark.org/tld.
(b) BR-1 application. The completed BR-1 shall be verified as provided in § 1001.36 (relating to verification and affidavit) and be filed with the Director in person and include the information required by the Authority, including all of the following:
(1) The name of the applicant and contact information, including a mailing address, a telephone number, an email address and a facsimile number.
(2) A list of all Authority rights, common carrier rights issued by the PUC and other transportation rights issued by any jurisdiction outside of this Commonwealth in which the applicant has any controlling interest.
(3) The name, address, telephone number, facsimile number and email address of any attorney or broker, or both, assisting the applicant through the Authority’s broker registration process.
(4) A criminal history report, issued within 30 days of the filing of the application, from any jurisdiction in which the following individuals have lived during the last 5 years:
(i) The applicant.
(ii) Each key employee of the applicant.
(5) A written statement verified as provided in § 1001.36, which provides that:
(i) The applicant and each key employee have not been subject to a conviction as provided in § 1001.10 (relating to definitions).
(ii) The applicant and each key employee are in compliance with § 1011.7 (relating to payment of outstanding fines, fees and penalties).
(iii) The applicant and each key employee are current on all reports due in relation to other rights issued by the Authority.
(iv) The applicant can comply with the requirements in this chapter.
(6) A completed original of Form BR-5 ‘‘Business Experience Questionnaire.’’ A copy of the BR-5 may be obtained on the Authority’s web site at www.philapark.org/tld.
(7) The applicant’s Social Security number.
(8) A copy of the applicant’s Social Security card or documents confirming a legal permanent resident status or an alien authorized to work status, if applicable.
(9) The applicant’s driver’s license or other government issued photographic identification.
(10) A resume detailing the applicant’s work history for the 5 years preceding the filing of the BR-1 and qualifications to be a broker.
The provisions of this § 1029.5 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1029.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360470) to (360471).
This section cited in 52 Pa. Code § 1029.6 (relating to broker training); and 52 Pa. Code § 1029.7 (relating to broker testing).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.6 Broker training.
(a) Upon submission of a BR-1 application under § 1029.5 (relating to broker registration), an applicant may be scheduled by the Authority to attend an in-class training program upon request of the applicant. The Authority, or its authorized agent, will conduct the training.
(b) Broker training will consist of a minimum of 2 hours of instruction developed to address all areas of the Authority’s regulations with emphasis on the following subjects:
(1) Eligibility to be a certificate owner, dispatcher and medallion owner.
(2) The forms and records required to complete a sale of rights.
(3) An overview of frequently encountered subjects in the Authority’s regulations, including the following:
(i) Authority regulations governing certificate owners.
(ii) Authority regulations governing equipment.
(iii) Penalties for violation of Authority regulations.
(iv) An overview of the administrative process related to the sale of rights.
(v) The identification and address of the Authority office responsible for administering the act.
(c) It is within an applicant’s discretion to discontinue training and request the scheduling of broker testing as provided in § 1029.7 (relating to broker testing) through written notice to the Manager of Administration.
This section cited in 52 Pa. Code § 1029.7 (relating to broker testing).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.7 Broker testing.
(a) The applicant will be scheduled by the Authority for broker testing. Testing will be rescheduled upon the request of the applicant to permit completion of broker training as provided in § 1029.6 (relating to broker training) or to address an applicant’s scheduling conflict.
(b) The broker test will focus on the subjects identified in § 1029.6.
(c) The Authority will develop a test to assure that applicants for broker registration understand the subjects identified in § 1029.6.
(d) The test will be administered in the English language. The assistance of interpreters will not be permitted.
(e) Except as limited under this chapter, the test may be administered in a manner and in a form deemed appropriate by the Authority. The test may include:
(1) Questions requiring a written response.
(2) Multiple choice questions.
(3) Oral questions.
(4) The demonstration of an ability to complete all of the documents necessary to sell transferable rights.
(5) The demonstration of an ability to read, write and speak the English language as required by this part.
(f) An applicant may take the test required by this chapter more than three times.
(g) Failure to pass the test required by this section within 90 days of the filing of the BR-1 application as provided in § 1029.5 (relating to broker registration) will render the application void.
(h) Upon the denial or voiding of a BR-1 as provided in this chapter, an applicant may not reapply for registration for 6 months.
This section cited in 52 Pa. Code § 1029.6 (relating to broker training); and 52 Pa. Code § 1029.8 (relating to broker registration approval).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.8 Broker registration approval.
(a) If the BR-1 and related broker application documents demonstrate that the applicant is in compliance with the Authority’s regulations and the applicant has passed the broker testing under § 1029.7 (relating to broker testing), the Authority will issue a broker registration letter to the applicant and place the applicant’s name on the list of brokers maintained by the Authority.
(b) The broker registration letter will confirm the individual’s broker status with the Authority and list an expiration date, which will be 1 year from the date of issuance, and contain other information and guidance as the Authority deems appropriate.
(c) The broker registration letter shall be displayed prominently in the broker’s office.
(d) The broker registration letter may be served upon the broker by email.
This section cited in 52 Pa. Code § 1001.10 (relating to definitions).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.9 Broker representation letter.
A broker retained by a party to a sale of rights subject to the act shall file Form BR-2 ‘‘Broker Representation Letter’’ with the Authority on or before the date a sale application is filed with the Authority. The BR-2 may be obtained on the Authority’s web site at www.philapark.org/tld.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.10 Broker agreements required.
(a) A broker shall have a written agreement with each client that clearly identifies the broker’s client or clients, the scope of services to be performed and the consideration to be paid by each client upon completion of the closing on the sale as provide § 1027.12 (relating to approval process and closing on sale).
(b) A broker shall confirm that a power of attorney signed by a client complies with § 1001.28 (relating to power of attorney).
(c) A broker may not offer an Authority issued right for sale unless authorized in advance and in writing by the owner of the right.
(d) A broker agreement that creates an exclusive listing relationship must include as a signed and notarized addendum Form BR-3 ‘‘Broker Exclusive Listing’’ to confirm the understanding of a broker’s client or clients that an exclusive relationship exists and its term. The BR-3 may be obtained at www.philapark.org/tld. An exclusive listing may not be extended beyond the termination date in the BR-3 unless a new BR-3 is signed and dated by the client as provided in this section.
(e) If a broker intends on participating in a sale of rights as an insurance broker, automobile dealer or in some other capacity in addition to that of a broker, the exact nature of the nonbroker roll, and the consideration associated with that roll, shall be disclosed in writing to the broker’s client and filed with the Authority along with the BR-2. If the nonbroker roll is developed after the filing of the BR-2, the disclosure shall be made to the client and filed with the Authority immediately.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.11 Professional liability insurance.
(a) A broker shall continuously maintain professional liability insurance in the amount of $50,000, including coverage for errors and omissions caused by the broker’s negligence in the performance of duties from an insurer authorized to do business in this Commonwealth.
(b) A broker registration will not be issued or renewed unless confirmation of required insurance has been filed with the Authority as provided in § 1025.2 (relating to insurance forms and procedures).
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.12 Broker duties.
The following duties are owed by a broker to a client in the sale of rights subject to the act and may not be waived:
(1) Exercising reasonable professional skill and care.
(2) Dealing honestly and in good faith and maintain confidentiality.
(3) Presenting, in a reasonably practicable period of time, all offers, counteroffers, notices and communications to and from the parties in writing, unless the rights at issue are subject to an existing SA-1 and the seller has agreed in a written waiver.
(4) Providing advanced written disclosure in a reasonably practicable period of time of all conflicts of interest and financial interests required by this chapter.
(5) Advising the client to seek expert advice on matters about the sale that are beyond the broker’s expertise.
(6) Ensuring that all services are provided in a reasonable, professional and competent manner.
(7) Keeping the client informed about offers to purchase rights, the sale and tasks to be completed.
(8) Providing assistance with document preparation.
(9) Advising the client about compliance with laws and regulations pertaining to the rights at issue without rendering legal advice.
(10) Providing a copy of all documents prepared or maintained by the broker on behalf of the client to the client at or before the date the sale closes or otherwise immediately upon request.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.13 Disclosure of interest.
(a) A broker may only participate in a transaction involving rights subject to the act in which the broker has an interest after first disclosing that interest in writing to all parties concerned.
(b) A broker may not represent, or purport to represent, more than one party to a sale of rights subject to the act without the written consent of all parties concerned.
(c) A broker who provides financial services, insurance or mechanical repair services may not require a client to use any of these services.
(d) If the client chooses to use any of the services referenced in subsection (c), the broker shall provide the client with a written disclosure of any financial interest, including a referral fee or commission that the broker may earn. The disclosure required under this paragraph shall be made at the time the broker first advises the client that an ancillary service is available or when the broker first learns that the client will be using the service.
(e) A broker has a continuing obligation to disclose to a client, any conflict of interest in a reasonably practicable period of time after the broker learns or should have learned of the conflict of interest.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.14 Broker conduct and obligations.
(a) A broker may not give assurances or advice concerning an aspect of rights subject to sale that the broker knows, or reasonably should be expected to know, is incorrect, inaccurate or improbable.
(b) A broker is not required to independently verify the accuracy or completeness of any representation made by the clients to a sale which the broker reasonably believes to be accurate and reliable.
(c) A broker is not liable for the acts of a client unless the client is acting at the express direction of the broker or as a result of a representation by a broker reasonably relied on by the client.
