Rules of Department of Economic Development€¦ · Rules of Department of Economic Development ......

CODE OF STATE REGULATIONS 1JOHN R. ASHCROFT (4/30/18)Secretary of State

Rules of

Department of EconomicDevelopment

Division 240—Public Service CommissionChapter 3—Filing and Reporting Requirements

Title Page

4 CSR 240-3.010 General Definitions............................................................................7

4 CSR 240-3.015 Filing Requirements for Utility Company Applications for Waivers or Variances .........................................................................8

4 CSR 240-3.020 Filing Requirements Regarding Utility Company Name Changes .....................8

4 CSR 240-3.025 Utility Company Tariff Filings Which Create Cases.....................................8

4 CSR 240-3.030 Minimum Filing Requirements for Utility Company General Rate Increase Requests ............................................................8

4 CSR 240-3.050 Small Utility Rate Case Procedure (Rescinded May 30, 2018) ........................8

4 CSR 240-3.100 Definitions Pertaining Specifically to Electric Utility Rules ...........................8

4 CSR 240-3.105 Filing Requirements for Electric Utility Applications for Certificates of Convenience and Necessity..............................................10

4 CSR 240-3.110 Filing Requirements for Electric Utility Applications for Authority to Sell, Assign, Lease or Transfer Assets ..................................10

4 CSR 240-3.115 Filing Requirements for Electric Utility Applications for Authority to Merge or Consolidate.......................................................10

4 CSR 240-3.120 Filing Requirements for Electric Utility Applications for Authority to Issue Stock, Bonds, Notes and Other Evidences of Indebtedness ...............11

4 CSR 240-3.125 Filing Requirements for Electric Utility Applications for Authority to Acquire the Stock of a Public Utility .................................................11

4 CSR 240-3.130 Filing Requirements and Schedule of Fees for Applications for Approval of Electric Service Territorial Agreements and Petitions for Designation of Electric Service Areas...................................................................11

4 CSR 240-3.135 Filing Requirements and Schedule of Fees Applicable to Applications for Post-Annexation Assignment of Exclusive Service Territories and Determination of Compensation .....................................................12

2 CODE OF STATE REGULATIONS (4/30/18) JOHN R. ASHCROFT

Secretary of State

4 CSR 240-3.140 Filing Requirements for Applications for Authority for a Change of Electrical Suppliers ......................................................................13

4 CSR 240-3.145 Filing Requirements for Electric Utility Rate Schedules ..............................13

4 CSR 240-3.150 Filing Requirements for Electric Utility Promotional Practices ......................16

4 CSR 240-3.155 Requirements for Electric Utility Cogeneration Tariff Filings........................16

4 CSR 240-3.156 Electric Utility Renewable Energy Standard Filing Requirements ...................17

4 CSR 240-3.160 Filing Requirements for Electric Utility General Rate Increase Requests ..........17

4 CSR 240-3.161 Electric Utility Fuel and Purchased Power Cost Recovery Mechanisms Filing and Submission Requirements ....................................18

4 CSR 240-3.162 Electric Utility Environmental Cost Recovery Mechanisms Filing and Submission Requirements.............................................................28

4 CSR 240-3.163 Electric Utility Demand-Side Programs Investment Mechanisms Filing and Submission Requirements (Rescinded February 28, 2018) .....................38

4 CSR 240-3.164 Electric Utility Demand-Side Programs Filing and Submission Requirements (Rescinded February 28, 2018) ...........................................................38

4 CSR 240-3.165 Annual Report Submission Requirements for Electric Utilities ......................38

4 CSR 240-3.175 Submission Requirements for Electric Utility Depreciation Studies.................39

4 CSR 240-3.180 Submission of Electric Utility Residential Heat-Related Service Cold Weather Report .............................................................39

4 CSR 240-3.185 Submission of Reports Pertaining to the Decommissioning of Electric Utility Plants.......................................................................40

4 CSR 240-3.190 Reporting Requirements for Electric Utilities and Rural Electric Cooperatives ...40

4 CSR 240-3.200 Definitions Pertaining Specifically to Gas Utility Rules...............................42

4 CSR 240-3.205 Filing Requirements for Gas Utility Applications for Certificates of Convenience and Necessity................................................................43

4 CSR 240-3.210 Filing Requirements for Gas Utility Applications for Authority to Sell, Assign, Lease or Transfer Assets ..................................................43

4 CSR 240-3.215 Filing Requirements for Gas Utility Applications for Authority to Merge or Consolidate ...................................................................44

4 CSR 240-3.220 Filing Requirements for Gas Utility Applications for Authority to Issue Stock, Bonds, Notes and Other Evidences of Indebtedness ..................44

4 CSR 240-3.225 Filing Requirements for Gas Utility Applications for Authority to Acquire the Stock of a Public Utility ....................................................44


4 CSR 240-3.230 Filing Requirements for Gas Storage Companies Requesting the Authority to Acquire Property Through Eminent Domain Proceedings ...........................45

4 CSR 240-3.235 Filing Requirements for Gas Utility General Rate Increase Requests ...............45

4 CSR 240-3.240 Gas Utility Small Company Rate Increase Procedure (Rescinded September 30, 2009) .........................................................45

4 CSR 240-3.245 Annual Report Submission Requirements for Gas Utilities ...........................45

4 CSR 240-3.250 Submission of Gas Utility Residential Heat-Related Service Cold Weather Report .............................................................46

4 CSR 240-3.255 Filing Requirements for Gas Utility Promotional Practices ...........................47

4 CSR 240-3.260 Filing Requirements for Gas Utility Rate Schedules ...................................47

4 CSR 240-3.265 Natural Gas Utility Petitions for Infrastructure System Replacement Surcharges....................................................................48

4 CSR 240-3.270 Submission Requirements Regarding Plans, Procedures and Programs for the Transportation of Natural Gas by Pipeline ..............................................50

4 CSR 240-3.275 Submission Requirements for Gas Utility Depreciation Studies......................51

4 CSR 240-3.280 Submission Requirements Regarding Gas Utility Written Drug and Alcohol Testing Plans.......................................................................51

4 CSR 240-3.285 Filing Requirements Regarding Certification of Gas Sellers ..........................51

4 CSR 240-3.290 Submission Requirements Regarding Gas Utility Incident, Annual and Safety-Related Condition Reports ........................................................52

4 CSR 240-3.295 Submission Requirements Regarding Gas Utility Written Procedures for Conversion of Service and Uprating .....................................................52

4 CSR 240-3.300 Definitions Pertaining Specifically to Sewer Utility Rules ............................52

4 CSR 240-3.305 Filing Requirements for Sewer Utility Applications for Certificates of Convenience and Necessity................................................................52

4 CSR 240-3.310 Filing Requirements for Sewer Utility Applications for Authority to Sell, Assign, Lease or Transfer Assets ..................................................53

4 CSR 240-3.315 Filing Requirements for Sewer Utility Applications for Authority to Merge or Consolidate.......................................................................53

4 CSR 240-3.320 Filing Requirements for Sewer Utility Applications for Authority to Issue Stock, Bonds, Notes and Other Evidences of Indebtedness ..................53

4 CSR 240-3.325 Filing Requirements for Sewer Utility Applications for Authority to Acquire the Stock of a Public Utility ....................................................54


Secretary of State

4 CSR 240-3.330 Sewer Utility Small Company Rate Increase Procedure (Rescinded September 30, 2009) .........................................................54

4 CSR 240-3.335 Annual Report Submission Requirements for Sewer Utilities ........................54

4 CSR 240-3.340 Filing Requirements for Sewer Utility Tariff Schedules ...............................55

4 CSR 240-3.400 Filing Requirements for Steam Heating Utility Applications for Certificates of Convenience and Necessity .............................................56

4 CSR 240-3.405 Filing Requirements for Steam Heating Utility Applications for Authority to Sell, Assign, Lease or Transfer Assets ..............................................57

4 CSR 240-3.410 Filing Requirements for Steam Heating Utility Applications for Authority to Merge or Consolidate.......................................................................57

4 CSR 240-3.415 Filing Requirements for Steam Heating Utility Applications for Authority to Issue Stock, Bonds, Notes and Other Evidences of Indebtedness ..................57

4 CSR 240-3.420 Filing Requirements for Steam Heating Utility Applications for Authority to Acquire the Stock of a Public Utility ....................................58

4 CSR 240-3.425 Filing Requirements for Steam Heating Utility Rate Schedules ......................58

4 CSR 240-3.435 Annual Report Submission Requirements for Steam Heating Utilities ..............58

4 CSR 240-3.440 Small Steam Heating Utility Rate Case Procedure (Rescinded September 30, 2009) .........................................................59

4 CSR 240-3.500 Definitions Pertaining Specifically to Telecommunication Company Rules (Rescinded December 30, 2015)..........................................................59

4 CSR 240-3.505 Filing Requirements for Telecommunications Company Applications for Certificates of Interexchange Service Authority to Provide Customer- Owned Coin Telephone Service (Rescinded December 30, 2015)..................59

4 CSR 240-3.510 Filing Requirements for Telecommunications Company Applications for Certificates of Service Authority to Provide Telecommunications Services, Whether Interexchange, Local Exchange, or Basic Local Exchange (Rescinded December 30, 2015)..........................................................59

4 CSR 240-3.513 Filing and Submission Requirements for Telecommunications Company Applications for Approval of Interconnection Agreements, Amendments to Interconnection Agreements, and for Notices of Adoptions of Intercon- nection Agreements or Statements of Generally Available Terms (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.515 Filing Requirements for Telecommunications Company Applications for Certificates of Service Authority to Provide Shared Tenant Services (Rescinded December 30, 2015)..........................................................60


4 CSR 240-3.520 Filing Requirements for Telecommunications Company Applications for Authority to Sell, Assign, Lease or Transfer Assets (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.525 Filing Requirements for Telecommunications Company Applications for Authority to Merge or Consolidate (Rescinded December 30, 2015) ..............60

4 CSR 240-3.530 Filing Requirements for Telecommunications Company Applications for Authority to Issue Stock, Bonds, Notes and Other Evidences of Indebtedness (Rescinded December 30, 2015) .........................................60

4 CSR 240-3.535 Filing Requirements for Telecommunications Company Applications for Authority to Acquire the Stock of a Public Utility (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.540 Annual Report Submission Requirements for Telecommunications Companies (Rescinded December 30, 2015) ...........................................60

4 CSR 240-3.545 Filing Requirements for Telecommunications Company Tariffs (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.550 Telecommunications Company Records and Reports (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.555 Telecommunications Company Residential Customer Inquiries (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.560 Telecommunications Procedure for Ceasing Operations (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.565 Procedure for Telecommunications Companies That File Bankruptcy (Rescinded December 30, 2015)..........................................................60

4 CSR 240-3.570 Requirements for Carrier Designation as Eligible Telecommunications Carriers (Rescinded April 30, 2014).....................................................60

4 CSR 240-3.600 Filing Requirements for Water Utility Applications for Certificates of Convenience and Necessity ............................................................60

4 CSR 240-3.605 Filing Requirements for Water Utility Applications for Authority to Sell, Assign, Lease or Transfer Assets .........................................................61

4 CSR 240-3.610 Filing Requirements for Water Utility Applications for Authority to Merge or Consolidate.......................................................................61

4 CSR 240-3.615 Filing Requirements for Water Utility Applications for Authority to Issue Stock, Bonds, Notes and Other Evidences of Indebtedness...................61

4 CSR 240-3.620 Filing Requirements for Water Utility Applications for Authority to Acquire the Stock of a Public Utility ....................................................62

4 CSR 240-3.625 Filing Requirements for Applications for Approval of Water Service Territorial Agreements......................................................................62


Secretary of State

4 CSR 240-3.630 Schedule of Fees Applicable to Applications for Approval of Water Service Territorial Agreements and Petitions for Designation of Water Service Areas ..........................................................................................62

4 CSR 240-3.635 Water Utility Small Company Rate Increase Procedure (Rescinded September 30, 2009) .........................................................63

4 CSR 240-3.640 Annual Report Submission Requirements for Water Utilities.........................63

4 CSR 240-3.645 Filing Requirements for Water Utility Rate Schedules .................................64

4 CSR 240-3.650 Water Utility Petitions for Infrastructure System Replacement Surcharges.........64

Title 4—DEPARTMENT OFECONOMIC DEVELOPMENT

Division 240—Public Service CommissionChapter 3—Filing and Reporting

Requirements

4 CSR 240-3.010 General Definitions

PURPOSE: This rule sets forth the definitionsof certain terms used in rules 4 CSR 240-3.015 through 4 CSR 240-3.030, and alsoincludes the definitions of general terms usedwithin this chapter of the commission’s rules.Definitions of additional terms used in cer-tain utility-specific rules are found in 4 CSR240-3.100, 4 CSR 240-3.200, 4 CSR 240-3.300, and 4 CSR 240-3.500. All definitionsfound in this chapter supplement those defini-tions found in Chapters 386, 392 and 393 ofthe Missouri Revised Statutes.

(1) Applicant means any person or publicutility, as defined herein, on whose behalf anapplication is made.

(2) Bill means a written or electronic demandfor payment for service or equipment and thetaxes, assessments, and franchise fees relatedthereto.

(3) Commission means the Missouri PublicService Commission as created by Chapter386 of the Missouri Revised Statutes.

(4) Commission staff means all personnelemployed by the commission whether on apermanent or contractual basis who are notattorneys in the general counsel’s office, whoare not members of the commission’sresearch department, or who are not lawjudges.

(5) Complaint means an informal or formalcomplaint under 4 CSR 240-2.070.

(6) Corporation includes a corporation, com-pany, association, or joint stock company orassociation, or any other entity created bystatute which is allowed to conduct businessin the state of Missouri.

(7) Customer means any person, firm, part-nership, corporation, municipality, coopera-tive, organization, governmental agency, etc.,that accepts financial and other responsibili-ties in exchange for services provided by one(1) or more public utilities.

(8) Delinquent charge means a chargeremaining unpaid by a monthly billed cus-tomer at least twenty-one (21) days and for atleast sixteen (16) days by a quarterly billedcustomer from the rendition of the bill by the

utility or a charge remaining unpaid after thepreferred payment date selected by the cus-tomer.

(9) Deposit means a money advance to a util-ity for the purpose of securing payment ofdelinquent charges which might accrue to thecustomer who made the advance.

(10) Electric utility means an electrical cor-poration as defined in section 386.020(15),RSMo.

(11) Financing means acquisition of equity ordebt interests, loans, guarantees of loans,advances, sale and repurchase agreements,sale and leaseback agreements, sales on openaccount, conditional or installment sales con-tracts or other investments or extensions ofcredit.

(12) Gas utility means a gas corporation asdefined in section 386.020(18), RSMo.

(13) Guarantee means a written promise froma third party to assume liability up to a spec-ified amount for delinquent charges whichmight accrue to a particular customer.

(14) Municipality means a city, village ortown.

(15) Person means any individual, firm, jointventure, partnership, corporation, associa-tion, county, state, municipality, politicalsubdivision, cooperative association or jointstock association, and includes any trustee,receiver, assignee or personal representativeof them.

(16) Pleading means any application, com-plaint, petition, answer, motion, staff recom-mendation, or other similar written docu-ment, which is not a tariff or correspondence,and which is filed in a case. A brief is not apleading under this definition.

(17) Political subdivision means any town-ship, city, town, village, and any school,road, drainage, sewer and levee district, orany other public subdivision, public corpora-tion or public quasi-corporation having thepower to tax.

(18) Premises means a tract of land or realestate, including buildings and other appurte-nances thereon, to which utility service isprovided to a customer.

(19) Public counsel means the Office of thePublic Counsel as created by the OmnibusState Reorganization Act of 1974, and

includes the assistants who represent the pub-lic before the commission.

(20) Public utility means public utility asdefined in section 386.020(42), RSMo.

(21) Regulated electrical corporation meansevery electrical corporation as defined in sec-tion 386.020, RSMo, subject to commissionregulation pursuant to Chapter 393, RSMo.

(22) Regulated gas corporation means everygas corporation as defined in section386.020, RSMo, subject to commission reg-ulation pursuant to Chapter 393, RSMo.

(23) Regulated heating company means everyheating company as defined in section386.020, RSMo, subject to commission reg-ulation pursuant to Chapter 393, RSMo.

(24) Rule means all of these rules as a wholeor the individual rule in which the wordappears, whichever interpretation is consis-tent with the rational application of this chap-ter.

(25) Service means service as defined in sec-tion 386.020(47), RSMo.

(26) Sewer utility means a sewer corporationas defined in section 386.020(48), RSMo.

(27) Steam heating utility means a heatingcompany as defined in section 386.020(20),RSMo.

(28) Tariff means a document published by apublic utility, and approved by the commis-sion, that sets forth the services offered bythat utility and the rates, terms and conditionsfor the use of those services.

(29) Telecommunications company means atelecommunications company as defined insection 386.020(51), RSMo.

(30) Utility company means an electric utili-ty, a gas utility, a sewer utility, a steam heat-ing utility, a telecommunications company ora water utility, either individually or collec-tively, as those terms are defined herein.

(31) Variance means an exemption granted bythe commission from any applicable standardrequired pursuant to this chapter.

(32) Water utility means a water corporationas defined in section 386.020(58), RSMo.

AUTHORITY: section 386.250, RSMo 2000.*Original rule filed Aug. 16, 2002, effectiveApril 30, 2003.


Chapter 3—Filing and Reporting Requirements 4 CSR 240-3

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996.

4 CSR 240-3.015 Filing Requirements forUtility Company Applications for Waiversor Variances

PURPOSE: This rule provides a reference tothe commission’s practice and procedure ruleregarding this subject.

(1) The requirements for filing applicationsfor waivers or variances from commissionrules and tariff provisions, as well as thosestatutory provisions that may be waived, arecontained in Chapter 2 of the commission’srules in rule 4 CSR 240-2.060.



4 CSR 240-3.020 Filing RequirementsRegarding Utility Company Name Changes


(1) The requirements for filings regardingutility company name changes are containedin Chapters 2 and 3 of the commission’s rulesin rules 4 CSR 240-2.060, 4 CSR 240-3.520,4 CSR 240-3.525 and 4 CSR 240-3.545.

AUTHORITY: section 386.250, RSMo 2000.*Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed March 19,2004, effective Nov. 30, 2004.


4 CSR 240-3.025 Utility Company TariffFilings Which Create Cases


(1) The commission’s rule regarding tarifffilings which create cases, which includesvarious filing requirements, is contained inChapter 2 of the commission’s rules in rule 4CSR 240-2.065.



4 CSR 240-3.030 Minimum Filing Require-ments for Utility Company General RateIncrease Requests

PURPOSE: This rule prescribes the informa-tion which must be filed by all electric utili-ties, all large local exchange telecommunica-tions companies, all large gas, water andsewer utilities, and all steam heating utilitieswhen filing for a general company-wideincrease in rates. Additional requirementsregarding this subject matter are also foundin 4 CSR 240-3.160 for electric utilities and4 CSR 240-3.235 for gas utilities.

(1) This rule applies to all electric utilities; toall local exchange telecommunications com-panies with more than five thousand (5,000)access lines; to all gas utilities with morethan one thousand five hundred (1,500) cus-tomers; to all water utilities with more thanfive thousand (5,000) customers; to all sewerutilities with more than five thousand (5,000)customers; and to all steam heating utilities,under the jurisdiction of the commission.

(2) A general rate increase request is onewhere the company or utility files for anoverall increase in revenues through a compa-ny-wide increase in rates for the utility ser-vice it provides, but shall not include requestsfor changes in rates made pursuant to anadjustment clause or other similar provisionscontained in a utility’s tariffs.

