Section 3.1 - (Rule 3.1) Construction or Extension of FacilitiesApplications, under Section 1001 of the Public Utilities Code, to construct or extend facilities shall contain the following information:
(a) A full description of the proposed construction or extension, and the manner in which the same will be constructed.(b) The names and addresses of all utilities, corporations, persons or other entities, whether publicly or privately operated, with which the proposed construction is likely to compete, and of the cities or counties within which service will be rendered in the exercise of the requested certificate. Whenever a public utility applies to the Commission to extend or establish its water service within a county water district, a public utility or municipal utility district, or other water or utility district, or any area served by such district, such district shall also be named, if it furnishes a like service. The application shall contain a certification that a copy of the application has been served upon or mailed to each such person named.(c) A map of suitable scale showing the location or route of the proposed construction or extension, and its relation to other public utilities, corporations, persons, or entities with which the same is likely to compete.(d) A statement identifying the franchises and such health and safety permits as the appropriate public authorities have required or may require for the proposed construction or extension.(e) Facts showing that public convenience and necessity require, or will require, the proposed construction or extension, and its operation.(f) A statement detailing the estimated cost of the proposed construction or extension and the estimated annual costs, both fixed and operating associated therewith. In the case of a utility which has not yet commenced service or which has been rendering service for less than twelve months, the applicant shall file as a part of the application supporting statements or exhibits showing that the proposed construction is in the public interest and whether it is economically feasible.(g) Statements or exhibits showing the financial ability of the applicant to render the proposed service together with information regarding the manner in which the applicant proposes to finance the cost of the proposed construction or extension.(h) A statement of the proposed rates to be charged for service to be rendered by means of such construction or extension. If the application proposes any increase in rates, it shall comply with Rule 3.2(a).(i) A statement corresponding to the statement required by Section 2 of General Order No. 104-A, as to all known matters which both (a) are designated by said section for inclusion in the annual report but occurred or were proposed subsequent to the period covered by the last previous annual report filed by the applicant and (b) are, or will be, connected with the construction or extension proposed in the application; or, if no such matters are known to have so occurred or are then known to be proposed, a statement to that effect; provided, that an applicant whose capital stock, or that of its parent company, is listed on a "national securities exchange," as defined in the Securities Exchange Act of 1934 ( 15 U.S.C. 78(a) et seq.), in lieu of the statement required by this rule shall include in the application a copy of the latest proxy statement sent to stockholders by it or its parent company if not previously filed with the Commission, provided, further, that an applicant whose capital stock, or that of its parent company, is registered with the Securities and Exchange Commission (SEC) pursuant to the provisions of Section 12(g) of said Securities Exchange Act of 1934, in lieu of the statement required by this rule shall include in the application a copy of the latest proxy statement sent to stockholders by it or its parent company containing the information required by the rules of the SEC if not previously filed with the Commission.(j) In the case of a telephone utility, the estimated number of customers and their requirements for the first and fifth years in the future.(k) In the case of a gas utility seeking authority to construct a pipeline: (1) Regarding the volumes of gas to be transported: (A) A statement of the volumes to be transported via the proposed pipeline including information on the quality of gas and the maximum daily and annual average daily delivery rates.(B) A statement that copies of summaries of all contracts for delivery and receipt of gas to be transported via the proposed pipeline and information on the reserves and delivery life pertaining thereto will be made available for inspection on a confidential basis by the Commission or any authorized employee thereof. The terms and provisions of individual contracts for gas supply and data as to reserves or delivery life of individual gas suppliers shall not be required to be stated in the application or in the record of the proceedings, and if disclosed to the commission or to any officer or employee of the Commission on a confidential basis as herein provided, shall not be made public or be open to public inspection.(2) A summary of the economic feasibility, the market requirements and other information showing the need for the new pipeline and supply.(3) Where the gas to be transported through the pipeline is to be purchased by the applicant from, or transported by the applicant for, an out-of-state supplier: (A) A copy of the proposed tariff under which the gas will be purchased or transported.(B) A statement that the out-of-state pipeline supplier has agreed: (1) to file with this Commission copies of annual reports which it files with the Federal Energy Regulatory Commission;(2) to file with this Commission monthly statements of its revenues, expenses and rate base components;(3) to file with this Commission copies of its tariffs as filed from time to time with the Federal Energy Regulatory Commission; and(4) at all times to permit this Commission or its staff reasonable opportunity for field inspection of facilities and examination of books and records, plus assurance that reasonable requests for operating information otherwise prepared in the course of business will be supplied in connection with any proceeding before the Federal Energy Regulatory Commission.