(d) A broker shall keep and maintain records related to its clients and each sale in which it participates in any manner as provided in § 1011.11 (relating to record retention), including the following records:
(1) The names and addresses of buyers, sellers, lenders or lienholders, if any.
(2) The purchase price.
(3) The amount of deposit paid on the contract.
(4) The amount of commission paid to the broker.
(5) The expenses of procuring financing, if any.
(6) Closing statements.
(e) Upon suspension or cancellation of a broker’s registration with the Authority, no other broker may use the services of the former broker, as an employee or otherwise, to perform broker related services.
(f) An advertisement placed by a broker related to the sale of rights subject to the act must indicate that the advertiser is a registered broker. A broker may not use deceptive or misleading advertising.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.15 Duty to deposit money belonging to another into escrow account.
A broker shall deposit money that the broker receives belonging to another into an escrow account in a Federally- or State-insured bank or depository to be held pending consummation of the sale of rights subject to the act or a prior termination thereof that does not involve a dispute between the parties to the sale, at which time the broker shall pay over the full amount to the party entitled to receive it.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.16 Nonwaiver of escrow duty.
A broker’s escrow duty may not be waived or altered by an agreement between the parties to the sale, between the broker and the parties, or between the broker and other brokers who may be involved in the sale.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.17 Deadline for depositing money into escrow account.
(a) Except as provided in subsection (b), a broker shall deposit money belonging to another into one escrow account by the end of the next business day following its receipt in the broker’s office.
(b) If the money of another has been tendered to the broker in the form of a check under an offer to purchase or lease a right subject to the act, the broker may, with the written permission of both the buyer and the seller or the lessee and the lessor, refrain from depositing the money into an escrow account by the deadline in subsection (a) pending the seller’s or lessor’s acceptance of the offer. In those cases, the broker shall deposit the check into an escrow account within 1 business day of the seller’s or lessor’s acceptance of the offer.
(c) A broker shall notify each client of the bank’s name, address and the account number of each account holding escrowed funds related to the sale.
(d) Upon request, a broker shall notify the owner of the escrowed funds of the name, address and account number of the account holding in escrow. For purposes of this subsection, the owner of the escrowed funds is the party that provided the funds to the broker for placement in escrow.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.18 Escrow account.
(a) A broker escrow account must:
(1) Be maintained in a Federally- or State-insured bank or recognized depository.
(2) Designate the broker as trustee.
(3) Provide for the withdrawal of funds without prior notice.
(4) Be used exclusively for escrow purposes.
(b) If money is expected to be held in escrow for more than 6 months, the broker is encouraged to deposit the money into an interest-bearing escrow account. Interest earned on an escrow account shall be held and disbursed, pro rata, in the same manner as the principal amount, unless the parties to the transaction direct otherwise by agreement. A broker may not claim the interest earned on an escrow account.
(c) Upon request, a broker shall provide the Authority with its records related to any escrow accounts maintained during the past 5 years or authorize the release of the records by each bank or recognized depository.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.19 Prohibition against commingling or misappropriation.
(a) Except as provided in subsection (b), a broker may not commingle money that is required to be held in escrow or interest earned on an escrow account, with business, personal or other funds.
(b) A broker may deposit business or personal funds into an escrow account to cover service charges assessed to the account by the bank or depository where the account is located or to maintain a minimum balance in the account as required by the regulations of the bank or depository.
(c) A broker may not misappropriate money that is required to be held in escrow or interest earned on an escrow account, for business, personal or other purposes.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.20 Procedure when entitlement to money held in escrow is disputed.
If a dispute arises between the parties to a sale over entitlement to money that is being held in escrow by a broker, the broker shall retain the money in escrow until the dispute is resolved. If resolution of the dispute appears remote without legal action, the broker may, following 30 days’ notice to the parties, petition the Philadelphia Court of Common Pleas to interplead the rival claimants.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.21 Escrow records.
A broker shall keep records of moneys received by him that are required to be held in escrow and shall produce the records for examination by the Authority or its authorized representatives upon written request. The records must contain the following information:
(1) The name of the party from whom the broker received the money.
(2) The name of the party to whom the money belongs.
(3) The name of the party for whose account the money is deposited.
(4) The date the broker received the money.
(5) The date the broker deposited the money into the escrow account.
(6) The date the broker withdrew the money from the escrow account.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
52 Pa. Code § 1029.22 Broker in possession of medallion.
If a medallion has been deposited with a broker, the broker shall deliver the medallion to the Authority for placement into storage within 48 hours of receipt.
History
- Authority: The provisions of this § 1029.
- Source: The provisions of this § 1029.
Chapter 1030 Taxicab Rates
52 Pa. Code § 1030.1 Definitions.
The following word, when used in this chapter, has the following meaning, unless the context clearly indicates otherwise: Tariff—A schedule of rates that is charged to a passenger upon being provided taxicab service within Philadelphia or within a certain designated territory in Philadelphia as outlined in the tariff.
History
- Authority: The provisions of this Chapter 1030 temporarily issued under 53 Pa.
- Source: The provisions of this Chapter 1030 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.
52 Pa. Code § 1030.2 Taxicab rates and tariffs.
(a) Medallion taxicabs. Medallion taxicabs shall charge a uniform rate as determined and approved by the Authority upon investigation as provided in section 5703 or 5720 of the act, or both (relating to rates; and wages).
(1) Changes to an existing and duly established rate shall be determined under section 5703 or 5720 of the act, or both, or otherwise ordered by the Authority.
(2) A certificate holder or certified driver may petition the Authority to reopen a rate investigation under section 5703 or 5720 of the act, or both, to allow for flexible rates or surcharges, including fuel or peak-hour surcharges. A request for a flexible pricing model must include a proposed framework for consumer protections that involve upfront disclosure of the fare in a way that is not contingent upon consumer request and the flexible pricing model will be computed to not violate the Price Gouging Act (73 P.S. § § 232.1—232.5).
(3) An approved flexible pricing model or surcharge will be reviewed annually by the Authority.
(b) Dispatchers.
(1) Upon advanced written notice to the Authority, a dispatcher certificate holder may offer below-tariff pricing such as coupons, loyalty programs and corporate client discounts.
(2) Upon approval by the Authority from a written request by a dispatcher certificate holder, a dispatcher may establish procedures for assessing fees to passengers for any of the following:
(i) Cancellation of prearranged taxicab service within a certain time period of when the requested service was scheduled to begin.
(ii) Nonappearance of a passenger after requesting prearranged taxicab service.
(iii) Cleaning of a taxicab as a direct result of an act by a passenger.
This section cited in 52 Pa. Code § 1021.11 (relating to driver requirements).
History
- Authority: The provisions of this Chapter 1030 temporarily issued under 53 Pa.
- Source: The provisions of this Chapter 1030 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.
Subpart C Limousines
Chapter 1051 General Provisions
52 Pa. Code § 1051.1 Purpose.
This subpart establishes and prescribes Authority regulations and procedures for limousine service in Philadelphia.
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.2 Definitions.
The following words and terms, when used in this subpart, have the following meanings, unless the context indicates otherwise: Broker—An individual authorized by the Authority as provided in § 1061.1 (relating to broker registration) to prepare application-related documents, appear at settlement and otherwise act on behalf of a party as to matters related to the sale or transfer of transferable rights. Controlling interest—
(i) A controlling interest is an interest in a legal entity, applicant or certificate holder if a person’s voting rights under state law or corporate articles or bylaws entitle the person to elect or appoint one or more of the members of the board of directors or other governing board or the ownership or beneficial holding of 5% or more of the securities of the corporation, partnership, limited liability company or other form of legal entity, unless this presumption of control or ability to elect is rebutted by clear and convincing evidence. A member, partner, director or officer of a corporation, partnership, limited liability company or other form of legal entity is deemed to have a controlling interest.
(ii) A person who owns or beneficially holds less than 5% of the securities of a privately held domestic or foreign corporation, partnership, limited liability company or other form of privately held legal entity shall be deemed as having rebutted the presumption of control by clear and convincing evidence. Department of Transportation—The Department of Transportation of the Commonwealth of Pennsylvania. Driver history report—A driver’s license report issued by the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States containing details about a driver’s history including accidents and violations issued by a jurisdiction within the United States. Driver’s license—A license or permit to operate a motor vehicle issued by the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States. Federal Tax Identification number—The Social Security number of an individual or the Employer Identification number of a business entity, fiduciary or other person. Holding company—A person, other than an individual, which, directly or indirectly, owns, has the power or right to control or to vote 20% or more of the outstanding voting securities of a corporation or other form of business organization. A holding company indirectly has, holds or owns any power, right or security if it does so through an interest in a subsidiary or successive subsidiaries. Inspector—Enforcement Department uniformed or non-uniformed staff assigned to investigate and enforce the act, this part and orders of the Authority who will be identifiable by an Authority-issued badge number. Key employee—An individual who is employed in a director or department head capacity and who is empowered to make discretionary decisions that affect the operations of an applicant or regulated person. Limousine certificate—A certificate granting the owner the right to operate a class of limousine service under this subpart. Limousine driver’s certificate—The original photographic identification card issued by the Authority which confirms that an individual has complied with Chapter 1057 (relating to limousine drivers) and is authorized to provide limousine service under section 5706 of the act (relating to driver certification program). Major violation—A suspension or cancellation of a state-issued driver’s license as a result of a moving violation. Moving violation—A violation issued by the Commonwealth or any of its political subdivisions for a violation of 75 Pa.C.S. (relating to Vehicle Code), or under a similar statute under any other jurisdiction, that upon conviction of the violation points are assessed against the driver’s license. Parking violations—Any debt owed to the City of Philadelphia related to a violation of the Philadelphia Traffic Code (12 Phila. Code § § 100—3012) that is not under appeal. Proposed buyer—The party seeking to acquire an ownership interest in a certificate. Traffic violations—Any debt owed the Commonwealth or one of its political subdivisions for violations of 75 Pa.C.S. that is not under appeal. Transfer fee—The nonrefundable fee charged by the Authority to review an application to sell transferable rights.