(A) With regard to any telecommunicationscompany subject to this rule, any increase inrevenues as a result of an increase in rateswithin a previously approved rate band for atransitionally competitive or competitive ser-vice pursuant to sections 392.500 and392.510, RSMo will not be considered a gen-eral rate increase and thereby not be subjectto these minimum filing requirements.

(3) At the time a tariff(s) is filed by any com-pany or utility subject to this rule which con-tains a general rate increase request, an orig-inal and fourteen (14) copies of the followinginformation shall be filed with the secretaryof the commission and two (2) copies shall beprovided to the Office of the Public Counsel:

(A) A letter transmitting the proposed tar-iff changes to the secretary of the commissionof the Missouri Public Service Commission;

(B) General information concerning the fil-ing which will be of interest to the public andsuitable for publication, including:

1. The amount of dollars of the aggre-gate annual increase and the percentage ofincrease over current revenues which the tar-iff(s) proposes;

2. Names of the counties and communi-ties affected;

3. The number of the customers to beaffected in each general category of serviceand in all rate classifications within each gen-eral category of service;

4. The average change requested in dol-lars and percentage change from current ratesfor each general category of service and forall rate classifications within each generalcategory of service;

5. The proposed annual aggregatechange by general categories of service andby rate classification within each general cat-egory of service including dollar amounts andpercentage of change in revenues from cur-rent rates;

6. Copies of any press releases relativeto the filing issued by the company or utilityprior to or at the time of the filing; and

7. A summary of the reasons for theproposed changes or a summary explanationof the reasons the additional rate is needed.

(4) For good cause shown, the commissionmay grant a waiver of any of the provisions ofthis rule.



4 CSR 240-3.050 Small Utility Rate CaseProcedure(Rescinded May 30, 2018)

AUTHORITY: sections 386.040, 386.250,393.140 and 393.290, RSMo 2000, and393.291, RSMo Supp. 2007. Original rulefiled Nov. 15, 2007, effective May 30, 2008.Rescinded: Filed Oct. 5, 2017, effective May30, 2018.

4 CSR 240-3.100 Definitions PertainingSpecifically to Electric Utility Rules

PURPOSE: This rule sets forth the definitionsof certain terms used in rules 4 CSR240-3.105 through 4 CSR-3.190, which are inaddition to the definitions set forth in rule4 CSR 240-3.010 of this chapter.


Secretary of State

4 CSR 240-3—DEPARTMENT OF ECONOMIC DEVELOPMENT Division 240—Public Service Commission

(1) Affiliate means any person who, directlyor indirectly, controls or is controlled by or isunder common control with an electric utili-ty.

(2) Appliance or equipment means any devicewhich consumes electric energy and anyancillary device required for its operation.

(3) Avoided costs means the incrementalcosts to an electric utility of electric energyor capacity or both which, but for the pur-chase from the qualifying facility or qualify-ing facilities, that utility would generate itselfor purchase from another source.

(4) Consideration shall be interpreted in itsbroadest sense and shall include any cash,donation, gift, allowance, rebate, discount,bonus, merchandise (new or used), property(real or personal), labor, service, conveyance,commitment, right or other thing of value.

(5) Control (including the terms “control-ling,” “controlled by,” and “common con-trol”) means the possession, directly or indi-rectly, of the power to direct, or to cause thedirection of the management or policies of anentity, whether such power is exercisedthrough one (1) or more intermediary enti-ties, or alone, or in conjunction with, or pur-suant to an agreement with, one (1) or moreother entities, whether such power is exer-cised through a majority or minority owner-ship or voting of securities, common direc-tors, officers or stockholders, voting trusts,holding trusts, affiliated entities, contract orany other direct or indirect means. The com-mission shall presume that the beneficialownership of ten percent (10%) or more ofvoting securities or partnership interest of anentity constitutes control for purposes of thisrule. This provision, however, shall not beconstrued to prohibit a regulated electricalcorporation from rebutting the presumptionthat its ownership interest in an entity conferscontrol.

(6) Cost-effective means that the presentvalue of life-cycle benefits is greater than thepresent value of life-cycle costs to theprovider of an energy service.

(7) Decommissioning means those activitiesundertaken in connection with a nuclear gen-erating unit’s retirement from service toensure that the final removal, disposal,entombment or other disposition of the unitand of any radioactive components and mate-rials associated with the unit, are accom-plished in compliance with all applicablelaws, and to ensure that the final dispositiondoes not pose any undue threat to the public

health and safety. Decommissioning includesthe removal and disposal of the structures,systems and components of a nuclear gener-ating unit at the time of decommissioning.

(8) Decommissioning costs means all reason-able costs and expenses incurred in connec-tion with decommissioning, including allexpenses to be incurred in connection withthe preparation for decommissioning, includ-ing, but not limited to, engineering and otherplanning expenses; and to be incurred afterthe actual decommissioning occurs, includ-ing, but not limited to, physical security andradiation monitoring expenses, less proceedsof insurance, salvage or resale of machinery,construction equipment or apparatus the costof which was charged as a decommissioningexpense.

(9) Demand-side resource means any ineffi-cient energy-related choice that can be influ-enced cost-effectively by a utility. The mean-ing of this term shall not be construed toinclude load-building program.

(10) Energy service means the need that isserved or the benefit that is derived by theultimate consumer’s use of energy.

(11) Inefficient energy-related choice meansany decision that causes the life-cycle cost ofproviding an energy service to be higher thanit would be for an available alternativechoice.

(12) Load-building program means an orga-nized promotional effort by a utility to per-suade energy-related decision makers tochoose the form of energy supplied by thatutility instead of other forms of energy for theprovision of energy service or to persuadecustomers to increase their use of that utili-ty’s form of energy, either by substituting itfor other forms of energy or by increasing thelevel or variety of energy services used. Thisterm is not intended to include the provisionof technical or engineering assistance, infor-mation about filed rates and tariffs or otherforms of routine customer service.

(13) Promotional practices means any consid-eration offered or granted by an electric util-ity or its affiliate to any person for the pur-pose, express or implied, of inducing theperson to select and use the service or useadditional service of the utility or to select orinstall any appliance or equipment designedto use the utility service, or for the purposeof influencing the person’s choice or specifi-cation of the efficiency characteristics ofappliances, equipment, buildings, utilizationpatterns or operating procedures. The term

promotional practices shall not include thefollowing activities:

(A) Making any emergency repairs toappliances or equipment of customers;

(B) Providing appliances or equipmentincidental to demonstrations of sixty (60)days or less in duration;

(C) Providing light bulbs, street or outdoorlighting service, wiring, service pipe or otherservice equipment or appliances, in accor-dance with tariffs filed with and approved bythe commission;

(D) Providing appliances or equipment toan educational institution for the purpose ofinstructing students in the use of the appli-ances or equipment;

(E) Merchandising appliances or equip-ment at retail and, in connection therewith,the holding of inventories, making and fulfill-ment of reasonable warranties against defectsin material and workmanship existing at thetime of delivery and financing; provided thatthe merchandising shall not violate any prohi-bition contained in 4 CSR 240-14.020;

(F) Inspecting and adjusting of appliancesor equipment by an electric utility;

(G) Repairing and other maintenance toappliances or equipment by an electric utilityif charges are at cost or above;

(H) Providing free or below-cost energyaudits or other information or analysisregarding the feasibility and cost-effective-ness of improvements in the efficiency char-acteristics of appliances, equipment, build-ings, utilization patterns or operatingprocedures;

(I) Offering to present or prospective cus-tomers by an electric utility technical or engi-neering assistance; and

(J) Advertising or publicity by an electricutility which is under its name and on itsbehalf and which does not in any manner,directly or indirectly, identify, describe, referto, mention or relate to any architect, builder,engineer, subdivider, developer or other sim-ilar person, or which mentions no less thanthree (3) existing projects, developments orsubdivisions.

(14) Purchase means the purchase of electricenergy or capacity or both from a qualifyingfacility by an electric utility.

(15) Qualifying facility means a cogenerationfacility or a small power production facilitywhich is a qualifying facility under Subpart Bof Part 292 of the Federal Energy RegulatoryCommission’s (FERC) regulations.

(16) Sale means the sale of electric energy orcapacity or both by an electric utility to aqualifying facility.





4 CSR 240-3.105 Filing Requirements forElectric Utility Applications for Certifi-cates of Convenience and Necessity

PURPOSE: Applications to the commissionrequesting that the commission grant a cer-tificate of convenience and necessity mustmeet the requirements of this rule. As noted inthe rule, additional requirements pertainingto such applications are set forth in 4 CSR240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications by an electric util-ity for a certificate of convenience and neces-sity shall include:

(A) If the application is for a servicearea—

1. A statement as to the same or similarutility service, regulated and nonregulated,available in the area requested;

2. If there are ten (10) or more residentsor landowners, the name and address of nofewer than ten (10) persons residing in theproposed service area or of no fewer than ten(10) landowners in the event there are no res-idences in the area, or, if there are fewer thanten (10) residents or landowners, the nameand address of all residents and landowners;

3. The legal description of the area to becertificated;

4. A plat drawn to a scale of one-halfinch (1/2") to the mile on maps comparableto county highway maps issued by the Mis-souri Department of Transportation or a platdrawn to a scale of two thousand feet (2,000')to the inch; and

5. A feasibility study containing plansand specifications for the utility system andestimated cost of the construction of the util-ity system during the first three (3) years ofconstruction; plans for financing; proposedrates and charges and an estimate of the num-ber of customers, revenues and expenses dur-ing the first three (3) years of operations;

(B) If the application is for electrical trans-mission lines, gas transmission lines or elec-trical production facilities—

1. A description of the route of con-struction and a list of all electric and tele-phone lines of regulated and nonregulatedutilities, railroad tracks or any undergroundfacility, as defined in section 319.015,RSMo, which the proposed construction willcross;

2. The plans and specifications for thecomplete construction project and estimatedcost of the construction project or a statementof the reasons the information is currentlyunavailable and a date when it will be fur-nished; and

3. Plans for financing;(C) When no evidence of approval of the

affected governmental bodies is necessary, astatement to that effect;

(D) When approval of the affected govern-mental bodies is required, evidence must beprovided as follows:

1. When consent or franchise by a cityor county is required, approval shall beshown by a certified copy of the documentgranting the consent or franchise, or an affi-davit of the applicant that consent has beenacquired; and

2. A certified copy of the requiredapproval of other governmental agencies; and

(E) The facts showing that the granting ofthe application is required by the public con-venience and necessity.

(2) If any of the items required under this ruleare unavailable at the time the application isfiled, they shall be furnished prior to thegranting of the authority sought.



4 CSR 240-3.110 Filing Requirements forElectric Utility Applications for Authorityto Sell, Assign, Lease or Transfer Assets

PURPOSE: Applications to the commissionfor the authority to sell, assign, lease ortransfer assets must meet the requirements setforth in this rule. As noted in the rule, addi-tional requirements pertaining to such appli-cations are set forth in 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for authority tosell, assign, lease or transfer assets shallinclude:

(A) A brief description of the propertyinvolved in the transaction, including anyfranchises, permits, operating rights or cer-tificates of convenience and necessity;

(B) A copy of the contract or agreement ofsale;

(C) The verification of proper authority bythe person signing the application or a certi-fied copy of resolution of the board of direc-

tors of each applicant authorizing the pro-posed action;

(D) The reasons the proposed sale of theassets is not detrimental to the public interest;

(E) If the purchaser is subject to the juris-diction of the commission, a balance sheetand income statement with adjustments show-ing the results of the acquisitions of the prop-erty; and

(F) A statement of the impact, if any, thesale, assignment, lease or transfer of assetswill have on the tax revenues of the politicalsubdivisions in which any structures, facili-ties or equipment of the companies involvedin that sale are located.

(2) If the purchaser is not subject to the juris-diction of the commission, but will be subjectto the commission’s jurisdiction after thesale, the purchaser must comply with theserules.




4 CSR 240-3.115 Filing Requirements forElectric Utility Applications for Authorityto Merge or Consolidate

PURPOSE: Applications to the commissionfor the authority to merge or consolidate mustmeet the requirements set forth in this rule.As noted in the rule, additional requirementspertaining to such applications are set forthin 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for authority tomerge or consolidate shall include:

(A) A copy of the proposed plan and agree-ment of corporate merger and consolidation,including organizational charts depicting therelationship of the merging entities beforeand after the transaction;

(B) A certified copy of the resolution of theboard of directors of each applicant authoriz-ing the proposed merger and consolidation;

(C) The balance sheets and income state-ments of each applicant and a balance sheetand income statement of the surviving corpo-ration;

(D) The reasons the proposed merger is


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not detrimental to the public interest;(E) An estimate of the impact of the merg-

er on the company’s Missouri jurisdictionaloperations relative to the merger and acquisi-tion in question; and

(F) A statement of the impact, if any, themerger or consolidation will have on the taxrevenues of the political subdivision in whichany structures, facilities or equipment of thecompanies involved are located.





4 CSR 240-3.120 Filing Requirements forElectric Utility Applications for Authorityto Issue Stock, Bonds, Notes and OtherEvidences of Indebtedness

PURPOSE: Applications to the commissionfor the authority to issue stock, bonds, notesor other evidences of indebtedness must meetthe requirements set forth in this rule. Asnoted in the rule, additional requirementspertaining to such applications are set forthin 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for authority toissue stock, bonds, notes and other evidencesof indebtedness shall contain the following:

(A) A brief description of the securitieswhich applicant desires to issue;

(B) A statement of the purpose for whichthe securities are to be issued and the use ofthe proceeds;

(C) Copies of executed instruments defin-ing the terms of the proposed securities—

1. If these instruments have been previ-ously filed with the commission, a referenceto the case number in which the instrumentswere furnished;

2. If these instruments have not beenexecuted at the time of filing, a statement ofthe general terms and conditions to be con-tained in the instruments which are proposedto be executed; and

3. If none of these instruments is eitherexecuted or to be executed, a statement ofhow the securities are to be sold;

(D) A certified copy of resolutions of thedirectors of applicant authorizing the issuanceof the securities;

(E) A balance sheet and income statementwith adjustments showing the effects of theissuance of the proposed securities upon—

1. Bonded and other indebtedness; and2. Stock authorized and outstanding;

(F) A statement of what portion of theissue is subject to the fee schedule in section386.300, RSMo; and

(G) A five (5)-year capitalization expendi-ture schedule as required by section 393.200,RSMo.




4 CSR 240-3.125 Filing Requirements forElectric Utility Applications for Authorityto Acquire the Stock of a Public Utility

PURPOSE: Applications to the commissionfor the authority to acquire the stock of apublic utility must meet the requirements setforth in this rule. As noted in the rule, addi-tional requirements pertaining to such appli-cations are set forth in 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for authority toacquire the stock of a public utility shallinclude:

(A) A statement of the offer to purchasestock of the public utility or a copy of anyagreement entered with shareholders to pur-chase stock;

(B) A certified copy of the resolution of thedirectors of applicant authorizing the acquisi-tion of the stock; and

(C) Reasons why the proposed acquisitionof the stock of the public utility is not detri-mental to the public interest.


AUTHORITY: section 386.250, RSMo 2000.*

Original rule filed Aug. 16, 2002, effectiveApril 30, 2003.


4 CSR 240-3.130 Filing Requirements andSchedule of Fees for Applications forApproval of Electric Service TerritorialAgreements and Petitions for Designationof Electric Service Areas

PURPOSE: This rule establishes require-ments and schedule of fees that applicationsto the commission for approval of territorialagreements between electric service providersand petitions for designation of electric ser-vice areas must meet. As noted in the rule,additional requirements pertaining to suchapplications are set forth in 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for commissionapproval of territorial agreements and peti-tions for designation of electric service areasshall include:

(A) A copy of the proposed territorialagreement and a specific designation of therequested boundaries, including maps show-ing the requested boundaries and a scheduleof the applicable Townships, Ranges and Sec-tions, by county. If the requested boundarycannot reliably be ascertained from the infor-mation supplied by the applicant, such appli-cant shall provide additional information asrequested by the commission or its staff, ifnecessary, including the legal description ofthe area that is the subject of the applicationor petition;

(B) A list of other electric utilities thatserve in the affected area(s), if any;

(C) An illustrative tariff which reflects anychanges in a regulated utility’s operations orcertification;

(D) An explanation as to why the territorialagreement is not detrimental to the publicinterest or the proposed electric service areadesignation(s) is in the public interest; and

(E) A list of all persons and structureswhose utility service would be changed by theproposed agreement at the time of filing.

(2) If any of the information required by sub-sections (1)(A)–(E) of this rule is unavailableat the time the application is filed, the appli-cation must be accompanied by a statement ofthe reasons the information is currentlyunavailable and a date by which it will be fur-nished. All required information shall be fur-nished prior to the granting of the authority



sought.

(3) The application or petition shall beaccompanied by an initial filing fee in theamount of five hundred dollars ($500).

(4) An application for commission review ofproposed amendment(s) to an existing territo-rial agreement between electric serviceproviders shall not be subject to the fee offive hundred dollars ($500). However, theapplicants shall be responsible for the pay-ment of a fee which reflects necessary hear-ing time (including the minimum hearingtime charge) and the transcript costs as spec-ified in section (5) of this rule.

(5) In addition to the filing fee, the fee forcommission review is set at six hundredeighty-five dollars ($685) per hour of hearingtime, subject to a minimum charge for hear-ing time of six hundred eighty-five dollars($685). There is an additional charge of threedollars and fifty cents ($3.50) per page oftranscript. These fees are in addition to thefees authorized by section 386.300, RSMo.

(6) The parties shall be responsible for pay-ment of any unpaid fees on and after theeffective date of the commission’s report andorder relating to the electric territorial agree-ment or petition for designation of serviceareas. The executive director shall send anitemized billing statement to the applicants onor after the effective date of the commission’sreport and order. Responsibility for paymentof the fees shall be that of the parties to theproceeding as ordered by the commission ineach case.

(7) On July 1 of each year, the filing fee andthe fee per hour of evidentiary hearing timemay be modified to match any percentagechange in the Consumer Price Index for thetwelve (12)-month period ending December31 of the preceding year.

AUTHORITY: sections 386.250 and 394.312,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003. Amended:Filed Feb. 24, 2005, effective Oct. 30, 2005.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; and 394.312, RSMo 1988, amended 1989.

4 CSR 240-3.135 Filing Requirements andSchedule of Fees Applicable to Applica-tions for Post-Annexation Assignment ofExclusive Service Territories and Determi-nation of Compensation

PURPOSE: This rule establishes the require-ments that must be met and a schedule of fees

for applications to the commission for post-annexation assignment of exclusive serviceterritories and determination of compensa-tion. As noted in the rule, additional require-ments pertaining to such applications are setforth in 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), municipally owned electricutility applications for post-annexationassignment of exclusive service territoriesand determination or compensation shallinclude:

(A) An explanation as to why the requestedrelief is in the public interest;

(B) A specific designation of the proposedexclusive electric service territory boundaryincluding maps showing the boundary and aschedule of the applicable Townships,Ranges, and Sections, by county. If therequested boundary cannot reliably be ascer-tained from the information supplied by theapplicant, such applicant shall provide addi-tional information as requested by the com-mission or its staff, if necessary, includingthe legal description of the area;

(C) The electric rates that will be chargedif the proposed change of supplier is allowed;

(D) The municipal electric utility’s esti-mate of the fair and reasonable compensationto be paid to the affected electric supplier forthe existing distribution system within theproposed exclusive electric service territory,for any proposed acquisitions or transfers,including the valuation formulas and factorsused to calculate fair and reasonable compen-sation;

(E) Any effect on the municipal electricutility’s system operation, including, but notlimited to, how the increased load will beserved;

(F) Any power contracts that the munici-pality has agreed to with the affected electricsupplier to serve the annexed area;

(G) Any issues on which the municipallyowned electric utility and the affected electricsupplier agree;

(H) A copy of the newspaper notification,as well as notifications sent to any affectedsupplier; and

(I) Affirmation of compliance with thedeadlines for negotiation as outlined in sec-tion 386.800, RSMo.

