25-30.437. Financial, Rate, and Engineering Minimum Filing Requirements for Water and Wastewater Utilities in an Application for Rate Increase

(1) Each utility applying for a rate increase must provide the information required by Commission Form PSC 1028 (12/20), entitled “Class A Water and/or Wastewater Utilities Financial, Rate and Engineering Minimum Filing Requirements,” PSC 1029 (12/20), entitled “Class B Water and/or Wastewater Utilities Financial, Rate and Engineering Minimum Filing Requirements,” or PSC 1030 (12/20), entitled “Class C Water and/or Wastewater Utilities Financial, Rate or Engineering Minimum Filing Requirements,” whichever is applicable. Commission Form PSC 1028 (12/20) is available at http://www.flrules.org/Gateway/reference.asp?No=Ref-12644; Commission Form PSC 1029 (12/20) is available at http://www.flrules.org/Gateway/reference.asp?No=Ref-12645; and Commission Form PSC 1030 (12/20) is available at http://www.flrules.org/Gateway/reference.asp?No=Ref-12646. These forms are incorporated into this rule by reference and are available on the Commission’s website at www.floridapsc.com.

(2) In compiling the required schedules, additional instructions are set forth below:

(a) Each Section of this form must be indexed and tabbed, including a table of contents listing the page numbers of each schedule.

(b) If information requested in the form described above is not applicable to the applicant, so state and provide an explanation on the specific schedule.

(c) If a projected test year is used, provide a complete set of Commission Form PSC 1028 (12/20) for Class A utilities, PSC 1029 (12/20) for Class B utilities, or PSC 1030 (12/20) for Class C utilities (as described above), which require a designation of historical or projected information. Such schedules must be submitted for the historical base year, and any year subsequent to the base year and prior to the projected test year, in addition to the projected test year. If no designation is shown on a schedule, submit that schedule for the test year only. In lieu of providing separate pages for the above required schedules, the information required can be combined on the same page by adding additional columns. In the rate base schedules, Section A, the beginning and end of year balances must be shown. For any intermediate period or year, only the year-end balance must be shown. A schedule must also be included which describes in detail all methods and bases of projection, explaining the justification for each method or basis employed. If an historical test year is used, Schedule E-13 is not required.

(d) If a petition for interim rates is filed, a utility must demonstrate that it is earning outside the range of reasonableness on rate of return calculated in accordance with Section 367.082(5), F.S. To demonstrate this, the utility must submit schedules of rate base, cost of capital and net operating income on an historical basis, with schedules of all adjustments thereto, consistent with Commission Form PSC 1028 (12/20) for a Class A utility, PSC 1029 (12/20) for a Class B utility, or PSC 1030 (12/20) for a Class C utility (described above).

(3) Each applicant for a rate increase must e-file with the Office of Commission Clerk the additional engineering minimum filing requirements (MFRs), identified in paragraphs (a) – (k) below. Within seven calendar days after e-filing the additional engineering MFRs, the utility must provide to the Office of Commission Clerk two paper copies of the additional engineering MFRs clearly labeled “COPY,” with the exception of the detailed map required by paragraph (a), of which only one copy is required.

(a) A detailed map showing:

1. The location and size of the applicant’s distribution and collection lines as well as its plant sites, and

2. The location and respective classification of the applicant’s customers.

(b) A list of chemicals used for water and wastewater treatment, by type, showing the dollar amount and quantity purchased, the unit prices paid and the dosage rates utilized.

(c) The most recent chemical analyses for each water system conducted by a certified laboratory covering the inorganic, organic turbidity, microbiological, radionuclide, secondary and unregulated contaminants specified in Chapter 62-550, F.A.C.

(d) All water and wastewater plant operating reports for the test year and the year preceding the test year.

(e) The most recent sanitary survey for each water plant and inspection report for each wastewater plant conducted by the health department or the Department of Environmental Protection (DEP).

(f) All health department and DEP construction and operating permits.

(g) Any Notices of Violation, Consent Orders, Letters of Notice, or Warning Notices from the health department or DEP in the previous five years.

(h) A list of all field employees, their duties, responsibilities, and certificates held, and an explanation of each employee’s salary allocation method to the utility’s capital or expense accounts.

(i) A list, by serial number and description, of all vehicles owned or leased by the utility showing the original cost or annual lease expense, who the vehicle is assigned to, and the method of allocation to the utility.

(j) A list, by customer, of all complaints received during the test year, with an explanation of how each complaint was resolved.

(k) A copy of all customer complaints that the utility has received regarding DEP secondary water quality standards during the past five years.

(4) If a utility is requesting uniform rates for systems that are not already combined in a uniform rate, the information required by this rule must be submitted on a separate basis for each system that has not already been combined in a uniform rate. For those systems already combined in a uniform rate, the utility must submit the required information as a single system. At a minimum, the following schedules of Form PSC 1030 (12/20), described above, must be filed on a combined basis for all systems included in the filing: A-1, A-2, A-3, A-16, B-1, B-2, B-3, B-4, B-5, B-10, B-11, B-12, plus all “C,” “D” and “E” schedules (no “F” schedules are required).

(5) In proposing rates, each utility must use the base facility and usage charge rate structure, unless an alternative rate structure is adequately supported by the applicant. The base facility charge incorporates fixed expenses of the utility and is a flat monthly charge. This charge is applicable as long as a person is a customer of the utility, regardless of whether there is any usage. The usage charge incorporates variable utility expenses and is billed on a per 1,000 gallon or 100 cubic feet basis in addition to the base facility charge. The rates are first established with the 5/8'' x 3/4'' meter as the foundation. For meter sizes larger than 5/8'', the base facility charge shall be based on the usage characteristics.

Rulemaking Authority 350.127(2), 367.0812(5), 367.121 FS. Law Implemented 367.081, 367.0812, 367.082 FS. History–New 6-10-75, Amended 10-16-77, 3-26-81, Formerly 25-10.176, Amended 11-10-86, 6-25-90, 11-30-93, 1-27-21.