The provisions of this § 1051.2 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.2 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360479) to (360480) and (374013).
This section cited in 52 Pa. Code § 1051.8 (relating to limousine service limitations); 52 Pa. Code § 1057.4 (relating to ineligible persons for limousine driver certificate); and 52 Pa. Code § 1059.6 (relating to required application information).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.3 Annual rights renewal process.
(a) Expiration of driver’s certificate. A limousine driver’s certificate will expire 1 year from its date of issuance or renewal unless a limousine driver opts to pay no more than double the annual fee as provided in § 1051.4 (relating to annual assessments and renewal fees) to be issued a limousine driver certificate to expire 2 years from its date of issuance or renewal.
(b) Expired rights.
(1) Expired rights may be placed out of service by the Authority as provided in § 1003.32 (relating to out of service designation).
(2) Limousine driver certificates that have been expired for 2 years or more will be deemed cancelled.
(c) Renewal forms.
(1) Limousine driver certificates shall be renewed by completing and filing Form DR-3 ‘‘Driver Renewal’’ with the Manager of Administration. Renewal forms may be obtained on the Authority’s web site at www.philapark.org/tld or from TLD Headquarters.
(2) Form DR-3 may require the submission of additional information or documents to confirm continuing eligibility and under the act, this part and orders of the Authority and shall be verified as provided in § 1001.36 (relating to verification and affidavit).
(3) Form DR-3 shall be filed between 60 and 90 days before the expiration date printed on the limousine driver’s certificate.
(d) Renewal denial. The Authority will deny renewal of a limousine driver certificate in the following circumstances:
(1) If the owner of the rights subject to renewal fails to complete the renewal process.
(2) The renewal process reveals information about the renewing person that would result in a denial of an initial application for the rights.
(3) The renewing person fails to comply with § 1051.4.
(e) Incomplete renewals. If the filing requirements of the renewal form are incomplete for any reason, including compliance with § 1051.6 (relating to payment of outstanding fines, fees and penalties), the regulated party shall have 90 days from the filing date of the renewal form to complete the renewal process or the application will be rendered void.
(f) Suspended driver rights. Rights subject to suspension for any reason shall be renewed on the dates and in the manner provided by this section regardless of the suspended status.
(g) New certificates. A certificate will not be subject to the information filing requirements of subsection (h) during the calendar year in which it is first issued.
(h) Limousine information filing.
(1) The owner of limousine rights shall complete on an annual basis Form LM-1 ‘‘Limousine Renewal’’ to ensure continued compliance with the act, this part and the orders of the Authority.
(2) Form LM-1 shall be verified as provided in § 1001.36 and filed with the Manager of Administration on or before March 31 of each year.
(3) Form LM-1 may require the submission of additional information or documents. Form LM-1 may be obtained on the Authority’s web site at www.philapark.org/tld or from TLD Headquarters.
(4) The filing requirements of this subsection apply to rights subject to suspension for any reason.
(5) The failure to file Form LM-1 will subject the applicable rights to an out of service designation as provided in § 1003.32(c).
(6) The TLD will not issue a limousine rights sticker to a vehicle operated through a limousine certificate if the review of the information required under this section reveals information about the certificate holder that would have resulted in a denial of an initial application for the rights. This paragraph does not relieve a certificate holder of any other penalty that may result from noncompliance, nor the obligation to appear at inspections as directed by the TLD.
(7) The LM-1 will be reviewed for all of the following:
(i) The filing does not reveal information about the certificate holder that would resulted in a denial of an initial application for the rights.
(ii) The certificate holder is in compliance with § 1051.4.
(iii) The certificate holder is in compliance with § 1051.6.
(8) Failure to complete the LM-1 filing requirements of this subsection within 30 days of notice will subject the applicable rights to an out of service designation as provided in § 1003.32(c).
The provisions of this § 1051.3 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.3 amended October 17, 2014, effective October 18, 2014, 44 Pa.B. 6665; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (374013) to (374014).
This section cited in 52 Pa. Code § 1051.4 (relating to annual rights renewal fees); 52 Pa. Code § 1055.1 (relating to definitions); 52 Pa. Code § 1055.19 (relating to prerequisites to inspection); and 52 Pa. Code § 1057.3 (relating to continuing certificates).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.4 Annual assessments and renewal fees.
(a) Assessments and renewal fees. The owners of rights issued by the Authority shall pay an annual assessment or renewal fee in an amount established each year under section 5707(a) and (c) of the act (relating to budget and assessments) and as set forth in the Authority’s annual fee schedule as provided in § 1001.43 (relating to Authority fee schedule).
(b) Payment of assessments by certificate holders. The annual assessment for certificate holders is due within 30 days after service of the notice of assessment as provided in section 5707.1(a) of the act (relating to assessment notice and hearings). Upon request by a limousine certificate holder through the LM-1 filing as required under § 1051.3 (relating to annual rights renewal process), the Director may permit certificate holders to pay an assessment in two equal installments within 30 days after service of the notice of assessment as provided in section 5707.1(a) of the act and December 15 of each year.
(c) Payment of renewal fees by limousine drivers. The annual renewal fee for limousine drivers is due with the filing of the DR-3 as provided in § 1051.3(c)(3).
(d) Late assessment or renewal fee payments. Rights issued by the Authority may be placed out of service at the time an assessment or renewal fee payment becomes late as provided in § 1003.32(c) (relating to out of service designation).
The provisions of this § 1051.4 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.4 amended October 17, 2014, effective October 18, 2014, 44 Pa.B. 6665; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (374014) to (374015).
This section cited in 52 Pa. Code § 1051.3 (relating to annual rights renewal process).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.5 Ineligibility due to conviction or arrest.
(a) A person is ineligible to own any interest in any right issued by the Authority if the person, or a person having a controlling interest over the person or a key employee, has been subject to a conviction as defined in § 1001.10 (relating to definitions).
(b) If a regulated party owning a transferable right becomes ineligible to hold rights issued by the Authority due to a conviction, the regulated party shall immediately cease use of the rights and initiate the sale of the rights to an eligible person as provided in Chapter 1059 (relating to applications and sale of rights). If the regulated party is an individual limousine certificate holder or the sole owner of the securities of a limousine certificate holder, that person shall surrender to the Authority any limousine rights stickers to hold for safekeeping until the rights are sold.
(c) A regulated party or applicant shall inform the Director within 72 hours of being subject to an arrest or conviction as defined under § 1001.10.
(d) If a criminal prosecution is initiated against a regulated party for a crime that may lead to a conviction as defined in § 1001.10, the Enforcement Department or trial counsel may place the subject rights out of service as provided in § 1003.32 (relating to out of service designation).
The provisions of this § 1051.5 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360483).
This section cited in 52 Pa. Code § 1051.8 (relating to limousine service limitations); 52 Pa. Code § 1051.14 (relating to death or incapacitation of a certificate holder or certain persons with controlling interest); 52 Pa. Code § 1055.19 (relating to prerequisites to inspection); and 52 Pa. Code § 1059.6 (relating to required application information).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.6 Payment of outstanding fines, fees and penalties.
(a) Regulated persons and applicants for any right issued by the Authority shall pay all assessments, fees, penalties and other payments due to the Authority under the act, this part or an order of the Authority on schedule, unless the matter related to the payment is under appeal.
(b) Regulated persons and applicants for any right issued by the Authority shall remain current on the payment of parking violations and traffic violations, unless the violation is under appeal.
(c) For purposes of this section, regulated persons and applicants include those with a controlling interest in the regulated person or applicant, or both.
The provisions of this § 1051.6 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.6 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360483) to (360484).
This section cited in 52 Pa. Code § 1051.3 (relating to annual rights renewal process); 52 Pa. Code § 1051.13 (relating to voluntary suspension of certificate); 52 Pa. Code § 1055.19 (relating to prerequisites to inspection); 52 Pa. Code § 1057.5 (relating to standards for obtaining a limousine driver’s certificate); 52 Pa. Code § 1057.8 (relating to certain training subjects); and 52 Pa. Code § 1059.6 (relating to required application information).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.7 Facility inspections.
(a) Inspectors may enter upon the premises of limousine certificate holders where limousines are parked, stored or maintained during ordinary business hours to inspect vehicles or records, or both, associated, with the operation of limousines in Philadelphia, including inspection reports and lease agreements between the certificate holder and another regulated party.
(b) Inspectors may enter upon the premises of brokers during ordinary business hours to review records related to either completed or pending transfers filed with the Authority as provided in § 1059.5 (relating to application for sale of transferable rights) to assure compliance with the act and Chapter 1061 (relating to brokers).
This section cited in 52 Pa. Code § 1051.10 (relating to record retention).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.8 Limousine service limitations.