(2) If any of the information required by sub-sections (1)(A)–(I) of this rule is unavailableat the time the application is filed, the appli-cation must be accompanied by a statement ofthe reasons the information is currentlyunavailable and a date by which it will be fur-nished. All required information shall be fur-nished prior to the granting of the authoritysought.

(3) The commission shall notify the affectedelectric suppliers within ten (10) days ofreceipt of an application from a municipallyowned electric utility and, that the affectedelectric suppliers are made parties to the pro-ceeding and shall file with the commissionwithin twenty (20) days of the notice the fol-lowing information:

(A) A response to the applicant’s requestedrelief;

(B) The current electric rates that arecharged in the proposed exclusive electricservice territory;

(C) The electric supplier’s estimate of thefair and reasonable compensation to be paidby the applicant for the existing distributionsystem within the proposed exclusive electricservice territory, for any proposed acquisi-tions or transfers, including the valuation for-mulas and factors used to calculate fair andreasonable compensation;

(D) Any effect on the electric supplier’ssystem operation, including, but not limitedto, loss of load and loss of revenue; and

(E) Affirmation of compliance with thedeadlines for negotiation as outlined in sec-tion 386.800, RSMo.

(4) If any of the information required by sub-sections (3)(A)–(E) of this rule is unavailablewithin twenty (20) days of the notice, theresponsive pleading must be accompanied bya statement of the reasons the information iscurrently unavailable and a date by which itwill be furnished.

(5) The application shall be accompanied byan initial filing fee in the amount of five hun-dred dollars ($500).

(6) In addition to the filing fee, the fee forcommission review of the application is set atsix hundred eighty-five dollars ($685) perhour of hearing time, subject to a minimumcharge for hearing time of six hundred eighty-five dollars ($685). There is an additionalcharge of three dollars and fifty cents ($3.50)per page of transcript. These fees are inaddition to the fees authorized by section386.300, RSMo.

(7) The parties shall be responsible for pay-ment of any unpaid fees on and after theeffective date of the commission’s report andorder relating to the application. The execu-tive director shall send an itemized billingstatement to the applicants on or after theeffective date of the commission’s report andorder. Responsibility for payment of the feesshall be that of the parties to the proceedingas ordered by the commission in each case.

(8) On July 1 of each year, the filing fee andthe fee per hour of evidentiary hearing time


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may be modified to match any percentagechange in the Consumer Price Index for thetwelve (12)-month period ending December31 of the preceding year.

AUTHORITY: sections 386.250 and 386.800,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003. Amended:Filed Feb. 24, 2005, effective Oct. 30, 2005.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 386.800, RSMo 1991.

4 CSR 240-3.140 Filing Requirements forApplications for Authority for a Change ofElectrical Suppliers

PURPOSE: Applications to the commissionfor the approval of a change of electrical sup-pliers must meet the requirements set forth inthis rule. As noted in the rule, additionalrequirements pertaining to such applicationsare set forth in 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for the approval ofa change in electrical suppliers shall include:

(A) A description of the type of structurewhere the change of supplier is sought, andthe street address, if any, of the structure;

(B) The name and address of the electricalsupplier currently providing service to thestructure;

(C) The name and address of the electricalsupplier to which the applicant wishes tochange;

(D) The applicant’s reasons for seeking achange of supplier;

(E) If the applicant’s reasons involve ser-vice problems, a description of the problemsand dates of occurrence, if known;

(F) If the applicant’s reasons involve ser-vice problems, a description of the contactswhich applicant has had with the current sup-plier regarding the problems, if any, and whatefforts the current supplier has made to solvethe problems, if any;

(G) The reasons a change of electrical sup-pliers is in the public interest;

(H) If the current electrical supplier andthe requested electrical supplier agree to therequested change, a verified statement foreach supplier with the application, indicatingagreement; and

(I) If the applicant is an electrical supplier,a list of the names and addresses of all cus-tomers whose electrical supplier is proposedto be changed.

(2) If any of the items required under this ruleare unavailable at the time the application is

filed, they shall be furnished prior to thegranting of the authority sought.



4 CSR 240-3.145 Filing Requirements forElectric Utility Rate Schedules

PURPOSE: This rule prescribes the form andprocedures for filing and publishing sched-ules of rates of all electric utilities under thejurisdiction of the Public Service Commis-sion.

(1) Every electrical corporation, as defined insection 386.020, RSMo, engaged in the man-ufacture, generating, furnishing or transmis-sion of electricity for light, heat or powerwithin Missouri is directed to have on filewith this commission not later than October15, 1913, a schedule of all rates, rentals andcharges of whatever nature made by the elec-trical corporation for each kind of service itrenders which were in force on April 15,1913, together with proper supplements cov-ering all changes in rate schedules authorizedby this commission, if any, since April 15,1913.

(2) Every electrical corporation is directed onand after October 15, 1913, to publish all ofits schedules of rates with this commission asfollows:

(A) To keep all of its schedules of ratesestablished and filed with this commissionand in its main or principal operating officeand in each division office which is now ormay be established;

(B) To keep at each of its branch businessoffices where contracts for service are madeor payment for customer’s service isreceived, copies of all of its establishedschedules of rates which apply within thearea served; and

(C) That all schedules of rates at all timesduring business hours shall be readily acces-sible to the public and shall be immediatelyproduced for inspection upon the demand ofany person. The production for inspection ofschedules of rates shall be accompanied bysuch assistance on the part of the proper rep-resentative of the electrical corporation hav-ing a schedule to determine accurately therate or charge applicable to any particularkind of electrical service.

(3) All schedules of rates, rentals and

charges, or rules relating and applying to ser-vice rendered in connection with the supply-ing of electrical energy for light, heat andpower or for any service rendered in connec-tion with electrical energy supply, lawfully onfile with the commission and in force onApril 15, 1913, will be considered as contin-uing in force and may be amended in themanner provided in this rule.

(4) All schedules of rates on file with thiscommission and in effect April 15, 1913, notin accordance with this rule shall be reprintedin the manner prescribed by this rule andfiled on or before October 15, 1913. All newschedules of rates issued after April 15,1913, must conform to this rule or they willbe subject to rejection by the commissionwhen tendered for filing. The commissionreserves the right to direct the reprinting ofany schedule at any time.

(5) In classifying rates for electrical servicethe following uniform system of classificationwill be followed as closely as practical:

(A) All lighting rates for residences, busi-ness places, theaters, public buildings, andthe like will be placed under the head of com-mercial lighting;

(B) All power rates, including rates for bat-tery charging, will be placed under the headof commercial power; and

(C) All rates for street lighting, includingmunicipal street lighting and the free lightingof public buildings as is done in connectionwith street lighting will be placed under thehead of street lighting.

(6) All schedules of rates should be on a goodserviceable quality of paper and, if in the dis-cretion of the commission, the volume ofschedule justifies it, a schedule shall not beaccepted for filing until printed.

(7) All schedules of rates filed with the com-mission shall bear a number with the follow-ing prefix: PSC Mo. Rate schedules shall benumbered in consecutive serial order com-mencing with a No. 1 for each electrical cor-poration (for example, the first schedule PSCMo., No. 1). The prefixes and numbers shallbe printed on schedules as required by section(9) of this rule. For convenience the prefix isreferred to as PSC.

(8) All schedules of rates shall be in book,sheet or pamphlet form of size eight and one-half inches by eleven inches (8 1/2" × 11").A loose-leaf plan may be used so that changesmay be made by reprinting and inserting asingle leaf. When the loose-leaf plan is used,all sheets except the title page must show inthe marginal space at the top of page or sheet,



the name of the electrical corporation issuingthe PSC No., the number of the schedule andthe number of the page or sheet. At the bot-tom of the sheet in the marginal space mustbe shown, the date of issue and effective dateand the name, title and address of the officerby whom the schedule is issued.

(9) The title page or sheet, if loose leaf, ofevery schedule of rates shall show—

(A) The full corporate name of the issuingelectrical corporation;

(B) The PSC number of the schedule inbold type in the center of the marginal spaceat top of the page and immediately under it insmall type the PSC number(s) canceled;

(C) A brief description of the service areasfrom and to or within which the scheduleapplies;

(D) When a schedule rate is governed by ageneral publication, the reference to the gen-eral publication by its PSC number must begiven. The following phraseology, as the casemay be, will be used: “Governed except asotherwise provided herein by schedule PSCMo. No., which schedule, revised and addedpages or sheets or superseding issues thereofis hereby made a part of this schedule.” Therate publication referred to must be on filewith the commission and be kept at everyplace where the schedule making reference isto be kept for public inspection;

(E) The date of issue and the date effec-tive. If the schedule or any portion is made toexpire on a specified date, the followingclause must be used: “expires, unless soonerchanged, canceled or extended”;

(F) On every schedule, supplement orrevised or added sheet issued on less thanthirty (30) days’ notice, by permission of thecommission, the following notation must beshown: “Issued on ____ days’ notice to thepublic and the commission under special per-mission of the Public Service Commission ofMissouri, No. ____ of date ____.” If issuedin compliance with an order of the commis-sion, the following notation must be shown:“Issued on ____ days’ notice to the publicand the commission under order of the PublicService Commission of Missouri, of date____, in Case No. ____,” when issued byauthority of any section of this rule, thenotice must be that required by the particularsection granting permission;

(G) On the upper left-hand corner of aschedule of fewer than three (3) pages and onschedules issued in loose-leaf form, thewords, “No supplement to this tariff will beissued except for the purpose of cancelingthis tariff.” A schedule, not in loose-leafform, of three (3) or more pages shall includethe words, “Only one supplement to this

schedule will be in effect at any one time”;and

(H) On the marginal space at the bottom ofpage will be given the name, title and addressof the officer by whom the schedule is issued,the date of issue and the effective date.

(10) The schedule shall contain in the ordernamed:

(A) Table of Contents. Provide full andcomplete statement in alphabetical order ofthe exact location where information underthe general headings or subjects will befound, specifying the page of item numbers.If the schedule contains so small a volume ofmatter that its title page or interior arrange-ment plainly may disclose its contents, thetable of contents may be omitted;

(B) Description of Territory. A morelengthy description of the territory to beserved than can be briefly set forth on thetitle page will often be necessary; any itemsin this category which bear any relation to thevarious rates should be explained under thisheading;

(C) Classification of Service. Under thisheading the kind of service separatelygrouped for commercial lighting, commercialpower and street lighting will be set forth inthe order named together with a detailedstatement of the rate(s) in connection withsame. A definite separation must be madebetween prompt payment discount and quan-tity discount and stating the manner in whichthey are computed clearly. If guarantees ofany nature are required or a minimum chargemade, the principles upon which they arebased must be stated. In this case give thecompany’s charges or deposits for meters. Ifpenalties for delayed payments are exacted,the same must be stated. State whether cur-rent is estimated or metered and if so, how.State the company’s practice in regard tolamp renewals. If a charge is made to the con-sumer for installing and connecting the ser-vice wires, this should be stated. State thecharacter of the service, whether twenty-four(24)-hour or limited until midnight, whetherthe service is limited to certain hours of theday, on-peak, off-peak, optional service, aux-iliary service, breakdown service, and thelike. The kind of current, such as alternatingor direct, together with the voltage, phase andfrequency must be given in all cases;

(D) Rules. Under this heading will be setforth all rules which apply to contracts forfurnishing electrical energy for light, heatand power, and all of the company’s rules inany way relating to service, together with anyparticular regulations relating to a specialcontract for service rendered which have notalready been stated in connection with the

description of rates under section (5) of thisrule; and

(E) Definition and Explanation of Refer-ence Marks. Under this heading, as its nameimplies, shall be given the necessary descrip-tion of any reference marks employed in con-nection with the rate tables, that is, explainthe meaning of watt, kilowatt hour, horsepow-er, and the like. If symbols or abbreviationsare used, explain their meanings, such askilowatt hour for K.W.H.; ampere for amp.When ratings are used based on capacityinstallation or a percentage of capacity instal-lation, a table of equivalents for estimatingthese ratings must be given. For example, one(1) sixteen (16)-candle power carbon filamentlamp equals about fifty-five (55) watts. Ifterms maximum demand, load factor, ratedcapacity, peak, and the like, are used in theschedule, these should be explained underthis caption. All definitions of terms andexplanation of terms or symbols, abbrevia-tions or reference marks should be arrangedin logical sequence and in a manner that theywill be readily understood.

(11) If a schedule or supplement to a sched-ule is issued which conflicts with a part ofanother schedule or supplement of a schedulewhich is in force at the time and which is notcanceled in full, it specifically shall state theportion of the other schedule which is can-celed and the other schedule, at the sametime, shall be correspondingly amended,effective on the same date, in the regularway; and the supplement to the amendedschedule shall be filed at the same time andin connection with the schedule which con-tains the new rates, rentals or charges.

(12) If a schedule is canceled with the pur-pose of canceling entirely the rates, rentals orcharges named in the schedule or whenthrough error or omission, a later issue failedto cancel the previous issue and a schedule iscanceled for the purpose of perfecting therecord, the cancellation notice must not begiven a new PSC number, but must be issuedas a supplement to the schedule which itcancels, even though the schedule at the timemay have a supplement in effect.

(13) If a schedule or a part of a schedule iscanceled, the cancellation notice shall makespecific notice to the PSC number of theschedule in which the rates, rentals orcharges will be found; or if no rates, rentalsor charges are in effect, it shall state so. Can-cellation of a schedule also cancels a supple-ment to the schedule in effect, if any. If aschedule is canceled by a similar schedule totake its place, the cancellation notice must


Secretary of State


not be given by supplement, but by noticeprinted in a new schedule.

(14) A change in a schedule shall be knownas an amendment and excepting amendmentsto schedules issued in loose-leaf form, shallbe printed in a supplement to the schedulewhich it amends, specifying the schedule byits PSC number. The supplement shall bereissued each time an amendment is madeand shall always contain all the amendmentsto the schedule that are in force. Supplementsto schedules shall be numbered consecutivelyas supplements to the schedules and shall notbe given new or separate PSC numbers. Anamendment must always be printed in thesupplement in its entirety as amended.

(15) A schedule which contains reissueditems brought forward from a previous issuewhich has not been in effect thirty (30) daysor a supplement which brings forward reis-sued items without change from a formersupplement or schedule, must bear the nota-tion “Effective _______________ , except asnoted in individual items.” “Example: Issued_____________________, 20___; effective_____________, 20___ , except as noted inindividual items.” Reissued items broughtforward without change must show in a con-spicuous form and convenient manner the fol-lowing: “Reissue” in black face type; theeffective or the date upon which it becomeseffective; in PSC Mo. No. ________ “or insupplement No. ________ to PSC Mo. No.__________.” When the reissued itembecame effective in a former supplement tothe same schedule, the PSC number may beomitted, but the supplement number must begiven.

(16) Except as otherwise provided in thisrule, there shall be at no time more than one(1) supplement in effect to any schedule andthe effective supplement to a schedule oftwenty (20) or more pages may not containmore than twenty percent (20%) of the num-ber of pages or sheets in the schedule, includ-ing the title page, a supplement to a scheduleof fewer than twenty (20) pages or ten (10)sheets may not contain more than four (4)pages or two (2) sheets, including the titlepage.

(17) All changes in and additions to schedulesissued in loose-leaf form must be made byreprinting both pages of the leaf or sheet uponwhich the change is made. When no changeor addition is made on one (1) of the pagesreprinted, it must bear the notation, “Nochange in this page.” Those pages or sheetsshall not be given supplement numbers, butmust be designated “First revised page or

sheet,” “Second revised page or sheet,” andthe like and must show the name of the issuingcorporation and the PSC number of the sched-ule, the issued and effective dates and thename, title and address of officer by whomissued.

(18) If a new schedule is filed on statutorynotice canceling another schedule and afterthat filing and prior to the effective date ofthe new schedule, a supplement to the sched-ule to be so canceled should be lawfullyissued, the rates, rentals or charges in thatsupplement could not continue in effect forthe thirty (30) days required by law becausethe cancellation of the schedule also cancelsthe supplement to it. In this case the supple-ment containing changes not included in theschedule that is to become effective may beissued as a supplement both to the schedulein effect and to the schedule on file that willeffect a cancellation and be given both PSCnumbers. In other words, such an issue mustbe a supplement of each of the schedules andcopies must be filed accordingly. A supple-ment issued under this rule containing reis-sued items shall note in connection with eachitem, in addition to the effective date requiredby this rule, that the reissued items expire onthe date on which the new schedule willapply in lieu thereof; and the reissued itemsmust not be brought forward in a subsequentsupplement to the new schedule. This supple-ment may not contain any changes exceptthose lawfully made by supplement to theschedule which is to be canceled by theschedule that has been filed and that is alsosupplemented; and no other kind of a supple-ment to a schedule that is on file and not yeteffective may be made effective within thirty(30) days from the effective date of the sched-ule without special permission of the com-mission.

(19) The provisions of section (17) of thisrule as to the number of supplements to aschedule that may be in effect at any time andthe volume of supplemental matter they maycontain need not be observed in connectionwith a supplement issued under sections(15)–(19) of this rule.

(20) In case of change of ownership and oper-ation of any electrical corporation’s propertyor of the electrical corporation in possessionand operating the property, the electrical cor-poration taking over the operation of theproperties, if the existing rates would other-wise remain legally effective, shall issueimmediately and file with the commission,with PSC number, an adoption notice sub-stantially as follows:

(A) “The (name of the electrical corpora-tion) hereby adopts, ratifies and makes itsown, in every respect as if the same had beenoriginally filed by it, all schedules, rules,notices, concurrences, schedule agreements,divisions, authorities or other instrumentswhatsoever, filed with the PUBLIC SER-VICE COMMISSION, State of Missouri, bythe (name of the electrical corporation), priorto (date), the beginning of its possession. Bythis notice it also adopts and ratifies all sup-plements or amendments to any of the aboveschedules, etc., which (name of the electricalcorporation) has heretofore filed with saidcommission. This notice may be made effec-tive as of the date it is filed with the commis-sion”;

(B) In the event that the successor corpora-tion does not intend to adopt some of thoseschedules, rates, rules, notices, concurrences,authorities or other instruments, the noticeshall specify those which are not adopted,and the successor corporation as to suchexceptions shall give the cancellation or with-drawal notice provided in this rule;

(C) The adoption notice shall stand and beeffective as to all of the local issues of thepredecessor electrical corporation; and

(D) In case of a receivership, the receivershall be deemed as continuing in force theschedules and rules of the corporation whoseproperty s/he has in charge.

(21) Schedules and schedule supplementsshall be filed with the commission by theproper officer of the electrical corporationdesignated to perform that duty; and supple-ments must be on file with the commission oraccompany the schedule or supplement.

