1. (1) All MEs that seek a Certificate of Financial Viability shall file an application with the PSC accompanied by a $700 certification fee. A Certificate of Financial Viability must be issued by the PSC prior to the issuance of a new operating permit by ADEM or ADPH. Such applications for a Certificate of Financial Viability may apply to multiple systems for the $700.00 certification fee.

2. (2) Form of Application

   1. (a) Each application shall be addressed to the Alabama Public Service Commission and filed with the Secretary of the Commission.
   2. (b) Each application shall be subscribed and sworn to before a notary public or other officer authorized to administer oaths, by the owner, officer, general partner or other responsible individual member of applicant’s management.

   3. (c) In addition to any special requests by the Commission, each application shall specify or include by exhibit attached thereto, the following:

      1. 1. Full and accurate name and address of the applicant
      2. 2. Character of the organization; e.g., corporation, LLC, partnership, or individual proprietorship
      3. 3. Proposed tariff showing all rates, classifications and charges for service of every kind furnished or to be furnished and all Rules and Regulations (Commission will provide a sample tariff to the ME upon request)
      4. 4. Worksheets for rates, detailing the data and calculations used to arrive at such rates which must be cost-based
      5. 5. Detailed description of proposed service area including service area map
      6. 6. Detailed description of the wastewater system(s) including a description of the collection system(s) and the treatment facility(s)
      7. 7. Copy of franchise agreement(s) and/or approval(s) of municipal authorities (or county permits)
      8. 8. Estimate of the cost of proposed construction
      9. 9. Draft operational permit number(s)
      10. 10. All documents pursuant to 770-X-9-.06 and 770-X-9-.07
      11. 11. Estimated annual revenue for each of the first five years of operation, indicating the estimated number of consumers in each classification of service. Include and itemize estimated revenue to be derived from vacant lot fees or sewer system access fees
      12. 12. Copies of operators/installers licenses
      13. 13. Copies of all contracts pertaining to wastewater system(s) to which the ME is a party
      14. 14. Copies of all relevant deeds
      15. 15. Copies of all regulatory compliance enforcement documents received by applicant in the last two years.
3. (3) In addition to initial applications seeking a Certificate of Financial Viability, MEs that already hold a Certificate of Financial Viability issued by the PSC may seek a modification of their existing Certificate by filing an Application for Modification of an Existing Certificate of Financial Viability. Applications for Modification of an Existing Certificate of Financial Viability may encompass multiple systems for the required filing fee of $300.00. Such Applications for Modification must include all of the information required by 770-X-9-.03(2) that has not been previously provided to the Commission. Modification of an existing Certificate of Financial Viability shall be mandatory before a new operating permit is issued by ADEM or ADPH or before an operating permit is modified by ADEM or ADPH.
4. (4) The original and one (1) copy of all applications for certification of financial viability or modification of existing certificates shall be filed with the Commission if applicant also submits applications online using the PSC website. Otherwise, an original and ten (10) copies are required for submittal.

Author: Alabama Public Service Commission

Statutory Authority: Code of Ala. 1975, §§22-25B-6, 22-25B-7.

History: Effective as Interim Rule: August 2009. Filed with LRS February 5, 2013. Filed for Codification in the Alabama Administrative Code by the Alabama Public Service Commission on February 5, 2013, pursuant to Code of Ala. 1975, §41-22-7. Filed with LRS May 15, 2014. Filed for Codification in the Alabama Administrative Code by the Alabama Public Service Commission on May 15, 2014, pursuant to the Code of Ala. 1975, §41-22-7.