(a) Providers. Except as provided in subsection (d), only the following individuals may provide limousine service:
(1) The owner, if the owner is a limousine driver.
(2) An employee of the certificate holder who is a limousine driver.
(3) A limousine driver who leases the limousine directly from the certificate holder.
(b) Supervision. A certificate holder shall continually supervise its limousine to make certain that only those limousine drivers authorized by this section provide limousine service. A limousine certificate holder is required to ensure that a person holds a valid limousine driver’s certificate issued by the Authority before permitting the person to drive a limousine.
(c) Criminal history and driver history reports.
(1) A limousine certificate holder is required to conduct or have a third party conduct annual criminal history and driver history checks for all limousine drivers operating a limousine vehicle under the certificate holder.
(i) The criminal history report shall be conducted on a local and National background check, which must include a multistate or multijurisdictional criminal records locator or other similar commercial Nationwide database with primary source validation and a review of the United States Department of Justice’s National Sex Offender Public Website.
(ii) The driver history report shall be obtained from the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States containing details about a driver’s history including accidents and violations issued by a jurisdiction within the United States.
(2) A limousine certificate holder shall review the criminal history and driver history reports before a limousine driver operates a limousine vehicle, and on an annual basis thereafter, to ensure the driver has not been subject to a conviction as defined under § § 1001.10 and 1057.4 (relating to definitions; and ineligible persons for limousine driver certificate), holds a current valid driver’s license, and has not been subject to three moving violations or a major violation as defined under § 1051.2 (relating to definitions).
(3) A limousine driver whose criminal history or driver history renders the driver ineligible to operate a limousine vehicle under § 1051.5 (relating to ineligibility due to conviction or arrest) or § 1057.4 shall be immediately disqualified by the limousine certificate holder and the disqualification shall be reported to the Director within 48 hours.
(4) Records required to be maintained by a limousine certificate holder under this subsection are subject to audits by the Authority under § 1051.10(d) (relating to record retention).
(d) Funeral homes. This section does not apply to an individual hired by a funeral home to drive a limousine for funeral related services. The funeral service drivers may not be in violation of § 1051.5, shall submit to a criminal background check by the TLD and evidence possession of a valid State-issued driver’s license.
(e) Personal vehicle use prohibited. A vehicle registered as a limousine within this Commonwealth may not be operated as a personal vehicle by a driver affiliated with a TNC under Chapter 57A of the act (relating to transportation network companies).
The provisions of this § 1051.8 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.8 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360484).
This section cited in 52 Pa. Code § 1051.10 (relating to record retention).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.9 Discrimination in service.
A regulated person may not refuse service to a member of the public on the basis of gender, sexual orientation, race, religious preference, nationality, age, point of origin, point of destination or to a person with a disability.
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.10 Record retention.
(a) Records to be maintained. All of the following records shall be maintained in the English language for 2 years from the date of origin:
(1) Limousine certificate holders.
(i) All Philadelphia limousine service trip logs, which may be maintained on digital or other electronic devices as approved by the Authority upon detailed written request by the certificate holder.
(ii) A list of limousine drivers and dates employed.
(iii) Each lease agreement for a limousine.
(iv) Records of payment by a driver under each lease agreement for a limousine.
(v) Records related to accidents involving vehicles used as limousines, including repair records.
(2) Brokers. Brokers shall retain all documents submitted to the Authority for review of each proposed sale of rights, including closing documents.
(b) Order. Paper or electronic records, or both, shall be maintained in chronological order by date and time of day.
(c) Review by Authority. A regulated party shall produce records maintained under subsection (a) to the Authority upon written request or upon inspection as provided in § 1051.7 (relating to facility inspections). If the records require a special form of software to search or interpret, a regulated party shall make that software available to the Authority.
(d) Audit of driver records.
(1) Maintenance period. Limousine certificate holders shall maintain records in the English language for 2 years from the date of origin concerning limousine drivers under § 1051.8(b) (relating to limousine service limitations).
(2) Compliance audit. The Authority may conduct a compliance audit of the records required to be maintained by a limousine certificate holder under § 1051.8(b) to verify that the certificate holder has complied with the limousine driver screening requirements and to confirm that the certificate holder’s limousine drivers are eligible to provide limousine service under this part.
(3) Audit designation. Upon the random selection of a limousine vehicle being called for a compliance inspection under § 1055.11 (relating to scheduled compliance inspections), the limousine certificate holder will be notified by the Manager of Administration that it has also been designated for an audit under this section.
(i) Within 5 business days of receiving an audit designation, the limousine certificate holder shall make available for visual inspection to the Authority the records required to be maintained under § 1051.8(b) for each limousine driver that has provided limousine service in the immediately preceding 1 year using the limousine vehicle that was called for a compliance inspection.
(ii) The records shall be produced in person to the Manager of Administration or by email to TLDAdmin@philapark.org.
(iii) If an audit reveals that the limousine certificate holder authorized a limousine driver to provide limousine service when the criminal history report or driver history report revealed that the limousine driver was ineligible under this part or the certificate holder did not conduct the annual records required under § 1051.8(b), the Authority may impose a penalty against the limousine certificate holder and limousine driver under § 1001.61 (relating to penalties) and may subject the rights to an out of service designation under § 1003.32 (relating to out of service designation).
(iv) The limousine certificate holder shall immediately remove a noncompliant limousine driver identified as provided in subparagraph (iii) from limousine service upon the Authority’s direction.
(v) The Authority may alert other limousine certificate holders of the ineligibility of the noncompliant limousine driver to protect the public good.
(4) Remedial audits.
(i) In the event that an audit discrepancy is identified as specified in paragraph (3)(iii), the Authority may direct a limousine certificate holder to submit a follow-up report detailing its efforts to ensure compliance with § 1051.8(b).
(ii) In the event that that an egregious audit discrepancy is identified, multiple audit discrepancies are identified or the Authority makes a determination that a limousine certificate holder has failed to reasonably cooperate in the driver information audit process, the Authority may direct a limousine certificate holder to participate in remedial audits.
(iii) A determination under this section is subject to § 1005.24 (relating to appeals from actions of the staff).
(iv) A remedial audit shall proceed as provided in subparagraph (3) and may subject a review of all limousine drivers providing service in any limousine vehicle owned by the certificate holder during the immediately preceding year regardless of whether the associated limousine vehicle was called for a compliance inspection.
(v) The Authority may direct one remedial audit at any time each month for a 4-month period following discovery of a violation under this section.
(e) Enforcement investigations. This section may not be construed to limit the power of the Authority to conduct enforcement investigations related to this part or the obligation of certificate holders and limousine drivers to cooperate with the investigations and produce information demanded as required under this part.
The provisions of this § 1051.10 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.10 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373569).
This section cited in 52 Pa. Code § 1051.8 (relating to limousine service limitations); and 52 Pa. Code § 1057.16 (relating to trip sheet requirements).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.11 Aiding or abetting violations.
A person may not aid, abet, encourage or require a regulated party to violate the act, this part or an order of the Authority.
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.12 Interruptions of service.
A discontinuance in the provision of limousine service for 5 or more consecutive days shall be reported by the certificate holder to the Manager of Enforcement in writing within 7 days of the beginning of the discontinuation of service. The written report must include the cause of interruption and its probable duration and may be forwarded by email.
This section cited in 52 Pa. Code § 1051.13 (relating to voluntary suspension of certificate).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.13 Voluntary suspension of certificate.
(a) A certificate holder may apply to place a certificate in a voluntary state of suspension as provided in subsection (b) to avoid penalties for violation of § 1051.12 (relating to interruptions of service).
(b) To request approval from the Authority for the voluntary suspension of a certificate, the certificate holder shall file a completed CPC-1 ‘‘Voluntary Suspension Application’’ with the Director and pay the application fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The CPC-1 may be obtained at www.philapark.org/tld.
(c) Before a CPC-1 is granted, a certificate holder shall be in compliance with § 1051.6 (relating to payment of outstanding fines, fees and penalties).
(d) A period of voluntary suspension may begin only upon surrender to the Authority of the TLD limousine rights sticker for each vehicle subject to the voluntary suspension.
The provisions of this § 1051.13 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.13 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373569) to (373570)
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.14 Death or incapacitation of a certificate holder or certain persons with controlling interest.
(a) Definition. The following word, when used in this section, has the following meaning, unless the context indicates otherwise:
Incapacitation—A determination by a court that an individual is incapacitated as provided in 20 Pa.C.S. § 5511 (relating to petition and hearing; independent evaluation), or for non-Pennsylvania residents, a substantially similar order from a court of competent jurisdiction.
(b) Death or incapacitation of an individual certificate holder.
(1) Except as provided in subsection (d), upon the death or incapacitation of an individual certificate holder, the operation or use of Authority rights conferred by the certificate may continue with the legal representative of the deceased or incapacitated certificate holder.
(2) The legal representative of the deceased or incapacitated certificate holder shall immediately notify the Authority in writing upon the death or incapacitation and provide to the Authority the legal representative’s mailing address, telephone number and email address along with the applicable documentation proving legal authorization to act on the part of the certificate holder.
(3) The legal representative of the deceased or incapacitated certificate holder shall immediately begin the process of finding a qualified person to buy the certificate as provided in Chapter 1059 (relating to applications and sale of rights), including the use of a broker or attorney. Nothing in this section prohibits the legal representative from applying to the Authority to obtain the transferrable rights.