(22) All changes in rates, charges or rentalsor in rules that affect the rates, charges orrentals shall be filed with the commission atleast thirty (30) days before the date uponwhich they are to become effective. The titlepage of every rate schedule or supplementand the reissue on any page or sheet mustshow a full thirty (30) days’ notice except asotherwise provided in this rule. The proposedchange shall be accompanied by a brief sum-mary, approximately one hundred (100)words or less, of the effect of the change onthe company’s customers. A copy of any pro-posed change and summary shall also beserved on the public counsel and be availablefor public inspection and reproduction duringregular office hours at the general businessoffice of the utility.

(23) Each electrical corporation has the dutyof filing with the commission all its schedulesof rates and supplements or any rule relative



to them which may be announced by the com-mission, under penalty for failure to do so.The commission will give consistent assis-tance as it can in this respect, but the fact thatthe receipt of a rate schedule or a supplementto a rate schedule is acknowledged by thecommission, or the fact that a rate scheduleor supplement to a rate schedule is in the filesof the commission, will not serve or operateto excuse the electrical corporation or munic-ipality from its responsibility or liability forany violation of the law or of any ruling law-fully made which may have occurred in con-nection thereunder with the construction offiling of a rate schedule or supplement.

(24) Thirty (30) days’ notice to the commis-sion is required as to every publication relat-ing to electrical rates or service except wherepublications are made effective on less thanstatutory notice by permission, regulation orrequirement of the commission.

(25) Except as is otherwise provided, noschedule or supplement will be accepted forfiling unless it is delivered to the commissionfree from all charges or claims for postage,the full thirty (30) days required by lawbefore the date upon which the schedule orsupplement is stated to be effective. No con-sideration will be given to or for the time dur-ing which a schedule or supplement may beheld by the post office authorities because ofinsufficient postage. When a schedule or asupplement is issued and as to which thecommission is not given the statutory notice,it is as if it had not been issued and a fullstatutory notice must be given of any reissue.No consideration will be given to telegraphicnotices in computing the thirty (30) days’notice required. In these cases the schedulewill be returned to the sender and correctionof the neglect or omission cannot be madewhich takes into account any time elapsingbetween the date upon which that schedule orsupplement was received and the date of theattempted correction. For rate schedules andsupplements issued on short notice underspecial permission of the commission, literalcompliance with the requirements for noticenamed in any order, regulation or permissiongranted by the commission will be exacted.

(26) When a schedule is rejected by the com-mission as unlawful, the records will so showand that schedule should not in the future bereferred to as canceled, amended or other-wise except to note on the publication issuedin lieu of that rejected schedule, “In lieu of____________, rejected by the commission;”nor shall the number which it bears be usedagain.

(27) Rates, charges or rentals or regulationsrelating to them, prescribed by the commis-sion in its decisions and orders, after hearingsupon formal complaints, shall in everyinstance be promulgated by the electrical cor-poration against which those orders areentered, in duly published and filed rateschedules, supplements or revised pages orsheets of schedules, and notice shall be sentto the commission that its order in Case No.___________ has been complied with in item________, page ______, of schedule PSCMo. No. _________; or supplement toschedule PSC Mo. No. __________; or reis-sued page or sheet No. _________ to sched-ule PSC Mo. No. _____________.

(28) Schedules and supplements shall be filedin numerical order of PSC numbers. If in anyinstance this procedure is not observed asrequired by these rules, a memorandum mustaccompany the schedule so filed with thecommission explaining omission of missingnumber(s).

(29) Electrical corporations are directed, infiling schedules, to transmit one (1) copy ofeach rate schedule, supplement or othercharges or regulations for the use of the com-mission. Schedules sent for filing must beaddressed to Public Service Commission, POBox 360, Jefferson City, MO 65102.

(30) All schedules filed with the commissionshall be accompanied by a letter of transmit-tal, in duplicate if receipt is desired, whichshall be prepared consistent with the formatdesignated by the commission.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996 and 393.140, RSMo 1939, amended 1949, 1967.

4 CSR 240-3.150 Filing Requirements forElectric Utility Promotional Practices

PURPOSE: Electric utilities with promotion-al practices must meet the filing requirementsin this rule prior to offering a promotionalpractice.

(1) Any promotional practices offered by anelectric utility must meet the requirements setout in the commission’s rules regarding utili-ty promotional practices (4 CSR 240-14).

(2) No electric utility or its affiliate shalloffer or grant any additional promotionalpractice or vary or terminate any existing

promotional practice, directly or indirectly,or in concert with others, or by any meanswhatsoever, until a tariff filing showing theaddition or variation or termination in theform prescribed by this rule has been madewith the commission and a copy furnished toeach other electric utility providing the sameor competing utility service in any portion ofthe service area of the filing utility.

(A) The utility shall provide the followinginformation on the tariff sheets:

1. The name, number or letter designa-tion of the promotional practice;

2. The class of persons to which the pro-motional practice is being offered or granted;

3. Whether the promotional practice isbeing uniformly offered to all persons withinthat class;

4. A description of the promotionalpractice and a statement of its purpose orobjective;

5. A statement of the terms and condi-tions governing the promotional practice;

6. If the promotional practice is offeredor granted, in whole or in part, by an affiliateor other person, the identity of the affiliate orperson and the nature of their participation;and

7. Other information relevant to a com-plete understanding of the promotional prac-tice.

(3) The utility shall provide the followingsupporting information for each promotionalpractice:

(A) A description of the advertising orpublicity to be employed with respect to thepromotional practice;

(B) For promotional practices that aredesigned to evaluate the cost-effectiveness ofpotential demand-side resources, a descrip-tion of the evaluation criteria, the evaluationplan and the schedule for completing the eval-uation; and

(C) For promotional practices that aredesigned to acquire demand-side resources,documentation of the criteria used and theanalysis performed to determine that thedemand-side resources are cost-effective.



4 CSR 240-3.155 Requirements for Elec-tric Utility Cogeneration Tariff Filings

PURPOSE: This rule defines the require-ments of electric utilities pertaining to the fil-ing of tariffs regarding purchasing electricity


Secretary of State


generated by small power producers andcogenerators. Additional provisions pertain-ing to cogeneration are set forth in 4 CSR240-20.060.

(1) Terms defined in the Public Utility Regu-latory Policies Act of 1978 (PURPA) shallhave the same meaning for purposes of thisrule as they have under PURPA, unless fur-ther defined in this rule.

(2) All regulated electric utilities shall—(A) File tariffs providing standardized rates

for facilities at or under one hundred (100)kilowatts on design capacity. The tariffs are totake account of the stochastic effect achievedby the aggregate output of dispersed smallsystems, that is, statistically a dispersed arrayof facilities may produce a level of reliabilitynot enjoyed by any one (1) of the units takenseparately. When that aggregate capacityvalue which allows the utility to avoid acapacity cost occurs and can be reasonablyestimated, a corresponding credit must beincluded in the standard rates. The tariffsshould take into account patterns of availabil-ity of particular energy sources such as thebenefits to a summer peaking utility fromphotovoltaic systems or to a winter peakingutility for wind facilities. For the purposes ofthis rule, rate means any price, rate, chargeor classification made, demanded, observedor received with respect to the sale or pur-chase of electric energy or capacity or anyrule or practice respecting any such rate,charge or classification and any contract per-taining to the sale or purchase of electricenergy or capacity;

(B) Submit a standard form contract forfacilities over one hundred (100) kilowatts asthe basis for tariffs for these facilities. Issuessuch as avoided costs, losses, reliability andability to schedule are to be considered in thecontract.

(3) All tariffs and other data required to beprepared and filed by electric utilities underthe provisions of section (2) shall be submit-ted no later than January 15, 2005, andupdated and revised on or before January 15of every odd-numbered year after that, unlessotherwise ordered by the commission.

(4) In order to make available data fromwhich avoided costs may be derived, not laterthan January 15, 2005, and on or before Jan-uary 15 of every odd-numbered year afterthat, unless otherwise ordered by the com-mission, each regulated electric utility shallprovide to the commission and shall maintainfor public inspection the following data:

(A) The estimated avoided cost on the elec-tric utility’s system, solely with respect to theenergy component, for various levels of pur-chases from qualifying facilities. These levels

of purchases shall be stated in blocks of notmore than one hundred (100) megawatts forsystems with peak demand of one thousand(1,000) megawatts or more, and in blocksequivalent to not more than ten percent (10%)of the system peak demand for systems of lessthan one thousand (1,000) megawatts. Theavoided costs shall be stated on a cents perkilowatt-hour basis, during daily and seasonalpeak and off-peak periods, by year, for thecurrent calendar year and each of the nextfive (5) years;

(B) The electric utility’s plans for the addi-tion of capacity by amount and type, for pur-chases of firm energy and capacity and forcapacity retirements for each year during thesucceeding ten (10) years; and

(C) The estimated capacity costs at com-pletion of the planned capacity additions andplanned capacity firm purchases, on the basisof dollars per kilowatt and the associatedenergy costs of each unit, expressed in centsper kilowatt hour. These costs shall beexpressed in terms of individual generatingunits and of individual planned firm purchas-es.

(5) Special Rule for Small Electric Utilities.(A) Each electric utility (other than any

electric utility to which paragraph (5)(A)2.applies) upon request shall—

1. Provide comparable data to thatrequired under section (4) to enable qualify-ing facilities to estimate the electric utility’savoided costs for periods described in section(4); or

2. With regard to an electric utilitywhich is legally obligated to obtain all itsrequirements for electric energy and capacityfrom another electric utility, provide the dataof its supplying utility and the rates at whichit currently purchases the energy and capaci-ty.

(B) If any such electric utility fails to pro-vide this information on request, the qualify-ing facility may apply to the Public ServiceCommission for an order requiring that theinformation be provided.

(6) Commission Review.(A) Any data submitted by an electric util-

ity under this section shall be subject toreview by the commission.

(B) In any such review, the electric utilityhas the burden of coming forward with justi-fication for its projections.

(7) Implementation of Certain ReportingRequirements. Any electric utility which failsto comply with the requirements of subsec-tion (1)(B) shall be subject to the same penal-ties to which it may be subjected for failure tocomply with the requirements of the FederalEnergy Regulatory Commission’s (FERC’s)regulations issued under Section 133 of

PURPA.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003. Amended:Filed July 25, 2003, effective March 30,2004.


4 CSR 240-3.156 Electric Utility Renew-able Energy Standard Filing Requirements

PURPOSE: This rule provides a reference tothe commission’s electric utilities ruleregarding this subject.

(1) The requirements for filings regarding theelectric utility renewable energy standard arecontained in commission rule 4 CSR 240-20.100.

AUTHORITY: section 393.1030, RSMo Supp.2009 and sections 386.040 and 386.250,RSMo 2000.* Original rule filed Jan. 8,2010, effective Sept. 30, 2010.

*Original authority: 386.040, RSMo 1939; 386.250,

RSMo 1939, amended 1963, 1967, 1977, 1980, 1987,

1988, 1991, 1993, 1995, 1996; and 393.1030, RSMo

2007, amended 2008.

4 CSR 240-3.160 Filing Requirements forElectric Utility General Rate IncreaseRequests

PURPOSE: This rule prescribes informationwhich must be filed by all electric utilitieswhen filing for a general company-wideincrease in rates. As noted in the rule, addi-tional provisions pertaining to the filingrequirements for general rate increaserequests are found at 4 CSR 240-3.030.

(1) In addition to the requirements of 4 CSR240-3.030, any electric utility which submitsa general rate increase request shall submitthe following:

(A) Its depreciation study, database andproperty unit catalog. However, an electricutility need not submit a depreciation study,database or property unit catalog to the extentthat the commission’s staff received theseitems from the utility during the three (3)years prior to the utility filing for a generalrate increase or before five (5) years haveelapsed since the last time the commission’sstaff received a depreciation study, databaseand property unit catalog from the utility. The



depreciation study, database and propertyunit catalog shall be compiled as follows:

1. The study shall reflect the average lifeand remaining life of each primary plantaccount or subaccount;

2. The database shall consist of dollaramounts, by plant account or subaccount,representing—

A. Annual dollar additions and dollarretirements by vintage year and year retired,beginning with the earliest year of availabledata;

B. Reserve for depreciation;C. Surviving plant balance as of the

study date; andD. Estimated date of final retirement

and surviving dollar investment for eachwarehouse, electric generating facility, com-bustion turbine, general office building orother large structure; and

3. The property unit catalog shall con-tain a description of each retirement unit usedby the utility.



4 CSR 240-3.161 Electric Utility Fuel andPurchased Power Cost Recovery Mecha-nisms Filing and Submission Requirements

PURPOSE: This rule sets forth the informa-tion that an electric utility must provide whenit seeks to establish, continue, modify, or dis-continue and/or true-up its rate adjustmentmechanism (i.e., fuel and purchased poweradjustment clause or interim energy charge).It also sets forth the requirements for the sub-mission of Surveillance Monitoring Reportsas required for electric utilities that have arate adjustment mechanism.

(1) As used in this rule, the following termsmean:

(A) Fuel and purchased power costs meansprudently incurred and used fuel and pur-chased power costs, including transportationcosts. Prudently incurred costs do not includeany increased costs resulting from negligentor wrongful acts or omissions by the utility.If not inconsistent with a commissionapproved incentive plan, fuel and purchasedpower costs also include prudently incurredactual costs of net cash payments or receiptsassociated with hedging instruments tied tospecific volumes of fuel and associated trans-portation costs.

1. If off-system sales revenues are not

reflected in the rate adjustment mechanism(RAM), fuel and purchased power cost onlyreflect the prudently incurred fuel and pur-chased power costs necessary to serve theelectric utility’s Missouri retail customers.

2. If off-system sales revenues arereflected in the RAM, fuel and purchasedpower costs reflect both:

A. The prudently incurred fuel andpurchased power costs necessary to serve theelectric utility’s Missouri retail customers;and

B. The prudently incurred fuel andpurchased power costs associated with theelectric utility’s off-system sales;

(B) Fuel adjustment clause (FAC) means amechanism established in a general rate pro-ceeding that allows periodic rate adjustments,outside a general rate proceeding, to reflectincreases and decreases in an electric utility’sprudently incurred fuel and purchased powercosts. The FAC may or may not include off-system sales revenues and associated costs.The commission shall determine whether ornot to reflect off-system sales revenues andassociated costs in a FAC in the general rateproceeding that establishes, continues ormodifies the FAC;

(C) General rate proceeding means a gen-eral rate increase proceeding or complaintproceeding before the commission in whichall relevant factors that may affect the costs,or rates and charges of the electric utility areconsidered by the commission;

(D) Interim energy charge (IEC) means arefundable fixed charge, established in a gen-eral rate proceeding, that permits an electricutility to recover some or all of its fuel andpurchased power costs separate from its baserates. An IEC may or may not include off-system sales and revenues and associatedcosts. The commission shall determinewhether or not to reflect off-system sales rev-enues and associated costs in an IEC in thegeneral rate proceeding that establishes, con-tinues or modifies the IEC;

(E) Rate adjustment mechanism (RAM)means either a fuel adjustment clause (FAC)or an interim energy charge (IEC);

(F) Staff means the staff of the Public Ser-vice Commission; and

(G) True-up year means the twelve (12)-month period beginning on the first day of thefirst calendar month following the effectivedate of the commission order approving aRAM unless the effective date is on the firstday of the calendar month. If the effectivedate of the commission order approving a ratemechanism is on the first day of a calendarmonth, then the true-up year begins on theeffective date of the commission order. Thefirst annual true-up period shall end on the

last day of the twelfth calendar month follow-ing the effective date of the commission orderestablishing the RAM. Subsequent true-upyears shall be the succeeding twelve (12)-month periods. If a general rate proceeding isconcluded prior to the conclusion of a true-upyear the true-up year may be less than twelve(12) months.

(2) When an electric utility files to establisha RAM as described in 4 CSR 240-20.090(2), the electric utility shall file thefollowing supporting information as part of,or in addition to, its direct testimony:

(A) An example of the notice to be provid-ed to customers as required by 4 CSR 240-20.090(2)(D);

(B) An example customer bill showing howthe proposed RAM shall be separately identi-fied on affected customers’ bills in accor-dance with 4 CSR 240-20.090(8);

(C) Proposed RAM rate schedules;(D) A general description of the design and

intended operation of the proposed RAM;(E) A complete explanation of how the

proposed RAM is reasonably designed toprovide the electric utility a sufficient oppor-tunity to earn a fair return on equity;

(F) A complete explanation of how the pro-posed FAC shall be trued-up to reflect over-or under-collections, or the refundable por-tion of the proposed IEC shall be trued-up,on at least an annual basis;

(G) A complete description of how the pro-posed RAM is compatible with the require-ment for prudence reviews;

(H) A complete explanation of all the coststhat shall be considered for recovery underthe proposed RAM and the specific accountused for each cost item on the electric utili-ty’s books and records;

(I) A complete explanation of all the rev-enues that shall be considered in the determi-nation of the amount eligible for recoveryunder the proposed RAM and the specificaccount where each such revenue item isrecorded on the electric utility’s books andrecords;

(J) A complete explanation of any incentivefeatures designed in the proposed RAM andthe expected benefit and cost each feature isintended to produce for the electric utility’sshareholders and customers;

(K) A complete explanation of any ratevolatility mitigation features designed in theproposed RAM;

(L) A complete explanation of any featuredesigned into the proposed RAM or anyexisting electric utility policy, procedure, orpractice that can be relied upon to ensure thatonly prudent costs shall be eligible for recov-ery under the proposed RAM;


Secretary of State


(M) A complete explanation of the specificcustomer class rate design used to design theproposed RAM base amount in permanentrates and any subsequent rate adjustmentsduring the term of the proposed RAM;

(N) A complete explanation of any changein business risk to the electric utility resultingfrom implementation of the proposed RAMin setting the electric utility’s allowed returnin any rate proceeding, in addition to anyother changes in business risk experienced bythe electric utility;

(O) The supply-side and demand-sideresources that the electric utility expects touse to meet its loads in the next four (4) true-up years, the expected dispatch of thoseresources, the reasons why these resourcesare appropriate for dispatch and the heat ratesand fuel types for each supply-side resource;in submitting this information, it is recog-nized that supply- and demand-side resourcesand dispatch may change during the next four(4) true-up years based upon changing cir-cumstances and parties will have the opportu-nity to comment on this information after it isfiled by the electric utility;

(P) A proposed schedule and testing planwith written procedures for heat rate testsand/or efficiency tests for all of the electricutility’s nuclear and non-nuclear generators,steam, gas, and oil turbines and heat recoverysteam generators (HRSG) to determine thebase level of efficiency for each of the units;

(Q) Information that shows that the electricutility has in place a long-term resource plan-ning process, important objectives of whichare to minimize overall delivered energy costsand provide reliable service;

(R) If emissions allowance costs or salesmargins are included in the RAM request andnot in the electric utility’s environmental costrecovery surcharge, a complete explanationof forecasted environmental investments andallowances purchases and sales; and

(S) Authorization for the commission staffto release the previous five (5) years of his-torical surveillance reports submitted to thecommission staff by the electric utility to allparties to the case.