(l) In the case of an electric utility proposing to construct an electric generating plant: (1) Load and resource data setting forth recorded and estimated loads (energy and demands), available capacity and energy, and margins for two years actual and three years estimated, on an average year basis.(2) Existing rated and effective operating capacity of generating plants and the planned additions for a three-year period.(3) Estimated capital and operating costs of power to be generated by the proposed plant for all competitive fuels which may be used under legislative restrictions in the proposed plant.(4) For any nuclear plant, a statement indicating that the requisite safety and other license approvals have been obtained or will be applied for, and that a copy of the application to this Commission has been furnished to the State Coordinator of Atomic Energy Development and Radiation Protection.(m) In the case of a water utility: (1) An estimate of the number of customers and the requirements for water for the first and fifth years in the future, and the ultimate future development anticipated by applicant, together with a description of the proposed normal, and emergency standby, water facilities for production, storage and pressure to serve the area for which the certificate is sought.(2) A statement of the estimated operating revenues and estimated expenses, by major classes, including taxes and depreciation, for the first and fifth years in the future attributable to operations in the proposed area.(3) If the applicant has operated as a water utility elsewhere in the State of California for a period in excess of one year prior to filing the application, a general statement of the operating plans for the proposed area, including a statement whether a new area will be served by existing personnel or will constitute a separate district to be served by new personnel. If the applicant has not operated as a water utility elsewhere in the State of California for a period in excess of one year prior to filing the application, a description of the operating plans for the proposed area, including, to the extent available, but not necessarily limited to, such items as qualifications of management and operating personnel, proposed operating pressures for the system, plans for water treatment, availability of utility personnel to customers, billing procedures, emergency operation plans and provision for handling customer complaints.(n) In the case of an application by a water utility in an area in which the facilities have already been constructed, extended or installed:(1) A detailed statement of the amount and basis of the original cost (estimated if not known) of all plant and of the depreciation reserve applicable thereto.(2) If the facilities have been rendering service in the area for which the certificate is sought, and (A) The rates proposed are the same as the tariff rates in the district which includes the area to be certificated, the application shall also include a summary of earnings on a depreciated rate base with respect to such area for the test period or periods upon which applicant bases its justification for the rates to be applied in such area; otherwise(B) The application shall also comply with Rule 3.2, including the furnishing of the information specified in subsections (a)(5) and (6) thereof but made applicable to the proposed rates; provided, however, the information required by subsections (a)(2) and (3) thereof need be furnished only when increases are proposed.(o) Such additional information and data as may be necessary to a full understanding of the situation.Cal. Code Regs. Tit. 20, § 3.1
1. Renumbering of former section 8.12 to new section 3.1 filed 10-19-98; designated effective 1-1-98 by Decision 97-12-043. Submitted to OAL for printing only (Register 98, No. 43).
2. New article 3 heading, renumbering of former section 3.1 to new section 1.13, and renumbering of former section 18 to section 3.1, including amendment of section heading and section filed 9-13-2006; operative 9-13-2006 pursuant to Government Code section 11351(a) (Register 2006, No. 37).
3. Change without regulatory effect amending subsection (h) filed 6-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 26).
4. Amendment of subsection (n)(2)(B) filed 5-9-2011; operative 6-8-2011. Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2011, No. 19).
5. Amendment of subsections (g), (k)(1)(B) and (k)(3)(B)(1) filed 1-30-2018; operative 4-1-2018. Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2018, No. 5). Note: Authority cited: Section 1701, Public Utilities Code. Reference: Section 1001, Public Utilities Code.
1. Renumbering of former section 8.12 to new section 3.1 filed 10-19-98; designated effective 1-1-98 by Decision 97-12-043. Submitted to OAL for printing only (Register 98, No. 43).
2. New article 3 heading, renumbering of former section 3.1 to new section 1.13, and renumbering of former section 18 to section 3.1, including amendment of section heading and section filed 9-13-2006; operative 9-13-2006 pursuant to Government Code section 11351(a) (Register 2006, No. 37).
3. Change without regulatory effect amending subsection (h) filed 6-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 26).
4. Amendment of subsection (n)(2)(B) filed 5-9-2011; operative 6-8-2011. Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2011, No. 19).
5. Amendment of subsections (g), (k)(1)(B) and (k)(3)(B)(1) filed 1-30-2018; operative 4/1/2018. Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2018, No. 5).