(4) If an SA-1 for the transferable right is not correctly filed, as provided in Chapter 1059 within 90 days of the date the certificate holder died or was declared incapacitated, the certificate will be placed out of service as provided in § 1003.32 (relating to out of service designation) and may be cancelled upon determination of a formal complaint filed by the Enforcement Department or trial counsel.
(5) If an SA-1 for the transferable right is correctly filed within 90 days of the date the certificate holder died or was declared incapacitated, the rights conferred by the certificate shall continue with the legal representative of the deceased or incapacitated certificate holder for the duration of the SA-1 review period and through closing on the sale.
(c) Death, incapacitation or dissolution of certain persons with controlling interest in a certificate.
(1) Except as provided in subsection (d), upon the death, incapacitation or dissolution of a person that owns 5% or more of the certificate holder’s securities, the operation or use of the Authority rights conferred by the certificate may continue with either the certificate holder or with the legal representative of the deceased, incapacitated or dissolved person.
(2) The certificate holder or legal representative of the deceased, incapacitated or dissolved person shall immediately notify the Authority in writing upon the death, incapacitation or dissolution of the person and provide to the Authority the legal representative’s mailing address, telephone number and email address along with the applicable documentation proving legal authorization to act on the part of the deceased, incapacitated or dissolved person.
(3) The certificate holder or legal representative of the deceased, incapacitated or dissolved person shall immediately begin the process of finding a qualified person to buy the securities of the certificate holder referenced in paragraph (1) as provided in Chapter 1059 including the use of a broker or attorney. Nothing in this section prohibits the certificate holder from acquiring the securities of the person referenced in paragraph (1).
(4) If an SA-1 for the sale of the securities referenced in paragraph (1) is not correctly filed as provided in Chapter 1059 within 6 months of the date of that person’s death, incapacitation or dissolution, the certificate will be placed out of service as provided in § 1003.32 and may be cancelled upon determination of a formal complaint filed by the Enforcement Department or trial counsel.
(5) If an SA-1 for the sale of the securities referenced in paragraph (1) is correctly filed, as provided in Chapter 1059, within 6 months of the date of the person’s death, incapacitation or dissolution, the rights conferred by the certificate shall continue for the duration of the SA-1 review period and through closing on the sale.
(d) Ineligibility of successor or legal representative. This section may not be interpreted to permit the operation or use of Authority rights by a person otherwise prohibited from the ability to receive Authority rights. For example, the executor of the estate on a deceased individual certificate holder who would be ineligible to own Authority rights as provided in § 1051.5 (relating to ineligibility due to conviction or arrest) may not operate or supervise the operation of the rights conferred by the certificate.
The provisions of this § 1051.14 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1051.14 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373570) and (360487).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.15 Power of successors by law.
(a) If a trustee, receiver, assignee, custodian or similar officer or officers is appointed by a court of competent jurisdiction, or is selected by creditors in accordance with provisions of law, with authority to take or retain possession and to operate the property and business of a certificate holder, the officer shall have authority to perform the service authorized in the certificate of the debtor certificate holder for 90 days from his appointment or selection.
(b) The appointed officer may petition the Authority for authorization to exercise the rights conferred by the certificate for an additional period of time, and the Authority may, for good cause shown, grant authority.
(c) If the petition is filed within 60 days of the appointment or selection of the petitioner, the appointed officer shall have authority to exercise the rights conferred by the certificate pending a decision by the Authority on the petition. Pertinent orders or decrees of the court having jurisdiction may be deemed cause for the granting of petitions by the Authority.
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.16 Limitations.
Operations covered under § § 1011.15 and 1011.16 (relating to death or incapacitation of a certificate holder or certain persons with controlling interest; and power of successors by law) are subject to the terms and conditions of the certificate of public convenience and may not be conducted without full compliance with the act, this part or an order of the Authority, including insurance coverage.
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
52 Pa. Code § 1051.17 Application review generally.
Applications for rights required under this subpart will be reviewed as provided in § 1003.51 (relating to applications generally).
History
- Authority: The provisions of this § 1051.
- Source: The provisions of this § 1051.
Chapter 1057 Limousine Drivers
52 Pa. Code § 1057.1 Purpose and scope.
(a) This chapter establishes minimum qualifications for limousine drivers.
(b) A certificate holder may impose more stringent standards in the selection of its limousine drivers.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.2 Certification required.
(a) Only a limousine driver as defined under § 1001.10 (relating to definitions) may provide limousine service.
(b) A limousine driver shall carry and display an original limousine driver’s certificate on the sun visor of the limousine on the driver’s side with the front of the certificate (picture) facing the rear seat at all times or in the center of the front compartment of the vehicle so long as it is plainly visible to all passengers in the vehicle.
(c) A limousine driver may not drive a limousine with a mutilated, damaged or illegible limousine driver’s certificate.
(d) Only one limousine driver’s certificate at a time may be displayed in a limousine.
(e) A limousine driver’s certificate is not transferable.
The provisions of this § 1057.2 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.2 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373577).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.3 Continuing certificates.
(a) Beginning on December 3, 2011, driver certification rights previously issued by the Authority under section 5706 of the act (relating to driver certification program) shall be designated by the certified driver as either a taxicab driver’s certificate or limousine driver’s certificate at the time those rights are scheduled for renewal as provided in § 1051.3 (relating to annual rights renewal process).
(b) If all other terms of renewal are met, the TLD will renew the driver’s certificate only for the rights selected by the renewing driver as provided in subsection (a).
(c) This section will not prohibit a limousine driver from obtaining a separate taxicab driver certificate as provided in Subpart B (relating to taxicabs).
This section cited in 52 Pa. Code § 1057.5 (relating to standards for obtaining a limousine driver’s certificate).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.4 Ineligible persons for limousine driver certificate.
In addition to other prohibitions provided in this part, an applicant for a limousine driver’s certificate is automatically ineligible under the following circumstances:
(1) The applicant does not hold a current driver’s license.
(2) The applicant does not speak the English language sufficiently to communicate with the general public, to understand highway traffic signs and signals in the English language, to respond to official inquiries and to make verifiable entries on reports and records.
(3) The applicant has failed to complete limousine driver testing as prescribed by this chapter.
(4) The applicant is unable to provide information required under this subpart.
(5) The applicant is 20 years of age or younger.
(6) The applicant does not have a driving history in the United States of at least 1 continuous year prior to the date of application.
(7) The applicant’s driver’s history reflects three moving violations or a major violation as defined in § 1051.2 (relating to definitions) in the 3-year period prior to the driving history check.
(8) The applicant has been convicted of driving under the influence of drugs or alcohol in the preceding seven years from the filing date of the DR-1 ‘‘Driver Application.’’
(9) The applicant has been disqualified by the Authority from being a TNC driver under section 57A12(e) of the act (relating to transportation network company drivers) within the 5 years immediately preceding the filing date of the DR-1 ‘‘Driver Application.’’
The provisions of this § 1057.4 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.4 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867; temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373578).
This section cited in 52 Pa. Code § 1051.8 (relating to limousine service limitations).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.5 Standards for obtaining a limousine driver’s certificate.
(a) General. Except as provided in § 1057.3 (relating to continuing certificates), to obtain a limousine driver’s certificate an individual shall complete and file with the Director Form DR-1 ‘‘Driver Application,’’ along with the application fee which shall be paid as provided in § 1001.42 (relating to mode of payment to the Authority). The DR-1 may be obtained on the Authority’s web site at www.philapark.org/tld. Beginning February 25, 2017, and ending January 1, 2018, the fee for a limousine driver’s certificate is $25. Thereafter, any annual increase to the fee may not exceed the percentage annual change in the Gross Domestic Product Price Index, as calculated by the United States Department of Commerce. The current limousine driver certificate fee will be posted on the Authority’s web site at www.philapark.org/tld under § 1001.43 (relating to Authority fee schedule).
(b) DR-1 application. The completed DR-1 shall be verified as provided in § 1001.36 (relating to verification and affidavit) and include the information required by the Authority, including all of the following:
(1) The full and legal name of the individual applicant.
(2) The applicant’s residential address and telephone number. Applicants may submit an email address to become eligible for service of notice as provided in § 1001.51 (relating to service by the Authority).
(3) The applicant’s driver’s license.
(4) The applicant’s Social Security card or documents confirming a legal permanent resident status or an alien authorized to work status, if applicable.
(5) An authorization to release the applicant’s criminal history report from the State Police to the Authority, if necessary, and authorization for the release of the applicant’s criminal history report from a certificate holder.
(6) An authorization to release the applicant’s driver history report from the Department of Transportation to the Authority, if necessary, and authorization for the release of the applicant’s driver history report from a certificate holder.
(7) Submit Form DR-2 ‘‘Driver Medical History,’’ which is available on the Authority’s web site at www.philapark.org/tld. The requirement to complete the DR-2 will be waived for an applicant who possesses a current physical exam card issued under the requirements of a commercial driver’s license in Pennsylvania. See 49 CFR 391.41—391.49 (relating to physical qualifications and examinations).
(8) A list of all Authority or PUC certificates in which the applicant has any controlling interest.
(9) A written statement verified as provided in § 1001.36, which provides that:
(i) The applicant has not been subject to a conviction as provided in § 1001.10 (relating to definitions).