(3) When an electric utility files a generalrate proceeding following the general rateproceeding that established its RAM asdescribed by 4 CSR 240-20.090(2) in whichit requests that its RAM be continued ormodified, the electric utility shall file withthe commission and serve parties, as provid-ed in sections (9) through (11) in this rule thefollowing supporting information as part of,or in addition to, its direct testimony:

(A) An example of the notice to be provid-ed to customers as required by 4 CSR 240-

20.090(2)(D);(B) If the electric utility proposes to

change the identification of the RAM on thecustomer’s bill, an example customer billshowing how the proposed RAM shall be sep-arately identified on affected customers’bills, including the proposed language, inaccordance with 4 CSR 240-20.090(8);

(C) Proposed RAM rate schedules;(D) A general description of the design and

intended operation of the proposed RAM;(E) A complete explanation of how the

proposed RAM is reasonably designed toprovide the electric utility a sufficient oppor-tunity to earn a fair return on equity;

(F) A complete explanation of how the pro-posed FAC shall be trued-up to reflect over-or under-collections, or the refundable por-tion of the proposed IEC shall be trued-up,on at least an annual basis;

(G) A complete description of how the pro-posed RAM is compatible with the require-ment for prudence reviews;

(H) A complete explanation of all the coststhat shall be considered for recovery underthe proposed RAM and the specific accountused for each cost item on the electric utili-ty’s books and records;

(I) A complete explanation of all the rev-enues that shall be considered in the determi-nation of the amount eligible for recoveryunder the proposed RAM and the specificaccount where each such revenue item isrecorded on the electric utility’s books andrecords;

(J) A complete explanation of any incentivefeatures designed in the proposed RAM andthe expected benefit and cost each feature isintended to produce for the electric utility’sshareholders and customers;

(K) A complete explanation of any ratevolatility mitigation features in the proposedRAM;

(L) A complete explanation of any featuredesigned into the proposed RAM or anyexisting electric utility policy, procedure, orpractice that can be relied upon to ensure thatonly prudent costs shall be eligible for recov-ery under the proposed RAM;

(M) A complete explanation of the specificcustomer class rate design used to design theproposed RAM base amount in permanentrates and any subsequent rate adjustmentsduring the term of the proposed RAM;

(N) A complete explanation of any changein business risk to the electric utility resultingfrom implementation of the proposed RAMin setting the electric utility’s allowed returnin any rate proceeding, in addition to anyother changes in business risk experienced bythe electric utility;

(O) A description of how responses to sub-

sections (B) through (N) differ from respons-es to subsections (B) through (N) for the cur-rently approved RAM;

(P) The supply-side and demand-sideresources that the electric utility expects touse to meet its loads in the next four (4) true-up years, the expected dispatch of thoseresources, the reasons why these resourcesare appropriate for dispatch and the heat ratesand fuel types for each supply-side resource;in submitting this information, it is recog-nized that supply- and demand-side resourcesand dispatch may change during the next four(4) true-up years based upon changing cir-cumstances and parties will have the opportu-nity to comment on this information after it isfiled by the electric utility;

(Q) The results of heat rate tests and/orefficiency tests on all the electric utility’snuclear and non-nuclear steam generators,HRSG, steam turbines and combustion tur-bines conducted within the previous twenty-four (24) months;

(R) Information that shows that the electricutility has in place a long-term resource plan-ning process, important objectives of whichare to minimize overall delivered energy costsand provide reliable service;

(S) If emissions allowance costs or salesmargins are included in the RAM request andnot in the electric utility’s environmental costrecovery surcharge, a complete explanationof forecasted environmental investments andallowances purchases and sales; and

(T) Any additional information that mayhave been ordered by the commission to beprovided in the previous general rate proceed-ing.

(4) When an electric utility files a generalrate proceeding following the general rateproceeding that established its RAM asdescribed in 4 CSR 240-20.090(2) in whichit requests that its RAM be discontinued, theelectric utility shall file with the commissionand serve parties as provided in sections (9)through (11) in this rule, the following sup-porting information as part of, or in additionto, its direct testimony:

(A) An example of the notice to be providedto customers as required by 4 CSR 240-20.090(3)(C);

(B) A complete explanation of how theover-collection or under-collections of theFAC or the over-collections of the IEC thatthe electric utility is proposing to discontinueshall be handled;

(C) A complete explanation of why theRAM is no longer necessary to provide theelectric utility a sufficient opportunity to earna fair return on equity;

(D) A complete explanation of any change



in business risk to the electric utility resultingfrom discontinuation of the adjustmentmechanism in setting the electric utility’sallowed return, in addition to any otherchanges in business risk experienced by theelectric utility; and

(E) Any additional information that mayhave been ordered by the commission to beprovided.

(5) Each electric utility with a RAM shallsubmit, with an affidavit attesting to theveracity of the information, the followinginformation on a monthly basis to the audit-ing manager of the commission, the Office ofthe Public Counsel (OPC) and others, as pro-vided in sections (9) through (11) in this rule.This submittal to the commission may bemade through the commission’s electronicfiling and information system (EFIS). Thefollowing information shall be aggregated bymonth and supplied no later than sixty (60)days after the end of the month being report-ed on when the RAM is in effect. The firstsubmission shall be made within sixty (60)days after the end of the first complete monthafter the RAM goes into effect. It shall con-tain, at a minimum:

(A) The revenues billed pursuant to theRAM by rate class and voltage level;

(B) The revenues billed through the elec-tric utility’s base rate allowance by rate classand voltage level;

(C) The electric utility’s actual fuel andpurchased power costs allocated by rate classand voltage level using commission approvedallocation methods;

(D) All significant factors that have affect-ed the level of RAM revenues and fuel andpurchased power expenses along with work-papers documenting these significant factors;

(E) The difference, by rate class and volt-age level, between the total fuel and pur-chased power revenues collected through baserates and the RAM and the fuel and pur-chased power expenses incurred;

(F) Off-system sales revenue;(G) Off-system sales expenses;(H) Off-system megawatt-hour sales;(I) Megawatt-hours generated, fuel con-

sumption and expense, and heat rates by gen-erating facility;

(J) Megawatt-hours purchased with firmand non-firm purchases separately stated;

(K) Prices of fuel purchased by fuel typebreaking out freight and transportationprices;

(L) The electric utility’s monthly fuelreport. If the electric utility proposes tochange the contents or name of the fuelreports, staff, OPC and others that receivethe information will be contacted thirty (30)

days in advance of the change and notified ofsuch actions. Staff, OPC and others thatreceive the information shall have the oppor-tunity to discuss the further availability ofsuch information. Specifically the monthlyfuel reports are identified as:

1. Kansas City Power and Light Compa-ny Report 25: Fuel Statistics

2. The Empire District Electric Compa-ny Fuel Report

3. Aquila Networks—L&P MonthlyProduction Statistics

4. Aquila Networks—MPS MonthlyProduction Statistics

5. AmerenUE—AmerenUE SB 179 FuelReport; and

(M) Any additional information ordered bythe commission to be provided;

(N) To the extent any of the requestedinformation outlined above is provided inresponse to one section, the provision of suchinformation only needs to be provided once.

(6) Each electric utility with a RAM shallsubmit, with an affidavit attesting to theveracity of the information, a SurveillanceMonitoring Report, which shall be treated ashighly confidential, as required in 4 CSR240-20.090(10) to the manager of the audit-ing department of the commission, OPC andothers as provided in sections (9) through(11) in this rule. The submittal to the com-mission may be made through EFIS.

(A) There are five (5) parts to the electricutility Surveillance Monitoring Report. Eachpart, except Part one, Rate Base Quantifica-tions, shall contain information for the lasttwelve (12)-month period and the last quarterdata for total company electric operations andMissouri jurisdictional operations. Page one,Rate Base Quantifications shall contain onlyinformation for the ending date of the periodbeing reported. The form of the SurveillanceMonitoring Report form is included herein.

1. Rate Base Quantifications Report.The quantification of rate base items on pageone shall be consistent with the methods orprocedures used in the most recent rate pro-ceeding unless otherwise specified. Thereport shall consist of specific rate base quan-tifications of:

A. Plant in service;B. Reserve for depreciation;C. Materials and supplies;D. Cash working capital;E. Fuel inventory;F Prepayments;G. Other regulatory assets;H. Customer advances;I. Customer deposits;J. Accumulated deferred income

taxes;

K. Any other item included in theutility’s rate base in the most recent rate pro-ceeding;

L. Net Operating Income from pagethree; and

M. Calculation of the overall returnon rate base.

2. Capitalization Quantifications Report.Page two shall consist of specific capitaliza-tion quantifications of:

A. Common stock equity (net);B. Preferred stock (par or stated value

outstanding);C. Long-term debt (including current

maturities);D. Short-term debt; andE. Weighted cost of capital including

component costs.3. Income Statement. Page three shall

consist of an income statement containingspecific quantification of:

A. Operating revenues to includesales to industrial, commercial and residen-tial customers, sales for resale and othercomponents of total operating revenues;

B. Operating and maintenanceexpenses for fuel expense, productionexpenses, purchased power energy and capac-ity;

C. Transmission expenses;D. Distribution expenses;E. Customer accounts expenses;F. Customer service and information

expenses;G. Sales expenses;H. Administrative and general

expenses;I. Depreciation, amortization and

decommissioning expense;J. Taxes other than income taxes;K. Income taxes; andL. Quantification of heating degree

and cooling degree days, actual and normal;4. Jurisdictional Allocation Factor

Report. Page four shall consist of a listing ofjurisdictional allocation factors for the ratebase, capitalization quantification reports andincome statement.

5. Financial Data Notes. Page five shallconsist of notes to financial data including,but not limited to:

A. Out of period adjustments;B. Specific quantification of material

variances between actual and budget financialperformance;

C. Material variances between cur-rent twelve (12)-month period and priortwelve (12)-month period revenue;

D. Expense level of items ordered bythe commission to be tracked pursuant to theorder establishing the RAM;

E. Budgeted capital projects; and


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F. Events that materially affect debtor equity surveillance components.

(B) The Surveillance Monitoring Reportshall contain any additional informationordered by the commission to be provided.

(C) The electric utility shall annually sub-mit its approved budget, in electronic form,based upon its budget year in a format similarto Surveillance Monitoring Report. The bud-get submission shall provide a quarterly andannual quantification of the electric utility’sincome statement. The budget shall be sub-mitted within thirty (30) days of its approvalby the electric utility’s management or withinsixty (60) days of the beginning of the electricutility’s fiscal year, whichever is earliest. Thebudget submission shall be highly confiden-tial.

(7) When an electric utility files tariff sched-ules to adjust an FAC rate as described in 4CSR 240-20.090(4) with the commission,and served upon parties as provided in sec-tions (9) through (11) in this rule, the tariffschedule must be accompanied by supportingtestimony, and at least the following support-ing information:

(A) The following information shall beincluded with the filing:

1. For the period from which historicalcosts are used to adjust the FAC rate:

A. Energy sales in kilowatt-hours byrate class and voltage level;

B. Fuel costs by fuel type and gener-ating facility by fuel type included in fuel andpurchased power costs in the FAC rate andthe base rates; and

C. Purchased power costs included infuel and purchased power costs with costsdifferentiated by:

(I) Short-term and long-term pur-chased power contracts, where long-term isdefined as contracts with terms greater thanone (1) year;

(II) On-peak and off-peak costs;and

(III) Demand and energy costs,separately stated;

D. Market purchased megawatt-hoursand costs included in fuel and purchasedpower costs;

E. Revenues from, expenses associat-ed with and megawatt-hours from off-systemsales;

F. Extraordinary costs not to bepassed through, if any, due to such costsbeing an insured loss, or subject to reductiondue to litigation or for any other reason;

G. Base rate component of fuel andpurchased power costs and revenues from off-system sales; and

H. Any additional requirements

ordered by the commission;2. Calculation of the proposed FAC col-

lection rates;3. Calculations supporting the voltage

differentiation of the FAC collection rates, ifany, to account for differences in line lossesby voltage level of service; and

4. Calculations underlying any seasonalvariation in the FAC collection rates; and

(B) Workpapers supporting all items insubsection (A) shall be submitted to the com-mission, and served upon parties as providedin sections (9) through (11) in this rule. Thissubmittal to the commission may be madethrough EFIS.

(8) When an electric utility that has a RAMfiles its application containing its annual true-up with the commission, as described in 4CSR 240-20.090(5), any rate schedule filingmust be accompanied by supporting testimo-ny, and the electric utility shall:

(A) File the following information with thecommission and serve upon parties as provid-ed in sections (9) through (11) in this rule:

1. Amount of costs that it has over-col-lected or under-collected through the RAMby rate class and voltage level;

2. Proposed adjustments or refunds byrate class and voltage level;

3. Electric utility’s short-term borrow-ing rate; and

4. Any additional information orderedby the commission; and

(B) Submit the following information to thecommission and served upon the parties asprovided in sections (9) through (11) in thisrule. This submittal to the commission maybe made through EFIS.

1. Workpapers detailing how the deter-mination of the over-collection or under-col-lection of costs through the RAM was madeincluding any model inputs and outputs andthe derivation of any model inputs;

2. Workpapers detailing the proposedadjustments or refunds;

3. Basis for the electric utility’s short-term borrowing rate; and

4. Any additional information orderedby the commission to be provided.

(9) Providing to other parties items requiredto be filed or submitted in preceding sections(3) through (8). Information required to befiled with the commission or submitted to themanager of the auditing department of thecommission and to OPC in sections (3)through (8) shall also be, in the same format,served on or submitted to any party to therelated general rate proceeding in which theRAM was approved by the commission, peri-odic rate adjustment proceeding, annual true-up, prudence review, or general rate case to

modify, extend or discontinue the sameRAM, pursuant to the provisions of a com-mission protective order, unless the commis-sion’s protective order specifically providesotherwise relating to these sections of thecommission’s rule on RAMs.

(10) Party status and providing to other par-ties affidavits, testimony, information, reportsand workpapers in related proceedings subse-quent to general rate proceeding establishingRAM.

(A) A person or entity granted interventionin a general rate proceeding in which a RAMis approved by the commission, shall be aparty to any subsequent related periodic rateadjustment proceeding, annual true-up orprudence review, without the necessity ofapplying to the commission for intervention.In any subsequent general rate proceeding,such person or entity must seek and be grant-ed status as an intervenor to be a party to thatcase. Affidavits, testimony, information,reports, and workpapers to be filed or sub-mitted in connection with a subsequent relat-ed periodic rate adjustment proceeding,annual true-up, prudence review, or generalrate case to modify, extend or discontinue thesame RAM shall be served on or submitted toall parties from the prior related general rateproceeding and on all parties from any subse-quent related periodic rate adjustment pro-ceeding, annual true-up, prudence review, orgeneral rate case to modify, extend or discon-tinue the same RAM, concurrently with fil-ing the same with the commission or submit-ting the same to the manager of the auditingdepartment of the commission and OPC, pur-suant to the provisions of a commission pro-tective order, unless the commission’s protec-tive order specifically provides otherwiserelating to these materials.

(B) A person or entity not a party to thegeneral rate proceeding in which a RAM isapproved by the commission may timelyapply to the commission for intervention,pursuant to 4 CSR 240-2.075(2) through (4)of the commission’s rule on intervention,respecting any related subsequent periodicrate adjustment proceeding, annual true-up,or prudence review, or, pursuant to 4 CSR240-2.075(1) through (5), respecting any sub-sequent general rate case to modify, extend ordiscontinue the same RAM. If no party to asubsequent periodic rate adjustment proceed-ing, annual true-up, or prudence review,objects within ten (10) days of the filing of anapplication for intervention, the applicantshall be deemed as having been granted inter-vention without a specific commission ordergranting intervention, unless within theabove-referenced ten (10)-day period the




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commission denies the application forintervention on its own motion. If an objec-tion to the application for intervention is filedon or before the end of the above-referencedten (10)-day period, the commission shallrule on the application and the objectionwithin ten (10) days of the filing of the objec-tion.

(11) Issuance of Protective Orders and Dis-covery.

(A) In each general rate proceeding wherethe commission may approve, modify, orreject a RAM, and each general rate casewhere the commission may authorize themodification, extension, or discontinuance ofa RAM, the electric utility or the com-plainant, depending upon which entity initi-ates the case, shall file a motion for commis-sion issuance of a protective order. Theprotective order shall, among other things,provide that the results of discovery may beused in any subsequent periodic rate adjust-ment proceeding, annual true-up, or pru-dence review without a party resubmitting thesame discovery requests (data requests, inter-rogatories, requests for production, requestsfor admission, or depositions) in the subse-quent proceeding to parties that produced thediscovery in the prior proceeding, subject toa ruling by the commission concerning anyevidentiary objection made in the subsequentproceeding.

(B) The commission shall establish a newcase for each mutually exclusive twelve (12)-month period encompassing an annual true-up, prudence review and possible periodicrate adjustments, upon the filing of the firstpleading or rate schedule respecting suchannual true-up, prudence review or periodicrate adjustments, and shall issue a new pro-tective order, pursuant to 4 CSR 240-2.085,to apply in the proceeding without the neces-sity of any party applying for a protectiveorder. This new protective order shall beidentical to the protective order in the imme-diately preceding related case, unless theelectric utility or other party files and servesupon the parties in the immediately precedingrelated case, at least thirty (30) days prior tothe filing of the first pleading or rate schedulerespecting the annual true-up, prudencereview and possible periodic rate adjust-ments, encompassing an appropriate twelve(12)-month period, a proposed new protec-tive order for commission consideration. Ifthe commission does not rule on the requestfor a proposed new protective order by thetime that information sought to be protectedis provided to another party or filed with thecommission, the information shall be provid-ed or filed at the level of protection designat-

ed by the providing or filing party.(C) If an electric utility or other party files

for a new protective order less than thirty(30) days prior to the filing of the first plead-ing or rate schedule respecting an annualtrue-up, prudence review or possible periodicrate adjustments, encompassing an appropri-ate twelve (12)-month period, the commis-sion shall initially issue a protective orderidentical to the protective order in the imme-diately preceding related case to be in effectwhile the commission considers responsesand decides whether the new protective orderproposed by the electric utility or other partyshall be adopted for any additional material tobe disclosed by parties in the proceeding inquestion.

(D) Subsequent protective orders shallauthorize use of the results of discovery fromany preceding proceeding relating to the sameRAM, without a party resubmitting the samediscovery requests (data requests, interroga-tories, requests for production, requests foradmission, or depositions) in the subsequentproceeding to parties that produced the dis-covery in the earlier proceeding, subject to aruling by the commission concerning any evi-dentiary objection made in the subsequentproceeding.

(12) Supplementing and updating datarequests in subsequent related proceedings. Ifa party which submitted data requests relat-ing to a proposed RAM in the general rateproceeding where the RAM was establishedor in the general rate proceeding where thesame RAM was modified or extended, or inany subsequent related periodic rate adjust-ment proceeding, annual true-up, or pru-dence review, wants the responding party towhom the prior data requests were submittedto supplement or update that respondingparty’s prior responses for possible use in asubsequent related periodic rate adjustmentproceeding, annual true-up, prudence reviewor general rate case to modify, extend or dis-continue the same RAM, the party whichpreviously submitted the data requests shallsubmit an additional data request to theresponding party to whom the data requestswere previously submitted which clearlyidentifies the particular data requests to besupplemented or updated and the particularperiod to be covered by the updated response.A responding party to a request to supple-ment or update shall supplement or update adata request response, from a related generalrate proceeding where a RAM was estab-lished, a general rate case where the sameRAM was modified or extended, or a relatedperiodic rate adjustment proceeding, annualtrue-up, or prudence review that the respond-

ing party has learned or subsequently learnsis in some material respect incomplete orincorrect.

(13) Separate cases for each general rate pro-ceeding involving a RAM and for each mutu-ally exclusive twelve (12)-month annual true-up period of a RAM. Each general rateproceeding where the commission mayapprove, modify, or reject a RAM; each gen-eral rate case where the commission mayauthorize the modification, extension, or dis-continuance of a RAM; and each mutuallyexclusive twelve (12)-month period of aRAM that encompasses an annual true-up,prudence review, and possible periodic rateadjustments shall comprise a separate case.

