65-407-615 Me. Code R. § 3

Current through 2024-25, June 19, 2024

Section 407-615-3 - PETITION FOR EXEMPTION FROM REGULATORY REQUIREMENTS

A.Notice to Customers and Public Meeting

Prior to submitting to the Commission a petition for exemption from regulatory requirements pursuant to this Chapter, a consumer owned water utility must provide notice to all of its customers of the utility's intent to file such a petition and must hold a public meeting, the purpose of which is to inform the utility's customers of the proposed exemption, the date upon which the utility will file its request with the Commission, and how customers of the utility may submit comments regarding the request to the Commission's case management system after the petition is submitted. The meeting must occur at least 30 days prior to the filing of the request with the Commission. The notice of intent to file a petition and the notice of the public meeting may be contained in the same notice. The notice (or notices, if provided separately) must include a plain-language description of the proposed exemption including the justification and the potential consequences of the exemption.

1.Notice Requirements

The consumer-owned utility must provide notice of its intent to file a petition for exemption and notice of the public meeting by regular mail postmarked at least 14 days prior to the meeting in addition to using any two of the following methods:

a.By email. If the utility provides notice by email, the notice must be made individually to each customer at least 14 days before the meeting. Email notice may be included in electronic customer bills;

b.By publication. The utility may provide newspaper notice of the meeting in a newspaper of general circulation in the area served by the utility;

c.Conspicuous posting. The utility may post notice in a town office or other conspicuous place within the utility's service area;

d.Website. If the utility has a website, the utility may post notice on its website;

e.Social media. If the utility has social media accounts, it may post notice on those social media accounts; or

f.Other. Other methods of notification that are reasonably calculated to provide broad notice to the utility's customers.

Utilities may include notice in mailed customer bills. Utilities must file copies of the notice in the Commission's Case Management System at least 14 days before the date of the public meeting. All notices, whether by mail or other method, must contain the same information.

In addition, utilities must file verification of the email, publication, conspicuous posting, website, social media, or other notifications in the Commission's Case Management System at least 14 days before the date of the public meeting. Verification may be affidavits, screenshots, photographs, or other media sufficient to show compliance with this Section.

B.Contents of the Petition

1. The Petition must specifically identify the statutory requirement or requirements for which an exemption is sought.

2. The Petition must contain information sufficient to support a finding by the Commission that an exemption from the regulatory requirement is

a. in the public interest;

b. will not result in unjust or unreasonable rates;

c. will not have a negative impact on the provision of safe, adequate and reliable service; and

d. that the water utility seeking the waiver has the adequate technical, financial and administrative capacity to perform the waived function or requirement.

3.Contents of the filing

a. Systems, policies, and other mechanisms by which the water utility will ensure its compliance with statutory requirements of 35-A M.R.S. § 301 in the absence of Commission oversight;

b. The names and relevant credentials, licenses, and certifications of persons employed or retained by the utility who will be responsible for maintaining safe, adequate, and reliable service in the absence of regulatory oversight; and

d. A description of system and process by which the utility is governed and the methods by which customers may participate in the governance of the utility.

4.Required Documents

a. Records of any Significant Deficiency found to be present by the Maine Drinking Water Program within the water utility's system during the past five years;

b. A statement that utility has filed its annual report with the Commission for the most recent reporting period, if the utility is required to file an annual report;

c. Copies of audited financial statements for the most recent financial reporting period, if the utility is required to prepare audited financial statements;

d. Copies of unaudited financial statements for the most recent financial reporting period, if the utility is required to prepare financial statements but is not required to prepare audited financial statements;

e. Copies of the utility's current trial balances if the utility is not required to prepare financial statements;

f. Copies of the notices sent to customers and published prior to the public meeting;

g. Copies of any minutes or other documents recording the decision of the water utility's decision to seek an exemption; and

h. Benchmarks, ratios, and other documents listed in Appendix A for the previous three calendar years prior to the exemption request.

C.Process upon Filing Petition for Exemption

1. The Commission will review the petition and seek comment from the Office of the Public Advocate and any interested parties. Interested persons will have 30 days to file comments and within 120 days the Commission shall either issue an order resolving the petition or initiate an investigation of the requested exemption.

2. An investigation initiated under to this Section is an adjudicatory proceeding conducted pursuant to Chapter 110 of the Commission's rules.

D.Exemption Proceedings Initiated by the Commission

The Commission may initiate a proceeding to propose an exemption from a regulatory requirement for a class of consumer-owned water utilities pursuant to 35-A M.R.S. § 6114. Such a proceeding will be initiated by Notice to all consumer-owned water utilities and interested persons. A proceeding initiated under this section will provide an opportunity for comment and participation by interested persons and the public.

65-407 C.M.R. ch. 615, § 3