(ii) The applicant is in compliance with § 1051.6 (relating to payment of outstanding fines, fees and penalties).
(iii) The applicant can comply with the requirements in this chapter.
The provisions of this § 1057.5 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373578) and (360507).
This section cited in 52 Pa. Code § 1057.9 (relating to limousine driver test).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.6 Application changes.
(a) An applicant for a limousine driver’s certificate shall immediately notify the Authority in writing of any changes that affect the accuracy of the information in the application while the application is under review by the Authority.
(b) False information provided by an applicant for a limousine driver’s certificate will result in the denial of the application or cancellation of the driver’s certificate if issued prior to discovery of the false information.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.7 Limousine driver training.
Limousine driver applicants will be provided with training information for review.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.8 Certain training subjects.
(a) The Authority will continually monitor issues related to limousine drivers, including safety and customer service, and maintain a current list of limousine driver training subjects on its web site at www.philapark.org/tld, including the following subjects:
(1) Authority regulations governing limousine drivers.
(2) Authority regulations governing limousine certificate holders.
(3) Authority regulations governing equipment.
(4) Penalties for violation of Authority regulations.
(5) Overview of the administrative process related to violations.
(6) Identification and address of the Authority offices responsible for administering the act.
(7) Driving and customer safety issues, including the following:
(i) Defensive driving techniques.
(ii) Emergency aid.
(iii) Vehicle and equipment inspections.
(iv) Crime prevention.
(v) Accident reporting procedures.
(8) Issues related to the geography of Philadelphia, including the following:
(i) Map reading.
(ii) Overview of major street and traffic patterns.
(iii) Identification and location of popular landmarks and locations.
(b) Upon submission of a completed DR-1 application as provided in this chapter, the DR-1 will be reviewed to determine if the applicant is eligible to be scheduled for testing under § 1057.9 (relating to limousine driver test).
(1) An applicant will not be scheduled for testing if the application documents present information that clearly renders the applicant ineligible to be a limousine driver. For example, an applicant who does not possess a valid driver’s license or is not in compliance with § 1051.6 (relating to payment of outstanding fines, fees and penalties).
(2) If the applicant is eligible to be scheduled for testing, the applicant may be issued a provisional limousine driver certificate, for up to 90 days from the filing date of the DR-1, or until a certificate is issued by the Authority, whichever is earlier.
(3) Upon confirmation of a completed DR-1 filing, the applicant shall schedule a time and date for testing under § 1057.9 with the Manager of Administration.
The provisions of this § 1057.8 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.8 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360508).
This section cited in 52 Pa. Code § 1057.9 (relating to limousine driver test).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.9 Limousine driver test.
(a) The Authority will develop a test to assure applicants for a limousine driver’s certificate understand the information identified in § 1057.8 (relating to certain training subjects).
(b) The test will be administered in the English language. The assistance of interpreters will not be permitted. An applicant’s responses to test questions shall be in the English language.
(c) Except as limited by this chapter, the test may be administered in a manner and in a form deemed appropriate by the Authority. The test may include:
(1) Questions requiring a written response.
(2) Multiple choice questions.
(3) Oral questions.
(4) Demonstration of an ability to operate a motor vehicle and use limousine related equipment.
(d) Failure to pass the test required by this section after three attempts will render the application void.
(e) Failure to pass the test required by this section within 90 days of the filing of the DR-1 application as provided in § 1057.5 (relating to standards for obtaining a limousine driver’s certificate) will render the application void.
(f) Upon the denial or voiding of a DR-1 as provided in this chapter, an applicant may not reapply for registration for 6 months.
This section cited in 52 Pa. Code § 1057.8 (relating to certain training subjects).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.10 Driver requirements.
(a) Preservice inspection. Prior to driving a limousine before each shift, a limousine driver shall perform a vehicle inspection to confirm that the limousine complies with this subpart. The inspection must include all of the following:
(1) At least one full walk around the limousine to assure the exterior of the vehicle is in compliance with this subpart, including all of the following:
(i) The exterior of the limousine is not damaged and no parts of the vehicle have been removed. For example, the hood and doors of the limousine are present and in the proper location.
(ii) The limousine’s tires are full size and the treads are not worn below the level permitted under § 1055.4(b)(4) (relating to basic vehicle standards).
(2) The opening and closing of all doors, the hood and the trunk to assure proper functionality, and the absence of any sharp edges that may injure a passenger or damage clothing, luggage or other property.
(3) An inspection of the interior of the limousine to make certain that the vehicle is clean and otherwise in compliance with this subpart.
(4) Use of the heater and air conditioner to confirm the limousine’s ability to maintain the air temperature required under § 1055.4(b)(12).
(b) Permitted fares. A limousine driver may not charge fares or rates for service other than those provided in the certificate holder’s tariff as provided in Chapter 1063 (relating to tariffs).
(c) Rules of the road. A limousine driver shall continually provide limousine service in a manner consistent with 75 Pa.C.S. (relating to Vehicle Code) and the Philadelphia Traffic Code (12 Phila. Code § § 100—3012).
(d) Presentation and appearance. A limousine driver is responsible for providing clean, safe and courteous limousine service, including all of the following:
(1) Presenting a neat and clean appearance while providing limousine service.
(2) Dressing in clean clothing composed of a shirt with collar, ankle-length trousers, slacks/dress, skirts (if gender appropriate), socks or stockings, and shoes. For example, shorts, bathing trunks, bathing suits, undershirts, muscle shirts and tank-tops are prohibited unless concealed as undergarments beneath the attire described in this paragraph.
(3) Wearing open toed shoes, sandals or bare feet is prohibited while operating a limousine.
(4) Ceasing operation of a vehicle known by the driver to be in an unsafe condition.
(5) Being courteous toward passengers, the public, law enforcement officials and representatives of the Authority. A driver may not use obscene, vulgar or offensive language while providing limousine service.
(6) Maintaining the volume of a radio at a low level and upon the request of a passenger lowering the volume or switching off music or electronic noise such as a radio.
(7) Ceasing use of a mobile telephone and removing ear phones or Bluetooth devices from ears when a passenger is in the vehicle.
(8) Making certain that the taxicab complies with the temperature requirements in § 1055.4(b)(12).
(9) Assisting the elderly or persons with disabilities in entering and exiting the limousine.
(10) Maintaining cash capable of providing change for a $20 bill.
(11) Immediately reporting possessions of passengers left behind in a limousine after service to the Manager of Enforcement and the limousine certificate holder, then delivering the possessions to TLD Headquarters.
(e) Zero-tolerance policy. A limousine driver may not be under the influence of drugs or alcohol while providing limousine service. The Authority will and certificate holders shall enforce a zero-tolerance policy on the use of drugs or alcohol by a limousine driver while providing limousine service.
(1) The driver’s certificate of a limousine driver who is the subject of a TLD investigation or a passenger complaint and whom the inspector or passenger reasonably suspects was under the influence of drugs or alcohol during the course of providing limousine service shall be immediately placed out of service under § 1003.32 (relating to out of service designation).
(2) The Authority may conduct a drug and alcohol test upon written consent by the limousine driver.
The provisions of this § 1057.10 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.10 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360509) to (360510).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.11 Additional requirements.
(a) Each limousine driver shall know the rights and limitations of any limousine used to provide limousine service, including applicable geographical limitations.
(b) A limousine driver may not provide limousine service with an expired limousine driver’s certificate.
(c) A limousine driver may not provide limousine service without a valid driver’s license.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.12 Interstate commerce regulation.
No requirement of this subpart, or any Authority regulation, may be interpreted to disrupt or interfere with interstate commerce exclusively regulated by or preempted by the government of the United States.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.13 Limousine driver’s certificate upon cancellation.
(a) A cancelled limousine driver’s certificate may not be reinstated.
(b) An individual subject to cancellation of a limousine driver’s certificate may not apply to the Authority for a new driver’s certificate, including a taxicab driver’s certificate as provided under § 1021.5 (relating to standards for obtaining a taxicab driver’s certificate), for 2 years from the date the cancellation was entered. If the individual subject to cancellation also holds a taxicab driver’s certificate, that driver’s certificate will be cancelled with the limousine driver’s certificate.
(c) The circumstances related to the cancellation of a limousine driver’s certificate will be considered by the Authority when reviewing any subsequent application submitted by that individual.
This section cited in 52 Pa. Code § 1021.13 (relating to taxicab driver’s certificate upon cancellation).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.14 General limousine driver reports.
A limousine driver shall make timely written reports to the Manager of Administration as required under the act, this part or an order of the Authority, including the following:
(1) Invalidation of a driver’s license for any reason shall be reported within 48 hours.
(2) A change of address or telephone number, or both, shall be reported within 15 days.
(3) A change of name shall be reported to the Authority within 15 days of occurrence or if a court proceeding is required, within 15 days of the court filing.
The provisions of this § 1057.14 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867. Immediately preceding text appears at serial page (360511).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.15 Limousine driver reports after accident.
A limousine driver involved in an accident while driving a limousine that results in property damage, personal injury or death shall do the following:
(1) Stop immediately.
(2) Provide driver’s license, registration, insurance, other information required by Pennsylvania law and the name of the limousine’s certificate holder.
(3) Report the details of the accident as soon as practicable as follows:
(i) To the police if required under 75 Pa.C.S. § 3746 (relating immediate notice of accident to police department).
(ii) To the certificate holder.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.16 Trip sheet requirements.