(14) For the purposes of this rule, a RAM(even if continued in substantially the formapproved in the previous general rate pro-ceeding) shall be considered to be a new dis-tinct RAM after each general rate proceedingrequired by section 386.266.4(3), RSMo or ifit were modified or extended in a general ratecase.

(15) Right to Discovery Unaffected. Inaddressing certain discovery matters and theprovision of certain information by electricutilities, this rule is not intended to restrictthe discovery rights of any party.

(16) Waivers. Provisions of this rule may bewaived by the commission for good causeshown.

(17) Rule Review. The commission shallreview the effectiveness of this rule by nolater than December 31, 2010, and may, if itdeems necessary, initiate rulemaking pro-ceedings to revise this rule.


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Secretary of State


AUTHORITY: sections 386.250 and 393.140,RSMo 2000 and 386.266, RSMo Supp.2005.* Original rule filed June 16, 2006,effective Jan. 30, 2007.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 386.266, RSMo 2005 and 393.140, RSMo 1939,amended 1949, 1967.

4 CSR 240-3.162 Electric Utility Environ-mental Cost Recovery Mechanisms Filingand Submission Requirements

PURPOSE: This rule implements the provi-sions of Senate Bill 179, codified at section386.266, RSMo Supp. 2008, which permitsthe commission to authorize the inclusion ofan environmental cost recovery mechanism inutility rates.


(A) EFIS means the electronic filing andinformation system of the commission;

(B) Electric utility means electrical corpo-ration as defined in section 386.020, RSMo,subject to commission regulation pursuant toChapters 386 and 393, RSMo;

(C) Environmental compliance plan meansa twenty (20)-year forecast of environmentalcompliance investments and a detailed four(4)-year plan for complying with federal,state, and local environmental laws, regula-tions, and rules. The four (4)-year plan willinclude plans to use emission allowances forcompliance, plans for emission allowancetransactions, and, on a generation unit basis,plans for investments in emission controlequipment. The environmental complianceplan shall be consistent with the implementa-tion plan of the most recent resource plan fil-ing except as otherwise explained by the elec-tric utility. Approval of an EnvironmentalCost Recovery Mechanism (ECRM) does notimply approval or predetermination of pru-dence of the environmental compliance plan;

(D) Environmental Cost Recovery Mecha-nism (ECRM) means a mechanism estab-lished in a general rate proceeding that allowsperiodic rate adjustments, outside a generalrate proceeding, to reflect the net increases ordecreases in an electric utility’s environmen-tal revenue requirement, plus additional envi-ronmental costs incurred since the prior gen-eral rate proceeding;

(E) Environmental costs means prudentlyincurred costs, both capital and expense,directly related to compliance with any feder-al, state, or local environmental law, regula-tion, or rule.

1. Environmental costs do not include

fuel and purchased power costs as defined in4 CSR 240-3.161(1)(A).

2. Prudently incurred costs do notinclude any increased costs resulting fromnegligent or wrongful acts or omissions bythe utility;

(F) The environmental revenue require-ment shall be comprised of the following:

1. All expensed environmental costs(other than taxes and depreciation associatedwith capital projects) that are included in theelectric utility’s revenue requirement in thegeneral rate proceeding in which the ECRMis established; and

2. The costs (i.e., the return, taxes, anddepreciation) of any major capital projectswhose primary purpose is to permit the elec-tric utility to comply with any federal, state,or local environmental law, regulation, orrule. Representative examples of such capitalprojects to be included (as of the date ofadoption of this rule) are electrostatic precip-itators, fabric filters, nitrous oxide emissionscontrol equipment, and flue gas desulfuriza-tion equipment. The costs of such capital pro-jects shall be those identified on the electricutility’s books and records as of the last dayof the test year, as updated, utilized in thegeneral rate proceeding in which the ECRMis established;

(G) General rate proceeding means a gen-eral rate increase proceeding or complaintproceeding before the commission in whichall relevant factors that may affect the costs,or rates and charges, of the electric utility areconsidered by the commission; and

(H) Rate class is a customer class definedin an electric utility’s tariff. Generally, rateclasses include Residential, Small GeneralService, Large General Service, and LargePower Service, but may include additionalrate classes. Each rate class includes all cus-tomers served under all variations of the rateschedules available to that class.

(2) When an electric utility files to establishan ECRM as described in 4 CSR 240-20.091(2), the electric utility shall file thefollowing supporting information as part of,or in addition to, its direct testimony:

(A) An example of the notice to be provid-ed to customers as required by 4 CSR 240-20.091(2)(E);

(B) An example customer bill showing howthe proposed ECRM shall be separately iden-tified on affected customers’ bills in accor-dance with 4 CSR 240-20.091(8);

(C) Proposed ECRM rate schedules;(D) A general description of the design and

intended operation of the proposed ECRM;(E) A complete explanation of how the

proposed ECRM is reasonably designed to

provide the electric utility a sufficient oppor-tunity to earn a fair return on equity;

(F) A complete explanation of how the pro-posed ECRM shall be trued-up to reflectover- or under-collections on at least anannual basis;

(G) A complete description of how the pro-posed ECRM is compatible with the require-ment for prudence reviews;

(H) A complete explanation of all the coststhat shall be considered for recovery underthe proposed ECRM and the specific accountused for each cost item on the electric utili-ty’s books and records;

(I) A complete explanation of all of thecosts, both capital and expense, incurred tocomply with any current federal, state, orlocal environmental law, regulation, or rulethat the electric utility is proposing be includ-ed in base rates and the specific account usedfor each cost item on the electric utility’sbooks and records;

(J) A complete explanation of all the rev-enues that shall be considered in the determi-nation of the amount eligible for recoveryunder the proposed ECRM and the specificaccount where each such revenue item isrecorded on the electric utility’s books andrecords;

(K) A complete explanation of any featuredesigned into the proposed ECRM or anyexisting electric utility policy, procedure, orpractice that can be relied upon to ensure thatonly prudent costs shall be eligible for recov-ery under the proposed ECRM;

(L) For each of the major categories ofcosts that the electric utility seeks to recoverthrough its proposed ECRM, a completeexplanation of the specific rate class cost allo-cations and rate design used to calculate theproposed environmental revenue requirementand any subsequent ECRM rate adjustmentsduring the term of the proposed ECRM;

(M) A complete explanation of any changein business risk to the electric utility resultingfrom implementation of the proposed ECRMin setting the electric utility’s allowed returnin any rate proceeding, in addition to anyother changes in business risk experienced bythe electric utility;

(N) The electric utility’s environmentalcompliance plan including a completedescription of—

1. The electric utility’s long-term envi-ronmental compliance planning process;

2. The analysis performed to develop theelectric utility’s environmental complianceplan; and

3. If the environmental compliance planis inconsistent with the electric utility’s mostrecent resource plan filing, a detailed expla-nation of why such inconsistencies exist; and



(O) Authorization for the commission staffto release the previous five (5) years of his-torical surveillance reports submitted to thecommission staff by the electric utility to allparties to the case.

(3) When an electric utility files a generalrate proceeding following the general rateproceeding that established its ECRM asdescribed by 4 CSR 240-20.091(2) in whichit requests that its ECRM be continued ormodified, the electric utility shall file withthe commission and serve parties, as provid-ed in sections (9) through (11) in this rule,the following supporting information as partof, or in addition to, its direct testimony:

(A) An example of the notice to be provid-ed to customers as required by 4 CSR 240-20.091(2)(E);

(B) If the electric utility proposes tochange the identification of the ECRM on thecustomer’s bill, an example customer billshowing how the proposed ECRM shall beseparately identified on affected customers’bills, including the proposed language, inaccordance with 4 CSR 240-20.091(8);

(C) Proposed ECRM rate schedules;(D) A general description of the design and

intended operation of the proposed ECRM;(E) A complete explanation of how the

proposed ECRM is reasonably designed toprovide the electric utility a sufficient oppor-tunity to earn a fair return on equity;

(F) A complete explanation of how the pro-posed ECRM shall be trued-up to reflectover- or under-collections on at least anannual basis;

(G) A complete description of how the pro-posed ECRM is compatible with the require-ment for prudence reviews;

(H) A complete explanation of all the coststhat shall be considered for recovery underthe proposed ECRM and the specific accountused for each cost item on the electric utili-ty’s books and records;

(I) A complete explanation of all of thecosts, both capital and expense, incurred tocomply with any current federal, state, orlocal environmental law, regulation, or rulethat the electric utility is proposing be includ-ed in base rates and the specific account usedfor each cost item on the electric utility’sbooks and records;

(J) A complete explanation of all the rev-enues that shall be considered in the determi-nation of the amount eligible for recoveryunder the proposed ECRM and the specificaccount where each such revenue item isrecorded on the electric utility’s books andrecords;

(K) A complete explanation of any featuredesigned into the proposed ECRM or any

existing electric utility policy, procedure, orpractice that can be relied upon to ensure thatonly prudent costs shall be eligible for recov-ery under the proposed ECRM;

(L) For each of the major categories ofcosts that the electric utility seeks to recoverthrough its proposed ECRM, a completeexplanation of the specific rate class cost allo-cations and rate design used to calculate theproposed environmental revenue requirementand any subsequent ECRM rate adjustmentsduring the term of the proposed ECRM;

(M) A complete explanation of any changein business risk to the electric utility resultingfrom implementation of the proposed ECRMin setting the electric utility’s allowed returnin any rate proceeding, in addition to anyother changes in business risk experienced bythe electric utility;

(N) A description of how responses to sub-sections (3)(B) through (M) differ fromresponses to subsections (3)(B) through (M)for the currently approved ECRM;

(O) The electric utility’s environmentalcompliance plan including a completedescription of—

1. The electric utility’s long-term envi-ronmental compliance planning process;

2. The analysis performed to develop theelectric utility’s environmental complianceplan; and

3. If the environmental compliance planis inconsistent with the electric utility’s mostrecent resource plan filing, a detailed expla-nation of why such inconsistencies exist; and

(P) Any additional information that mayhave been ordered by the commission in theprior general rate proceeding to be provided.

(4) When an electric utility files a generalrate proceeding following the general rateproceeding that established its ECRM asdescribed in 4 CSR 240-20.091(3) in which itrequests that its ECRM be discontinued, theelectric utility shall file with the commissionand serve parties, as provided in sections (9)through (11) in this rule, the following sup-porting information as part of, or in additionto, its direct testimony:

(A) An example of the notice to be provid-ed to customers as required by 4 CSR 240-20.091(3)(B);

(B) A complete explanation of how theover-collection or under-collection of theECRM that the electric utility is proposing todiscontinue shall be handled;

(C) A complete explanation of why theECRM is no longer necessary to provide theelectric utility a sufficient opportunity to earna fair return on equity;

(D) A complete explanation of any changein business risk to the electric utility resulting

from discontinuation of the ECRM in settingthe electric utility’s allowed return, in addi-tion to any other changes in business riskexperienced by the electric utility; and

(E) Any additional information that mayhave been ordered by the commission in theprior general rate proceeding to be provided.

(5) Each electric utility with an ECRM shallsubmit, with an affidavit attesting to theveracity of the information, the followinginformation on a monthly basis to the manag-er of the auditing department of the commis-sion, the Office of the Public Counsel (OPC),and others, as provided in sections (9)through (11) in this rule. The informationmay be submitted to the manager of the audit-ing department through EFIS. The followinginformation shall be aggregated by month andsupplied no later than sixty (60) days after theend of each month when the ECRM is ineffect. The first submission shall be madewithin sixty (60) days after the end of the firstcomplete month after the ECRM goes intoeffect. It shall contain, at a minimum, the fol-lowing:

(A) The revenues billed pursuant to theECRM by rate class and voltage level, asapplicable;

(B) The revenues billed through the elec-tric utility’s base rate allowance by rate classand voltage level;

(C) All significant factors that have affect-ed the level of ECRM revenues along withworkpapers documenting these significantfactors;

(D) The difference, by rate class and volt-age level, as applicable, between the totalbilled ECRM revenues and the projectedECRM revenues;

(E) Any additional information ordered bythe commission to be provided; and

(F) To the extent any of the requestedinformation outlined above is provided inresponse to another section, the informationonly needs to be provided once.

(6) Each electric utility with an ECRM shallsubmit, with an affidavit attesting to theveracity of the information, a SurveillanceMonitoring Report, which shall be treated ashighly confidential, as required in 4 CSR240-20.091(9), to the manager of the auditingdepartment of the commission, OPC, andothers, as provided in sections (9) through(11) in this rule. The information may be sub-mitted to the manager of the auditing depart-ment through EFIS.

(A) There are five (5) parts to the electricutility Surveillance Monitoring Report. Eachpart, except Part One, Rate Base Quantifica-tions, shall contain information for the last


Secretary of State


twelve (12)-month period and the last quarterdata for total company electric operations andMissouri jurisdictional operations. Part One,Rate Base Quantifications, shall contain onlyinformation for the ending date of the periodbeing reported. The form of the SurveillanceMonitoring Report form is included herein.

1. Rate Base Quantifications Report.The quantification of rate base items on pageone shall be consistent with the methods orprocedures used in the most recent rate pro-ceeding unless otherwise specified. Thereport shall consist of specific rate base quan-tifications of—

A. Plant in service;B. Reserve for depreciation;C. Materials and supplies;D. Cash working capital;E. Fuel inventory;F. Prepayments;G. Other regulatory assets;H. Customer advances;I. Customer deposits;J. Accumulated deferred income

taxes;K. Any other item included in the

utility’s rate base in the most recent rate pro-ceeding;

L. Net Operating Income from pagethree; and

M. Calculation of the overall returnon rate base.

2. Capitalization Quantifications Report.Page two shall consist of specific capitaliza-tion quantifications of—

A. Common stock equity (net);B. Preferred stock (par or stated value

outstanding);C. Long-term debt (including current

maturities);D. Short-term debt; andE. Weighted cost of capital including

component costs.3. Income Statement. Page three shall

consist of an income statement containingspecific quantification of—

A. Operating revenues to includesales to industrial, commercial, and residen-tial customers, sales for resale, and othercomponents of total operating revenues;

B. Operating and maintenanceexpenses for fuel expense, productionexpenses, purchased power energy, andcapacity;

C. Transmission expenses;D. Distribution expenses;E. Customer accounts expenses;F. Customer service and information

expenses;G. Sales expenses;H. Administrative and general

expenses;

I. Depreciation, amortization, anddecommissioning expense;

J. Taxes other than income taxes;K. Income taxes; andL. Quantification of heating degree

and cooling degree days, actual and normal.4. Jurisdictional Allocation Factor

Report. Page four shall consist of a listing ofjurisdictional allocation factors for the ratebase, capitalization quantification reports,and income statement.

5. Financial Data Notes. Page five shallconsist of notes to financial data including,but not limited to:

A. Out-of-period adjustments;B. Specific quantification of material

variances between actual and budget financialperformance;

C. Material variances between cur-rent twelve (12)-month period and priortwelve (12)-month period revenue;

D. Expense level of items ordered bythe commission to be tracked pursuant to theorder establishing the ECRM;

E. Budgeted capital projects;F. Events that materially affect debt

or equity surveillance components; andG. All settlements in regards to envi-

ronmental compliance causing the electricutility to incur expenses or make investmentsin excess of one hundred thousand dollars($100,000) or fines against the electric utilityin regards to environmental compliancegreater than one hundred thousand dollars($100,000).

(B) The Surveillance Monitoring Reportshall contain any additional informationordered by the commission to be provided.

(C) The electric utility shall annually sub-mit its approved budget, in electronic form,based upon its budget year in a format similarto the Surveillance Monitoring Report. Thebudget submission shall provide a quarterlyand annual quantification of the electric utili-ty’s income statement. The budget shall besubmitted within thirty (30) days of itsapproval by the electric utility’s managementor within sixty (60) days of the beginning ofthe electric utility’s fiscal year, whichever isearliest. The budget submission shall betreated as highly confidential pursuant to 4CSR 240-2.135.

(D) If the electric utility has a rate adjust-ment mechanism as defined in 4 CSR 240-20.090(1)(G), the surveillance report submit-ted by the electric utility as required by 4CSR 240-3.161(6) along with informationsubmitted in response to subparagraph(6)(A)5.G. shall meet the surveillance report-ing required by this section.

(7) When an electric utility files tariff sched-

ules to adjust an ECRM rate as described in4 CSR 240-20.091(4) with the commission,and serves upon parties as provided in sec-tions (9) through (11) in this rule, the tariffschedules must be accompanied by support-ing testimony, and at least the following sup-porting information:

(A) The following information shall beincluded with the filing:

1. For the period from which historicalcosts are used to adjust the ECRM rate:

A. Emission allowance costs differen-tiated by purchases, swaps, and loans;

B. Net revenues from emissionallowance sales, swaps, and loans;

C. Extraordinary costs not to bepassed through, if any, due to such costsbeing an insured loss, or subject to reductiondue to litigation, or for any other reason;

D. Base rate component of environ-mental compliance costs and revenues;

E. Identification of capital projectsplaced in service that were not anticipated inthe previous general rate proceeding; and

F. Any additional requirementsordered by the commission in the prior gen-eral rate proceeding;

2. The levels of environmental capitalcosts and expenses in the base rate revenuerequirement from the prior general rate pro-ceeding;

3. The levels of environmental capitalcosts in the base rate revenue requirementfrom the prior general rate proceeding asadjusted for the proposed date of the periodicadjustment;

4. The capital structure as determined inthe prior general rate proceeding;

5. The cost rates for the electric utility’sdebt and preferred stock as determined in theprior general rate proceeding;

6. The electric utility’s cost of commonequity as determined in the prior general rateproceeding;

7. Calculation of the proposed ECRMcollection rates; and

8. Calculations underlying any seasonalvariation in the ECRM collection rates; and

(B) Workpapers supporting all items insubsection (7)(A) shall be submitted to themanager of the auditing department andserved upon parties as provided in sections(9) through (11) in this rule. The workpapersmay be submitted to the manager of the audit-ing department through EFIS.

(8) When an electric utility that has an ECRMfiles its application containing its annual true-up with the commission, as described in 4CSR 240-20.091(5), any rate schedule filingmust be accompanied by supporting testimo-ny, and the electric utility shall—

(A) File the following information with thecommission and serve upon parties as provid-ed in sections (9) through (11) in this rule:

1. Amount of costs that it has over-col-lected or under-collected through the ECRMby rate class and voltage level, as applicable;

2. Proposed adjustments or refunds byrate class and voltage level as applicable;

3. Electric utility’s short-term borrow-ing rate; and

4. Any additional information orderedby the commission;

(B) Submit the following information to themanager of the auditing department and serveupon the parties as provided in sections (9)through (11) in this rule. The informationmay be submitted to the manager of the audit-ing department through EFIS.

1. Workpapers detailing how the deter-mination of the over-collection or under-col-lection of costs through the ECRM was madeincluding any model inputs and outputs andthe derivation of any model inputs.

2. Workpapers detailing the proposedadjustments or refunds.

3. Basis for the electric utility’s short-term borrowing rate.

4. Any additional information orderedby the commission to be provided.

(9) Providing to other parties items requiredto be filed or submitted in preceding sections(3) through (8). Information required to befiled with the commission or submitted to themanager of the auditing department of thecommission and to OPC in sections (3)through (8) shall also be, in the same format,served on or submitted to any party to therelated general rate proceeding in which theECRM was approved by the commission,periodic adjustment proceeding, annual true-up, prudence review, or general rate case tomodify, extend, or discontinue the sameECRM, pursuant to the procedures in 4 CSR240-2.135 for handling confidential informa-tion, including any commission order issuedthereunder.

(10) Party status and providing to other par-ties affidavits, testimony, information,reports, and workpapers in related proceed-ings subsequent to general rate proceedingestablishing ECRM.

(A) A person or entity granted interventionin a general rate proceeding in which anECRM is approved by the commission shallbe a party to any subsequent related periodicadjustment proceeding, annual true-up, orprudence review, without the necessity ofapplying to the commission for intervention.In any subsequent general rate proceeding,such person or entity must seek and be grant-ed status as an intervenor to be a party to that

case. Affidavits, testimony, information,reports, and workpapers to be filed or sub-mitted in connection with a subsequent relat-ed periodic adjustment proceeding, annualtrue-up, prudence review, or general rate caseto modify, extend, or discontinue the sameECRM shall be served on or submitted to allparties from the prior related general rateproceeding and on all parties from any subse-quent related periodic adjustment proceeding,annual true-up, prudence review, or generalrate case to modify, extend, or discontinuethe same ECRM, concurrently with filing thesame with the commission or submitting thesame to the manager of the auditing depart-ment of the commission and OPC, pursuantto the procedures in 4 CSR 240-2.135 forhandling confidential information, includingany commission order issued thereunder.

(B) A person or entity not a party to thegeneral rate proceeding in which an ECRM isapproved by the commission may timelyapply to the commission for intervention,pursuant to 4 CSR 240-2.075(2) through (4)of the commission’s rule on intervention,respecting any related subsequent periodicadjustment proceeding, annual true-up, orprudence review, or, pursuant to 4 CSR 240-2.075(1) through (5), respecting any subse-quent general rate case to modify, extend, ordiscontinue the same ECRM. If no party to asubsequent periodic adjustment proceeding,annual true-up, or prudence review objectswithin ten (10) days of the filing of an appli-cation for intervention, the applicant shall bedeemed as having been granted interventionwithout a specific commission order grantingintervention, unless within the above-refer-enced ten (10)-day period the commissiondenies the application for intervention on itsown motion. If an objection to the applicationfor intervention is filed on or before the endof the above-referenced ten (10)-day period,the commission shall rule on the applicationand the objection within ten (10) days of thefiling of the objection.

(11) Discovery. The results of discovery froma general rate proceeding where the commis-sion may approve, modify, reject, extend, ordiscontinue an ECRM, or from any subse-quent periodic adjustment proceeding, annualtrue-up, or prudence review relating to thesame ECRM, may be used without a partyresubmitting the same discovery requests(data requests, interrogatories, requests forproduction, requests for admission, or depo-sitions) in the subsequent proceeding to par-ties that produced the discovery in the priorproceeding, subject to a ruling by the com-mission concerning any evidentiary objectionmade in the subsequent proceeding.

(12) Supplementing and updating datarequests in subsequent related proceedings. Ifa party, which submitted data requests relat-ing to a proposed ECRM in the general rateproceeding where the ECRM was establishedor in the general rate proceeding where thesame ECRM was modified or extended, or inany subsequent related periodic adjustmentproceeding, annual true-up, or prudencereview, wants the responding party to whomthe prior data requests were submitted to sup-plement or update that responding party’sprior responses for possible use in a subse-quent related periodic adjustment proceeding,annual true-up, prudence review, or generalrate case to modify, extend, or discontinuethe same ECRM, the party which previouslysubmitted the data requests shall submit anadditional data request to the respondingparty to whom the data requests were previ-ously submitted which clearly identifies theparticular data requests to be supplementedor updated and the particular period to becovered by the updated response. A respond-ing party to a request to supplement or updateshall supplement or update a data requestresponse from: a related general rate pro-ceeding where a ECRM was established; ageneral rate case where the same ECRM wasmodified or extended; or a related periodicadjustment proceeding, annual true-up, orprudence review, which the responding partyhas learned or subsequently learns is in somematerial respect incomplete or incorrect.

(13) Separate cases for each general rate pro-ceeding involving an ECRM and for eachmutually exclusive twelve (12)-month annualtrue-up period of an ECRM. Each generalrate proceeding where the commission mayapprove, modify, or reject an ECRM; eachgeneral rate case where the commission mayauthorize the modification, extension, or dis-continuance of an ECRM; and each mutuallyexclusive twelve (12)-month period of anECRM that encompasses an annual true-up,prudence review, and possible periodicadjustments shall comprise a separate case.The same procedures for handling confiden-tial information shall apply, pursuant to 4CSR 240-2.135, as in the immediately pre-ceding ECRM case for the particular electricutility, unless otherwise directed by the com-mission on its own motion or as requested bya party and directed by the commission.

(14) New ECRM. For the purposes of thisrule, an ECRM, if continued, modified, orextended in a general rate case, even in sub-stantially the form approved in the prior gen-eral rate proceeding, shall be considered tobe a new distinct ECRM after each general




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rate proceeding required by section386.266.4(3), RSMo.

(15) Right to Discovery Unaffected. Inaddressing certain discovery matters and theprovision of certain information by electricutilities, this rule is not intended to restrictthe discovery rights of any party.

(16) Waivers. Provisions of this rule may bewaived by the commission for good causeshown.

(17) Rule Review. The commission shallreview the effectiveness of this rule by nolater than December 31, 2011, and may, if itdeems necessary, initiate rulemaking pro-ceedings to revise this rule.


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AUTHORITY: sections 386.250 and 393.140,RSMo 2000 and section 386.266, RSMoSupp. 2008.* Original rule filed Oct. 31,2007, effective June 30, 2008, terminatedJan. 4, 2009. Refiled: Dec. 31, 2008, effec-tive Aug. 30, 2009.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 386.266, RSMo 2005; and 393.140, RSMo 1939,amended 1949, 1967.

Rule Action Notice: On December 4, 2008,the circuit court granted the moving parties’(Office of Public Counsel and MissouriIndustrial Energy Consumers) motion forreversal and entered a judgment reversing thePublic Service Commission’s Final Order ofRulemaking. The circuit court’s judgmentreversing the commission’s Final Order ofRulemaking became final on January 4,2009. After January 4, 2009, 4 CSR 240-3.162 shall be terminated and of no furtherforce and effect.

4 CSR 240-3.163 Electric Utility Demand-Side Programs Investment MechanismsFiling and Submission Requirements(Rescinded February 28, 2018)

AUTHORITY: section 393.1075.11, RSMoSupp. 2010. Original rule filed Oct. 4, 2010,effective May 30, 2011. Rescinded: Filed July27, 2017, effective Feb. 28, 2018.

4 CSR 240-3.164 Electric Utility Demand-Side Programs Filing and SubmissionRequirements(Rescinded February 28, 2018)

AUTHORITY: section 393.1075.11, RSMoSupp. 2010. Original rule filed Oct. 4, 2010,effective May 30, 2011. Rescinded: Filed July27, 2017, effective Feb. 28, 2018.

4 CSR 240-3.165 Annual Report Submis-sion Requirements for Electric Utilities

PURPOSE: Section 393.140(6), RSMo,includes an obligation for the commission torequire every person and corporation underits supervision to submit an annual report tothe commission. This rule establishes thestandards for the submission of annualreports by electric utilities that are subject tothe jurisdiction of the commission, includingthe procedures for submitting nonpublicannual report information.

(1) All electric utilities shall submit an annualreport to the commission on or before April15 of each year, except as otherwise provided

for in this rule.

(2) Electric utilities shall submit their annualreports either on a form provided by the com-mission or on a computer-generated replicathat is acceptable to the commission. Reportsbeing submitted on paper are to be preparedin looseleaf format and sent to the attention ofthe secretary of the commission. Computer-generated reports can be submitted throughthe commission’s electronic filing and infor-mation system (EFIS). Attempts to substituteforms such as stockholder reports withoutconcurrently submitting official commissionforms with appropriate cross-references willbe considered noncompliant. All requestedinformation shall be included in the annualreport, where applicable, even if it has beenprovided in a previous annual report.

(3) An electric utility that receives a noticefrom the commission stating that deficienciesexist in the information provided in the annu-al report shall respond to that notice withintwenty (20) days after the date of the notice,and shall provide the information requested inthe notice in its response.

(4) If an electric utility subject to this ruleconsiders the information requested on theannual report form to be nonpublic informa-tion, it must submit both a fully completedversion to be kept under seal and a redactedpublic version that clearly informs the readerthat the redacted information has been sub-mitted as nonpublic information to be keptunder seal. Submittals made under this sec-tion that do not include both versions will beconsidered deficient. The staff on behalf ofthe commission will issue a deficiency letterto the company and if both versions of theannual report are not received within twenty(20) days of the notice, the submittal will beconsidered noncompliant. In addition to theforegoing, submittals made under this sectionmust meet the following requirements:

(A) A cover letter stating that the utility isdesignating some or all of the information inits annual report as confidential information,and including the name, phone number and e-mail address (if available) of the personresponsible for addressing questions regard-ing the confidential portions of the annualreport, must be submitted with the reports;

(B) The cover of each version of the reportmust clearly identify whether it is the publicor nonpublic version;

(C) A detailed affidavit that identifies thespecific types of information to be kept underseal, provides a reason why the specific infor-mation should be kept under seal and statesthat none of the information to be kept underseal is available to the public in any formatmust be prominently attached to both ver-sions of the report; and

(D) Each page of each version of the reportthat contains nonpublic information shall beclearly identified as containing such informa-tion.

(5) If an entity asserts that any of the infor-mation contained in the nonpublic version ofthe annual report should be made available tothe public, then that entity must file a plead-ing with the commission requesting an orderto make the information available to the pub-lic, and shall serve a copy of the pleading onthe utility affected by the request. The plead-ing must explain how the public interest isbetter served by disclosure of the informationthan the reason provided by the utility justify-ing why the information should be kept underseal. The utility affected by the request mayfile a response to a pleading filed under theseprovisions within fifteen (15) days after thefiling of such a pleading. Within five (5) busi-ness days after the due date for the filing ofthe utility’s response to a request filed underthese provisions, the general counsel by filingof a pleading will make a recommendation tothe commission advising whether the requestshould be granted.

(6) An electric utility that is unable to meetthe submission date established in section (1)of this rule may obtain an extension of up tothirty (30) days for submitting its annualreport by:

(A) Submitting a written request, whichstates the reason for the extension, to theattention of the secretary of the commissionprior to April 15; and

(B) Certifying that a copy of the writtenrequest was sent to all parties of record inpending cases before the commission wherethe utility’s activities are the primary focus ofthe proceedings.

(7) An electric utility that is unable to meetthe submission date established in section (1)of this rule may request an extension ofgreater than thirty (30) days for submitting itsannual report by:

(A) Filing a pleading, in compliance withthe requirements of Chapter 2 of 4 CSR 240,which states the reason for and the length ofthe extension being requested, with the com-mission prior to April 15; and

(B) Certifying that a copy of the pleadingwas sent to all parties of record in pendingcases before the commission where the utili-ty’s activities are the primary focus of theproceedings.

(8) Responses to deficiency notices under theprovisions of section (3) of this rule, requestsfor confidential treatment under the provi-sions of section (4) of this rule, pleadingsrequesting public disclosure of informationcontained under seal under the provisions ofsection (5) of this rule, and requests for


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extensions of time under the provisions ofsections (6) or (7) of this rule may be submit-ted through the commission’s electronic fil-ing and information system (EFIS).

(9) An electric utility that does not timely fileits annual report, or its response to a noticethat its annual report is deficient, is subject toa penalty of one hundred dollars ($100) andan additional penalty of one hundred dollars($100) for each day that it is late in filing itsannual report or its response to a notice ofdeficiency.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003. Amended:Filed Nov. 7, 2003, effective April 30, 2004.


4 CSR 240-3.175 Submission Require-ments for Electric Utility DepreciationStudies

PURPOSE: This rule sets forth the require-ments regarding the submission of deprecia-tion studies by electric utilities.

(1) Each electric utility subject to the com-mission’s jurisdiction shall submit a depreci-ation study, database and property unit catalogto the manager of the commission’s energydepartment and to the Office of the PublicCounsel, as required by the terms of subsec-tion (1)(B).

(A) The depreciation study, database andproperty unit catalog shall be compiled as fol-lows:






and surviving dollar investment for eachwarehouse, electric generating facility, com-bustion turbine, general office building orother large structure; and

3. The property unit catalog shall con-tain a description of each retirement unit usedby the company.

(B) An electric utility shall submit its

depreciation study, database and propertyunit catalog on the following occasions:

1. On or before the date adjoining thefirst letter of the name under which the cor-poration does business, excluding the wordthe, as indicated by the tariffs on file with thecommission.

A. The alphabetical categories andsubmission due dates are as follows:

(I) A, B, C, D: January 1, 1994;(II) E, F, G, H: July 1, 1994;(III) I, J, K, L: January 1, 1995;(IV) M, N, O, P: July 1, 1995;(V) Q, R, S, T: January 1, 1996;

and(VI) U, V, W, X, Y, Z: July 1,

1996.B. However—

(I) An electric utility need not sub-mit a depreciation study, database or propertyunit catalog to the extent that the commis-sion’s staff received these items from the util-ity during the three (3) years prior to the duedates listed in subparagraph (1)(B)1.A.; and

(II) A utility with simultaneous duedates under subparagraph (1)(B)1.A. aboveand 4 CSR 240-3.275(1)(B)1. may postponeits due date with respect to one (1) of theserules by six (6) months. To exercise thisoption, the utility must give written notice ofits intent to postpone compliance to the man-ager of the commission’s energy department,and to the Office of the Public Counsel,before the utility’s first due date;

2. Before five (5) years have elapsedsince the last time the commission’s staffreceived a depreciation study, database andproperty unit catalog from the utility.

(2) The commission may waive or grant avariance from the provisions of this rule, inwhole or in part, for good cause shown, upona utility’s written application.



4 CSR 240-3.180 Submission of ElectricUtility Residential Heat-Related ServiceCold Weather Report

PURPOSE: This rule sets forth the require-ments for electric utilities to submit reportsregarding services provided during the com-mission’s designated cold weather period.

(1) Each utility providing heat-related utility

service shall submit a report to the consumerservices department of the commission foreach calendar month no later than the twenti-eth day of the following month. The utilityshall provide a copy of each report to theOffice of the Public Counsel. The utility shallreport for each operational district into whichthe utility has divided its Missouri serviceterritory the number of days it was permittedto discontinue service under 4 CSR 240-13.055, and the utility shall separately reporton the information listed below for customersreceiving energy assistance and customerswho are affected by 4 CSR 240-13.055 andknown not to be receiving energy assistance.All information submitted shall be consideredpublic information; however, no customer-specific information shall be reported ormade public. Utilities providing both electricand gas service shall report the informationseparately for their gas-only territory.

(A) How many customers were:1. Disconnected at the end of the period;2. Of those disconnected, how many

customers had service discontinued for non-payment during the period;

3. Of those discontinued during the peri-od, how many customers were restored toservice during the period.

(B) Of customers reported as disconnectedat the end of the period:

1. How many had broken a cold weatherrule pay agreement;

2. How many had broken a non-coldweather rule pay agreement;

3. How many had not been on a payagreement.

(C) Of those customers reconnected duringthe period:

1. How many customers received energyassistance (pledged or paid) from:

A. Low Income Home Energy Assis-tance Program (LIHEAP);

B. Energy Crisis Intervention Pro-gram (ECIP);

C. Other sources known to the utility.2. How much energy assistance was pro-

vided by:A. LIHEAP;B. ECIP;C. Other sources known to the utility;D. Customer.

(D) Of customers restored to service dur-ing the period:

1. How many were put on a cold weath-er rule pay agreement;

2. How many were put on a non-coldweather rule pay agreement.

(E) How much was owed by those discon-nected at the end of the period:

1. How much was owed by those discon-nected during the period;


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2. How much was owed by those recon-nected during the period.

(F) How many customers were registeredunder 4 CSR 240-13.055(1)(D) at the end ofthe period:

1. How many customers registered dur-ing the period;

2. How many of such registered cus-tomers had service discontinued during theperiod.

(G) For how many customers during theperiod did the utility receive:

1. LIHEAP;2. ECIP;3. Other assistance know to the utility.

(H) How much cash did the utility receiveon behalf of customers during the periodfrom:

1. LIHEAP;2. ECIP;3. Others know to the utility.

(I) How many customers who requestedreconnection under terms of this rule wererefused service pursuant to section 4 CSR240-13.055(9).

(J) How many customers received energyassistance insufficient in amount to retain orrestore service.

(K) The number of customers who agreedto pay for their heat-related utility serviceunder a payment agreement in accordancewith 4 CSR 240-13.055.

AUTHORITY: section 386.250, RSMo 2000.*Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed April 24,2003, effective Dec. 30, 2003.


4 CSR 240-3.185 Submission of ReportsPertaining to the Decommissioning of Elec-tric Utility Plants

PURPOSE: Electric utilities with nuclearplants must submit the reports pertaining tothe decommissioning trust fund of the nuclearplants as outlined in this rule. The rule per-taining to decommissioning trust funds maybe found at 4 CSR 240-20.070.

(1) The utility or the trustee shall file reportsquarterly to the commission. The reportsshall contain the following information:

(A) A total of all jurisdictional balances ofthe trust fund(s) based on a carrying cost(book) value;

(B) A total of all jurisdictional balances ofthe trust fund(s) based on a market value;

(C) A Missouri jurisdictional balance ofthe trust fund(s) based on a carrying cost

(book) value;(D) A Missouri jurisdictional balance of

the trust fund(s) based on a market value;(E) A summary of the trust account includ-

ing the utility’s contributions, incomes,expenses and a weighted average after-taxreturn for the quarter;

(F) A portfolio summary per asset class byamount and percentage;

(G) A detailed report of daily transactions;and

(H) Any other information the commissionorders the utility or trustee to provide.

(2) In addition, the utility or the trustee shallfile reports annually to the commission thatcontain the following information:

(A) An asset maturity schedule;(B) A summary of the trust’s portfolio of

investments including a listing of each securi-ty detailing the carrying cost, current marketvalue, maturity date, estimated annualincome and the yield to maturity;

(C) A copy of all correspondence includingincome tax returns and tax exempt rulingsconcerning the trust with the Internal Rev-enue Service (IRS) or any state revenue agen-cy; and

(D) Any other information the commissionorders the utility or trust to provide.

(3) On or before September 1, 1990 andevery three (3) years after that, utilities withdecommissioning trust funds shall performand file with the commission cost studiesdetailing the utilities’ latest cost estimates fordecommissioning their nuclear generatingunit(s) along with the funding levels neces-sary to defray these decommissioning costs.These studies shall be filed along with appro-priate tariff(s) effectuating the change in ratesnecessary to accomplish the fundingrequired. In addition, the commission, at anytime for just cause, may require a utility tofile an updated decommissioning cost study,funding requirement and associated tariff(s).

(4) At the time a tariff(s) is filed by a utilitywhich proposes any change in rates due tochanges in the estimate of decommissioningcost or the funding level of its nuclear decom-missioning trust fund(s), the utility shall filethe following minimum information in sup-port of the need for changes in its tariff rates:

(A) An updated decommissioning coststudy which estimates the cost of decommis-sioning and the funding levels necessary todefray these costs. This study shall containthe following information:

1. Detailed quantities and unit prices incurrent dollars for each system of the nucleargenerating unit to be decommissioned;

2. A detailed breakdown betweenradioactive contaminated systems and thosesystems which are not contaminated by

radioactivity;3. Funding levels which are computed

on a levelized basis and which accrue futuredecommissioning costs over the remaininglicensed life of the nuclear generating unit.The utility shall include the earnings rate andinflation rate assumed in the cost study ascompared to those assumed in any previousstudy;

4. A detailed description of any facilitiesthat were added to or deleted from the coststudy filed in the previous case;

5. The beginning date for the expendi-ture of funds for decommissioning assumedin the study shall be no later than the expira-tion date of the unit’s current Nuclear Regu-latory Commission (NRC) license; and

6. The study shall consider and evaluateall reasonable practices or procedures whichwould reduce the ultimate cost of decommis-sioning; and

(B) A summary description of the reasons(for example, changes in regulation, technol-ogy or economics) that brought on the needto change the decommissioning cost estimate.