(a) A driver of any classification of a limousine vehicle engaged in providing limousine service shall have a trip sheet in the vehicle, whether maintained in a paper form or digital form, evidencing that the vehicle is in service. The trip sheet must contain all of the following information:
(1) The limousine driver’s name, the limousine number, the certificate holder and the dispatcher.
(2) The starting location and time of each trip.
(3) The ending location and time of each trip.
(4) A designation indicating whether a trip resulted through the dispatcher or direct call from the passenger.
(5) The fare paid for the trip.
(6) The amount of any gratuity paid to the limousine driver.
(b) At the conclusion of the trip, the driver shall record the ending time on the trip sheet.
(c) The trip sheet shall be retained by the certificate holder as provided in § 1051.10 (relating to record retention).
The provisions of this § 1057.16 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.16 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373579) to (373580).
This section cited in 52 Pa. Code § 1053.1 (relating to standard classifications of limousine service); 52 Pa. Code § 1053.43 (relating to certain limousine requirements); and 52 Pa. Code § 1055.5 (relating to required documents).
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
52 Pa. Code § 1057.17 Expiration and renewal of certificate.
An individual with a limousine driver’s certificate that has been expired for more than 2 years shall pass the limousine driver test as provided in this chapter before providing service.
The provisions of this § 1057.17 temporarily issued under 53 Pa.C.S. § 57B02.
The provisions of this § 1057.17 temporarily adopted May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558.
History
- Authority: The provisions of this § 1057.
- Source: The provisions of this § 1057.
Chapter 1059 Applications and Sale of Rights
52 Pa. Code § 1059.1 Purpose.
This chapter establishes and prescribes Authority regulations and procedures for applications for limousine certificates and sale of certain rights issued by the Authority.
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.2 Applications for limousine rights.
(a) To obtain a certificate to operate a class of limousine service as provided in Chapter 1053 (relating to standard classifications of limousine service), a person shall complete and file with the Director Form SA-1 ‘‘Sale Application,’’ along with the application fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The SA-1 may be obtained on the Authority’s web site at www.philapark.org/tld.
(b) The filing requirements and standards of review applicable to SA-1 applications will be the same as those applicable to a proposed buyer of rights as provided in this chapter.
The provisions of this § 1059.2 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1059.2 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (373581).
This section cited in 52 Pa. Code § 1059.11 (relating to approval process and closing on sale).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.3 Authority approval of sale of rights.
(a) Sale of transferable rights. The sale of transferable rights without advance approval of the Authority is void by operation of law.
(b) Sale of securities in transferable rights. The sale of securities in an entity that owns transferable rights will be considered a sale under this chapter in either of the following circumstances:
(1) The securities to be transferred equal or exceed 5% of the issued securities in the entity that holds an ownership interest in a transferrable right.
(2) Upon completion of the transfer the buyer will own 5% or more of the issued securities in the entity that holds an ownership interest in a transferrable right.
The provisions of this § 1059.3 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1059.3 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373581) to (373582).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.4 Agreement of sale.
(a) The parties to a proposed sale of transferable rights shall complete an agreement of sale detailing the terms of the transaction, including provisions required by this chapter, and file the agreement with the Director.
(b) An agreement of sale for transferable rights is void by operation of law if not executed by all parties in the presence of the Director or a designee.
(c) The term of an agreement of sale for transferable rights may not exceed 15 business days from the date of execution, except when executed on the date the application for sale of transferable rights is filed as provided in § 1059.5 (relating to application for sale of transferable rights).
The provisions of this § 1059.4 amended September 12, 2014, effective September 13, 2014, 44 Pa.B. 5867. Immediately preceding text appears at serial page (360514).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.5 Application for sale of transferable rights.
(a) Application documents.
(1) To initiate a sale, the owner and proposed buyer shall file an original and one copy of Form No. SA-1 ‘‘Sale Application,’’ the agreement of sale or transfer and other documents required by this chapter. The proposed buyer will be considered the applicant. The SA-1 is available at www.philapark.org/tld.
(2) The SA-1 shall be filed in person with the Director.
(3) The Director will refuse to accept an application which is incomplete for any reason.
(4) Upon acceptance, the Director will submit a copy of the application documents to the Clerk and an application docket number will be assigned.
(b) Application signatures.
(1) Both parties to the sale shall execute the SA-1 in the presence of the Director or a designee.
(2) Except for individuals, an original executed and notarized resolution from the buyer and seller authorizing the execution of the sale documents must be included with the filing of the SA-1.
(3) The Authority may permit an SA-1 to be executed by an attorney-in-fact if the owner or proposed buyer are unable to appear and as provided in § 1001.28 (relating to power of attorney), in which case the owner will be required to attend the closing on the sale.
(c) Verification and payment. The SA-1 must be verified under § 1001.36 (relating to verification and affidavit) and be accompanied by payment of the transfer fee as provided in § § 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule).
(d) Multiple rights. The SA-1 may be used to sell an unlimited number of transferable rights from one owner to one proposed buyer.
(e) Broker. Documents intended for submission to the Director as part of the sale process must be prepared by a broker registered with the Authority as provided in Chapter 1061 (relating to brokers) or an attorney admitted to practice law by the Supreme Court of Pennsylvania.
This section cited in 52 Pa. Code § 1001.71 (relating to notice and filing of copies of pleadings before other tribunals); 52 Pa. Code § 1051.7 (relating to facility inspections); and 52 Pa. Code § 1059.4 (relating to agreement of sale).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.6 Required application information.
(a) SA-1 form. The SA-1 is a multipurpose form intended for use in the sale of different transferable rights and shall be completed by the broker or attorneys, or both, in a manner consistent with the intentions of the sale.
(b) Required information. The completed SA-1 must include all of the information required by the Authority:
(1) The certificate numbers.
(2) The name of the proposed buyer and contact information, including a telephone number, an email address and a facsimile number.
(3) If the proposed buyer is a nonindividual person and is not already a certificate holder:
(i) The articles of incorporation, operating agreement, formation documents or other applicable organizing documents for the applicant.
(ii) A certificate of good standing for the applicant from the Bureau of Corporations and Charitable Organizations.
(iii) A copy of the Department of State’s entity page for the applicant.
(4) The name of any holding company as defined in § 1051.2 (relating to definitions) having an interest in the proposed buyer and a contemporaneous certificate of good standing for the holding company from the Bureau of Corporations and Charitable Organizations, or similarly authorized entity in another jurisdiction in the United States.
(5) The trade name, if any, of the proposed buyer and a copy of the trade name registration certificate, if applicable.
(6) The mailing address and physical address of the proposed buyer.
(7) A copy of the proposed buyer’s business plan.
(8) A list of current corporate officers, directors, stockholders, key employees and persons with controlling interests as defined in § 1051.2, if applicable with an indication of each individual’s title.
(9) A list of all Authority, PUC and Federal common carrier rights held by the proposed buyer and any of the persons listed in response to paragraph (8), including taxicab medallions.
(10) The name, address, telephone number, facsimile number and email address of any attorney assisting the proposed buyer with the application process, together with an acknowledgement that § 1061.1(b) (relating to broker registration) has been reviewed by the proposed buyer.
(11) A criminal history report, issued within 30 days of the filing of the application, from any jurisdiction in which the following persons have lived in the preceding 5 years through the date of application:
(i) An individual proposed buyer.
(ii) Any individual with a controlling interest in the proposed buyer.
(iii) Any individual with a controlling interest in the holding company of a proposed buyer.
(iv) A key employee.
(12) A verified statement indicating that the persons identified in paragraph (11) have not been subject to a conviction as defined in § 1001.10 (relating to definitions) and that the proposed buyer has read and understands the prohibitions of ownership as provided in § 1051.5 (relating to ineligibility due to conviction or arrest).
(13) Verified statements from the owner and proposed buyer confirming that each are in compliance with § 1051.6 (relating to payment of outstanding fines, fees and penalties).
(14) The Federal Tax Identification number for the owner and proposed buyer.
The provisions of this § 1059.6 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1059.6 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (373583) to (373584).
This section cited in 52 Pa. Code § 1059.8 (relating to financial fitness generally).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.7 Additional application requirements.
(a) Agreement of sale. The agreement of sale required under this chapter must include the information required by the Authority, including the following:
(1) All parties to the transaction.
(2) A description of the transaction.
(3) The identification number of each right subject to sale.
(4) The total consideration for the sale and for each right transferred if the sale involves multiple rights in United States dollars, and any payment terms required by the Authority, including the following:
(i) The assumption of any loan or debt.
(ii) Contingencies and nonmonetary consideration.
(iii) Monetary consideration.
(5) An acknowledgement initialed by all parties that the agreement is subject to the laws and jurisdiction of the Commonwealth, the act, this part and orders of the Authority.
(b) Execution of agreement of sale.
(1) The proposed agreement of sale must be signed by all parties before the Director or a designee on or before the date the SA-1 is filed.
(2) The Authority may permit an agreement of sale to be executed by an attorney-in-fact if the owner or proposed buyer are unable to appear and as provided in § 1001.28 (relating to power of attorney).
(c) Loan documents.
(1) Any consideration identified in subsection (a)(4) that is provided to a proposed buyer must be evidenced in the form of written agreements. For example, the loaning of cash money to a proposed buyer by a bank must be confirmed through loan documents executed by the borrowing party.
(2) Documents required by paragraph (1) shall be submitted to the Director at the time the SA-1 is filed, except that specific financial information that cannot be known until on or about the closing date for the sale may be left blank. The final loan documents must be executed at the closing on the sale.
(d) Continuing service. The owner of the rights subject to sale shall confirm that the rights will remain in active service pending review of the application, unless prohibited or authorized for suspension by a provision of this part or an order of the Authority.
(e) Notice.
(1) Notice of applications will be published in the Pennsylvania Bulletin as provided in § 1003.53 (relating to applications requiring notice).
(2) The parties to the sale will receive notices related to the SA-1 as provided in § 1001.51 (relating to service by the Authority).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.8 Financial fitness generally.
The Authority will review the financial fitness of the proposed buyer, including a review of the following:
(1) Bank statements of the proposed buyer evidencing ownership of a bank account holding not less than the greater of $5,000 or 2% of the sale price of the transferable rights in unencumbered and available funds. The funds under review must have been in the bank account for at least 3 months.
(2) If the sale does not include financing by a lender authorized to make commercial loans in this Commonwealth, the proposed buyer shall submit documentation for the Authority’s review to insure the following requirements are met:
(i) The credit report of each persons identified in § 1059.6(b)(8) (relating to required application information) evidencing a credit score of at least 600 for each person.
(ii) The absence of any outstanding and unappealed civil judgments against each of the parties required to submit a criminal history report under § 1059.6(b)(8).
(3) The Authority may require the submission of additional financial information necessary to determine the financial fitness of a proposed buyer.
The provisions of this § 1059.8 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1059.8 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360517).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.9 Regulatory compliance review.
(a) An SA-1 will be denied if the proposed buyer has a record of regulatory violations with the Authority or the PUC which evidences a disregard for the public interest.
(b) A proposed buyer that has been subject to the suspension, revocation or cancellation of common carrier rights by the Authority or the PUC during the 1-year period immediately preceding the date the SA-1 was filed with the Authority will be ineligible to purchase rights.
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.10 Authority review.
(a) Notice of the granting of an application for a limousine certificate or approval of a sale will be published in the Pennsylvania Bulletin.
(b) The SA-1 will be reviewed as provided in § 1003.51 (relating to applications generally).
(c) The SA-1 will be denied if the proposed buyer or any person with a controlling interest in the proposed buyer or a key employee of the proposed buyer is in violation of any provision of this part or if the Authority determines that the sale is not in the public interest. The SA-1 may be denied if the owner is in violation of any provision of this part.
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.11 Approval process and closing on sale.
(a) If the Director determines that an applicant for a limousine certificate or a proposed buyer of rights is qualified as provided in the act, this part or an order of the Authority, a recommendation to approve the application or sale will be presented to the Authority for approval at its next regularly scheduled meeting. The Authority may require that proposals from the Director as provided in this section first be presented to a committee of the Board at a public meeting.
(b) Upon approval of the sale by the Authority, the Director will schedule the parties to meet at a time and location where an Authority staff member will witness the closing of the transaction except for an applicant that is obtaining a new limousine certificate under § 1059.2 (relating to applications for limousine rights).
(c) An Authority staff member will witness the execution of each document by the owner and proposed buyer, or their designated agents. Any closing not witnessed by Authority staff is void.
The provisions of this § 1059.11 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1059.11 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360518).
This section cited in 52 Pa. Code § 1059.13 (relating to commencement of service).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.12 Settlement sheet.
(a) The owner and proposed buyer shall use the Form SA-2 ‘‘Standard Settlement Sheet’’ at any closing on the sale of rights. The SA-2 is available on the Authority’s web site at www.philapark.org/tld.
(b) The SA-2 must include the information required by the Authority, including the following:
(1) The names and addresses of the owner and proposed buyer.
(2) The names and address of the brokers or attorneys used in the transaction.
(3) The name and address of the lender and a designated contact person employed by the lender, if any.
(4) A copy of all certificates or other documents authorizing the lender to make commercial loans in this Commonwealth.
(5) The amount, term and interest rate of any loan used to purchase the rights.
(6) The certificate numbers.
(7) The total consideration for the rights to be sold and any payment terms, including loan contingencies and nonmonetary consideration.
(8) An allocation of funds expended in the transaction.
(9) Fees and costs associated with the sale, including those payable to any broker or attorney, or both.
(10) Signatures of the owner and proposed buyer, or their designated agents, and the brokers.
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
52 Pa. Code § 1059.13 Commencement of service.
A regulated party shall, within 30 days from the date of receipt of a certificate or from the date of settlement under § 1059.11(b) (relating to approval process and closing on sale), whichever is applicable, begin operating and furnishing service. If it has not commenced operating and furnishing the authorized service within 30 days, appropriate proceedings shall be initiated to terminate the certificate unless, upon specific permission as provided in § 1051.13 (relating to voluntary suspension of certificate), the time for commencement of service is extended.
The provisions of this § 1059.13 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1059.13 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360519).
History
- Authority: The provisions of this § 1059.
- Source: The provisions of this § 1059.
Chapter 1061 Brokers
52 Pa. Code § 1061.1 Broker registration.
(a) An individual seeking registration as a broker shall apply to the Director as provided in Chapter 1029 (relating to brokers).
(b) Any party may use an attorney admitted to practice law before the Supreme Court of Pennsylvania, in lieu of a broker.
This section cited in 52 Pa. Code § 1051.2 (relating to definitions); and 52 Pa. Code § 1059.6 (relating to required application information).
Chapter 1063 Tariffs
52 Pa. Code § 1063.1 Definition.
The following word, when used in this chapter, has the following meaning, unless the context clearly indicates otherwise: Tariff—Schedules of rates, rules, regulations, practices or contracts involving any rate and schedules showing the method of distribution of the facilities of the certificate.
History
- Authority: The provisions of this § 1063.
- Source: The provisions of this § 1063.
52 Pa. Code § 1063.2 Limousine rates and tariffs.
(a) Certificate holders shall comply with section 5703 of the act (relating to rates) and this chapter as to rates and tariffs.
(b) Except when inconsistent with the act, this part or an order of the Authority, limousine certificate holders shall charge rates and maintain and file tariffs with the Director in a manner consistent with relevant portions of Chapter 23 (relating to tariffs for common carriers).
(c) Nonflexible rate tariffs for limousines must be based on time, mileage or a combination of both. Nonflexible rates shall be filed with the Director and may be effective no earlier than 72 hours’ notice to the Director. Supporting financial justification for tariff changes utilizing nonflexible rates is not required. The use of meters is prohibited.
(d) Upon the Director’s approval and conditions as may be appropriate, limousine certificate holders may adopt a tariff utilizing a flexible pricing model that allows rates to change in real time in response to the supply of available limousines and the demand for service. Tariffs utilizing flexible rates shall be filed with the Director and may be effective no earlier than 60 days’ notice to the Director. Supporting financial justification for tariff changes utilizing flexible rates is not required. The use of meters is prohibited. Tariffs utilizing flexible rates must include a notification procedure that discloses the estimated fare to customers prior to the beginning of the trip. Tariffs must comply with the Price Gouging Act (73 P.S. § § 232.1—232.5).
(e) A limousine certificate holder may offer below-tariff pricing such as promotions, coupons, loyalty programs and corporate client discounts upon 24 hours advanced written notice to the Authority.
The provisions of this § 1063.2 temporarily amended under 53 Pa.C.S. § 57B02.
The provisions of this § 1063.2 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, ehichever is later, as set forth in 53 Pa.C.S. § 57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial page (360523).
History
- Authority: The provisions of this § 1063.
- Source: The provisions of this § 1063.
Chapter 1065 Insurance Required
52 Pa. Code § 1065.1 Limousine insurance.
(a) Insurance requirements generally. Except as provided in subsection (b), a limousine certificate holder shall comply with the relevant portions of Chapter 1025 (relating to insurance required), including the filing of Form E and Form K documents.
(b) Limousine insurance required.
(1) A regulated party may not engage in limousine service and the certificate of public convenience will not be issued, or remain in force, except as provided in § 1025.4 (relating to applications to self-insure) until there has been filed with and approved by the Authority a certificate of insurance by an insurer authorized to do business in this Commonwealth, to provide for the payment of valid accident claims against the insured for bodily injury to or the death of a person, or the loss of or damage to property of others resulting from the operation, maintenance or use of a limousine in the insured authorized service.
(2) The liability insurance maintained by a limousine certificate holder shall be in an amount at least $1,500,000 to cover liability for bodily injury, death or property damage incurred in an accident arising from authorized service. Except as to the required amount of coverage, these benefits must conform to 75 Pa.C.S. Chapter 17 (relating to Motor Vehicle Financial Responsibility Law). First party coverage of the limousine driver of limousines must meet the requirements in 75 Pa.C.S. § 1711 (relating to required benefits).
(3) The certificate holder’s loss history with a current or former insurer shall be released to the Authority within 2 business days of a request by the Authority. The certificate holder shall authorize any release required by the insurer to facilitate the timely delivery of the loss history to the Authority.
(4) The Authority may direct insurers to file proof of insurance both electronically and in hard copy.
(5) The limits in paragraph (2) do not include the insurance of cargo.
(6) The requirements in § 1025.3 (relating to insurance required) do not apply to limousines.
This section cited in 52 Pa. Code § 1053.43 (relating to certain limousine requirements).
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