(5) Upon proper application and after duenotice and hearing, the commission maywaive any provision of this rule for goodcause shown.


*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996 and 393.292, RSMo 1989.

4 CSR 240-3.190 Reporting Requirementsfor Electric Utilities and Rural ElectricCooperatives

PURPOSE: This rule prescribes requirementsand procedures for the reporting of certainevents by electric utilities to the commissionto inform the commission of developmentsthat may affect the rendering of safe and ade-quate service and to enable the commission tothoroughly and fairly investigate certain acci-dents and events that may have an impact infuture electric rate proceedings at the timeand in the context in which those eventsoccur. This rule also includes electrical facil-ities accident and event reporting require-ments for rural electric cooperatives.

(1) Commencing on September 1, 1991, everyelectric utility shall accumulate the followinginformation and submit it to the manager ofthe Energy Department of the commission,or his/her designee, no later than the lastbusiness day of the month following themonth to be reported and after that on a



monthly basis:(A) All generating unit outages and derates,

excluding hydroelectric generating units andunits whose capacity comprises less than oneand one-half percent (1 1/2%) of the electricutilities accredited capacity;

(B) Monthly as-burned fuel report for eachcarbon-based fuel generating unit, includingthe amount of each type of fuel consumed,the British thermal unit (Btu) value of eachfuel consumed, and the blending percentages(if applicable);

(C) Net system input for the electric utili-ty;

(D) Net hourly generation for each gener-ating unit;

(E) Megawatt amount and delivery pricesof hourly purchases and sales of electricityfrom or to other electrical services providers,independent power producers, or cogenera-tors, including the parties to purchases andsales, and the terms of purchases and sales.

1. If adjustments are made to the priceof hourly purchases after the purchase ismade, provide the amount of the adjustmentand the time period over which the adjust-ment was made;

(F) Capacity purchases of longer thanseven (7) days’ duration;

(G) Planned outages of power productionfacilities, as they are scheduled or resched-uled. Changes from the planned outageschedule must be reported by telephone orelectronic transmission to the manager of theEnergy Department of the commission orhis/her designee prior to the initiation of theoutage, if the changes result in the plannedoutage schedule being different from theschedule in the most recently submittedmonthly report;

(H) Planned fuel test burns, unit heat-ratetests, and accreditation runs as they arescheduled or rescheduled. Changes from pre-viously planned fuel test burns, unit heat-ratetests, and accreditation runs must be reportedby telephone or electronic transmission to themanager of the Energy Department of thecommission or his/her designee prior to theirinitiation, if these changes result in the sched-ule for fuel test burns, unit heat-rate tests,and accreditation runs being different fromthe schedule in the most recently submittedmonthly report;

(I) Citations or notices of violation relatedto power production facilities received fromany state or federal utility regulatory agencyor environmental agency including, but notlimited to, the Federal Energy RegulatoryCommission (FERC), the Nuclear Regulato-ry Commission (NRC), the EnvironmentalProtection Agency (EPA), the Department ofNatural Resources (DNR), and the Depart-ment of Energy (DOE);

(J) The terms of new contracts or existing

contracts which will be booked to Accounts310–346 or Accounts 502–546 of the FERC’sUniform System of Accounts requiring theexpenditure by the electric utility of morethan two hundred thousand dollars($200,000) including, but not limited to, con-tracts for engineering, consulting, repairs,and modifications or additions to an electricplant; and

(K) Copies of all written reports on forcedgenerating unit outages of longer than three(3) days, test burns of fuel, heat-rate tests,accreditation runs, and responses to state orfederal utility regulatory agencies or environ-mental agencies including, but not limited to,the FERC, the NRC, the EPA, the DNR, andthe DOE, concerning any alleged infractions,deviations, or noncompliance with thoseagencies’ rules or standards related to powerproduction facilities.

(2) The information required in subsections(1)(A) through (I) of this rule shall be provid-ed to the manager of the Energy Departmentof the commission or his/her designee in anelectronic format from which the data can beeasily extracted for analyses in spreadsheet ordatabase software. All the informationrequired in section (1) may be submittedthrough the commission’s Electronic Filingand Information System (EFIS).

(3) Every electric utility shall report to themanager of the Energy Department of thecommission or his/her designee by telephoneor through EFIS by the end of the first busi-ness day following discovery, the informationdescribed in subsections (3)(A)–(E) below.The electric utility shall submit, either bymail or through EFIS within five (5) businessdays following the discovery, an update of theincident and any details not available at thetime of the initial report:

(A) Details of any accident or event at apower plant involving serious physical injuryor death or property damage in excess of twohundred thousand dollars ($200,000). Adetailed investigative report of the accident orevent shall be submitted within ninety (90)days, or if the investigation will take longerthan ninety (90) days, a draft of the plan forthe investigation shall be submitted withinninety (90) days;

(B) Forced outages of any nuclear generat-ing unit(s) that could reasonably be anticipat-ed to last longer than three (3) days;

(C) Forced outages of any fossil-fuel firedgenerating unit(s) with an accredited capacityof greater than one hundred (100) megawattsthat reasonably could be anticipated to lastlonger than three (3) days, when the unit(s) isforced out due to a common occurrence;

(D) Reductions of coal inventory below athirty (30)-day supply and reductions of oil

inventory below fifty percent (50%) of nor-mal oil inventory; and

(E) Loss of transmission capability thatcould limit the output of a generating plant.

(4) Every electric utility and rural electriccooperative shall notify designated commis-sion personnel by telephone of an accident orevent by the end of the first business day fol-lowing the discovery of any accident or event,provided the utility or rural electric coopera-tive first has received proper notice or hasactual knowledge of the accident or event.Accidents or events that shall be reportedshall be those resulting from—

(A) Electrical contact, arc, or flash with itsenergized electrical supply facilities thatresults in admission to a hospital or the fatal-ity of an employee or other person;

(B) Human contact with electric current ofsignificant voltage at locations where it sup-plies power or operates energized electricalsupply facilities that results in admission to ahospital or the fatality of an employee orother person, even when the source of theelectric current is believed to have originatedon the customer’s side of the meter; or

(C) Any other electrical contact, arc, orflash considered significant by the utility orrural electric cooperative.

(5) The electric utility or rural electric coop-erative shall submit to designated commissionpersonnel within ten (10) business days fol-lowing the discovery a written report consist-ing of an update of the accident or event andany details not available at the time of the ini-tial telephone notification. Neither the notifi-cation required by section (4), the submissionof the written report required by this section,nor the public availability of either shall bedeemed to be an admission or waiver of anyprivilege of the notifying or reporting electricutility or rural electric cooperative.

(6) All reports and information submitted byelectric utilities and rural electric coopera-tives pursuant to this rule shall be subscribedby the president, treasurer, general manager,receiver, or other authorized representative ofthe electric utility or rural electric coopera-tive having knowledge of the subject matterand shall be stated to be accurate and com-plete, and contain no material misrepresenta-tions or omissions, based upon facts of whichthe person subscribing the report or informa-tion has knowledge, information, or belief.

(7) The reporting requirements prescribed bythis rule shall be in addition to all otherreporting requirements prescribed by law.

(8) The information contained in the reportsfiled pursuant to this rule shall be subject tothe provisions of section 386.480, RSMo, and

the use of that information in any proceedingbefore the commission shall be governed bythe terms of 4 CSR 240-2.135 and any protec-tive order issued by the commission in theproceeding, if a protective order has beenissued.

(9) The receipt by the commission or com-mission staff of reports prescribed by thisrule shall not bind the commission or com-mission staff to the approval or acceptanceof, or agreement with, any matter containedin the reports for the purpose of fixing ratesor in determining any other issue that maycome before the commission.

(10) Upon proper application and after noticeand an opportunity for hearing, the commis-sion, in its discretion, may waive any provi-sion of this rule for good cause shown.

AUTHORITY: sections 386.250 and 394.160,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003. Amended:Filed Oct. 14, 2003, effective April 30, 2004.Amended: Filed Dec. 16, 2009, effective Aug.30, 2010.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996 and 394.160, RSMo 1939, amended 1979.

4 CSR 240-3.200 Definitions PertainingSpecifically to Gas Utility Rules

PURPOSE: This rule sets forth the definitionsof certain terms used in rules 4 CSR 240-3.205 through 4 CSR 240-3.295, which are inaddition to the definitions set forth in rule 4CSR 240-3.010 of this chapter.

(1) Affiliate means any person who, directlyor indirectly, controls or is controlled by or isunder common control with a gas utility.

(2) Appliance or equipment means any devicewhich consumes gas energy and any ancillarydevice required for its operation.

(3) Consideration shall be interpreted in itsbroadest sense and shall include any cash,donation, gift, allowance, rebate, discount,bonus, merchandise (new or used), property(real or personal), labor, service, conveyance,commitment, right or other thing of value.

(4) Control (including the terms “control-ling,” “controlled by,” and “common con-trol”) means the possession, directly or indi-rectly, of the power to direct, or to cause thedirection of the management or policies of anentity, whether such power is exercisedthrough one (1) or more intermediary enti-ties, or alone, or in conjunction with, or pur-suant to an agreement with, one (1) or more

other entities, whether such power is exer-cised through a majority or minority owner-ship or voting of securities, common direc-tors, officers or stockholders, voting trusts,holding trusts, affiliated entities, contract orany other direct or indirect means. The com-mission shall presume that the beneficialownership of ten percent (10%) or more ofvoting securities or partnership interest of anentity constitutes control for purposes of thisrule. This provision, however, shall not beconstrued to prohibit a regulated gas corpora-tion from rebutting the presumption that itsownership interest in an entity confers con-trol.

(5) Cost-effective means that the presentvalue of life-cycle benefits is greater than thepresent value of life-cycle costs to theprovider of an energy service.

(6) Demand-side resource means any ineffi-cient energy-related choice that can be influ-enced cost-effectively by a utility. The mean-ing of this term shall not be construed toinclude load-building program.

(7) Designated commission personnel meansthe commission’s Pipeline Safety ProgramManager at the address contained in 4 CSR240-40.020(5) for written reports and the listof staff personnel supplied to the operatorsfor telephonic notices, both as are required by4 CSR 240-40.020.

(8) Gas means natural gas, flammable gas,manufactured gas or gas which is toxic orcorrosive.

(9) Gas seller means any person who uses,leases, or controls the distribution system ofa distributor or a political subdivision or anypart thereof to sell energy services at retailwithin a political subdivision, other than adistributor or a political subdivision.

(10) Inefficient energy-related choice meansany decision that causes the life-cycle cost ofproviding an energy service to be higher thanit would be for an available alternativechoice.

(11) Load-building program means an orga-nized promotional effort by a utility to per-suade energy-related decision makers tochoose the form of energy supplied by thatutility instead of other forms of energy for theprovision of energy service or to persuadecustomers to increase their use of that utili-ty’s form of energy, either by substituting itfor other forms of energy or by increasing thelevel or variety of energy services used. Thisterm is not intended to include the provisionof technical or engineering assistance, infor-mation about filed rates and tariffs or other

forms of routine customer service.

(12) Operator means a person who engages inthe transportation of gas.

(13) Pipeline or pipeline system means allparts of those physical facilities throughwhich gas moves in transportation including,but not limited to, pipe, valves and otherappurtenances attached to pipe, compressorunits, metering stations, regulator stations,delivery stations, holders and fabricatedassemblies.

(14) Pipeline facility means new and existingpipeline, rights-of-way and any equipment,facility or building used in the transportationof gas or in the treatment of gas during thecourse of transportation.

(15) Promotional practices means any consid-eration offered or granted by a gas utility orits affiliate to any person for the purpose,express or implied, of inducing the person toselect and use the service or use additionalservice of the utility or to select or install anyappliance or equipment designed to use theutility service, or for the purpose of influenc-ing the person’s choice or specification of theefficiency characteristics of appliances,equipment, buildings, utilization patterns oroperating procedures. The term promotionalpractices shall not include the followingactivities:

(A) Making any emergency repairs toappliances or equipment of customers;

(B) Providing appliances or equipmentincidental to demonstrations of sixty (60)days or less in duration;

(C) Providing light bulbs, street or outdoorlighting service, wiring, service pipe or otherservice equipment or appliances, in accor-dance with tariffs filed with and approved bythe commission;

(D) Providing appliances or equipment toan educational institution for the purpose ofinstructing students in the use of the appli-ances or equipment;

(E) Merchandising appliances or equip-ment at retail and, in connection therewith,the holding of inventories, making and fulfill-ment of reasonable warranties against defectsin material and workmanship existing at thetime of delivery and financing; provided thatthe merchandising shall not violate any prohi-bition contained in 4 CSR 240-14.020;

(F) Inspecting and adjusting of appliancesor equipment by a gas utility;

(G) Repairing and other maintenance toappliances or equipment by a gas utility ifcharges are at cost or above;

(H) Providing free or below-cost energyaudits or other information or analysis regard-ing the feasibility and cost-effectiveness of


Secretary of State




improvements in the efficiency characteristicsof appliances, equipment, buildings, utiliza-tion patterns or operating procedures;

(I) Offering to present or prospective cus-tomers by a gas utility technical or engineer-ing assistance; and

(J) Advertising or publicity by a gas utilitywhich is under its name and on its behalf andwhich does not in any manner, directly orindirectly, identify, describe, refer to, men-tion or relate to any architect, builder, engi-neer, subdivider, developer or other similarperson, or which mentions no less than three(3) existing projects, developments or subdi-visions.

(16) Service line means a distribution linethat transports gas from a common source ofsupply to a) a customer meter or the connec-tion to a customer’s piping, whichever is far-ther downstream, or b) the connection to acustomer’s piping if there is no customermeter. A customer meter is the meter thatmeasures the transfer of gas from an operatorto a consumer.

(17) Transmission line means a pipeline,other than a gathering line, that:

(A) Transports gas from a gathering line orstorage facility to a distribution center, stor-age facility, or large volume customer that isnot downstream from a distribution center (Alarge volume customer may receive similarvolumes of gas as a distribution center, andincludes factories, power plants, and institu-tional users of gas);

(B) Operates at a hoop stress of twenty per-cent (20%) or more of specified minimumyield strength (SMYS); or

(C) Transports gas within a storage field.

(18) Transportation of gas means the receiptof gas at one point on a regulated gas corpo-ration’s system and the redelivery of anequivalent volume of gas to the retail cus-tomer of the gas at another point on the reg-ulated gas corporation’s system including,without limitation, scheduling, balancing,peaking, storage, and exchange to the extentsuch services are provided pursuant to theregulated gas corporation’s tariff, andincludes opportunity sales.

(19) Yard line means an underground fuel linethat transports gas from the service line to thecustomer’s building. If multiple buildings arebeing served, building shall mean the build-ing nearest to the connection to the serviceline. For purposes of this definition, if above-ground fuel line piping at the meter locationis located within five feet (5') of a buildingbeing served by that meter, it shall be consid-ered to the customer’s building and no yard

line exists. At meter locations where above-ground fuel line piping is located greater thanfive feet (5') from the building(s) beingserved, the underground fuel line from themeter to the entrance into the nearest buildingserved by that meter shall be considered theyard line and any other lines are not consid-ered yard lines.



4 CSR 240-3.205 Filing Requirements forGas Utility Applications for Certificates ofConvenience and Necessity

PURPOSE: Applications to the commissionrequesting that the commission grant a cer-tificate of convenience and necessity mustmeet the requirements set forth in this rule.As noted in the rule, additional requirementspertaining to such applications are set forthin 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for a certificate ofconvenience and necessity by a gas companyshall include the following information:







(B) If the application is for gas transmis-

sion lines—1. A description of the route of con-

struction and a list of all electric and tele-phone lines of regulated and nonregulatedutilities, railroad tracks or any undergroundfacility, as defined in section 319.015,RSMo, which the proposed construction willcross;


3. Plans for financing;(C) When no evidence of approval of the

affected governmental bodies is necessary, astatement to that effect;








4 CSR 240-3.210 Filing Requirements forGas Utility Applications for Authority toSell, Assign, Lease or Transfer Assets





(C) The verification of proper authority bythe person signing the application or a certi-fied copy of resolution of the board of direc-tors of each applicant authorizing the pro-posed action;


(E) If the purchaser is subject to the juris-diction of the commission, a balance sheet andincome statement with adjustments showingthe results of the acquisitions of the property;and






4 CSR 240-3.215 Filing Requirements forGas Utility Applications for Authority toMerge or Consolidate






(D) The reasons the proposed merger isnot detrimental to the public interest;

(E) An estimate of the impact of the merg-er on the company’s Missouri jurisdictionaloperations relative to the merger and acquisi-tion in question; and






4 CSR 240-3.220 Filing Requirements forGas Utility Applications for Authority toIssue Stock, Bonds, Notes and Other Evi-dences of Indebtedness






1. If these instruments have been previ-

ously filed with the commission, a referenceto the case number in which the instrumentswere furnished;











4 CSR 240-3.225 Filing Requirements forGas Utility Applications for Authority toAcquire the Stock of a Public Utility






Secretary of State






4 CSR 240-3.230 Filing Requirements forGas Storage Companies Requesting theAuthority to Acquire Property ThroughEminent Domain Proceedings

PURPOSE: Applications to the commissionfor the authority to acquire property througheminent domain proceedings must meet therequirements of this rule. As noted in the rule,additional requirements pertaining to suchapplications are set forth in 4 CSR 240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for gas storagecompanies for authority to acquire propertythrough eminent domain proceedings shallinclude:

(A) The legal description of the areas to beacquired;

(B) A map showing the areas to beacquired;

(C) Names and addresses of all personswho may have any legal or equitable title ofrecord in the property to be acquired; and

(D) The reasons it is necessary to acquirethe property and why it is in the public inter-est.




4 CSR 240-3.235 Filing Requirements forGas Utility General Rate Increase Requests

PURPOSE: This rule prescribes informationwhich must be filed by all gas utilities when

filing for a general company-wide increase inrates. As noted in the rule, additional provi-sions pertaining to the filing requirements forgeneral rate increase requests are found at 4CSR 240-3.030.

(1) In addition to the requirements of 4 CSR240-3.030, any gas utility which submits ageneral rate increase request shall submit thefollowing:

(A) Its depreciation study, database andproperty unit catalog. However, a gas utilityneed not submit a depreciation study, data-base or property unit catalog to the extentthat the commission’s staff received theseitems from the utility during the three (3)years prior to the utility filing for a generalrate increase or before five (5) years haveelapsed since the last time the commission’sstaff received a depreciation study, databaseand property unit catalog from the utility. Thedepreciation study, database and propertyunit catalog shall be compiled as follows:






and surviving dollar investment for eachwarehouse, propane/air production facility,liquefied natural gas facility, undergroundnatural gas storage facility, general officebuilding or other large structure; and



*Original authority: 386.250, RSMo 1939, amended

1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,

1996.

4 CSR 240-3.240 Gas Utility Small Com-pany Rate Increase Procedure(Rescinded September 30, 2009)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Rescinded: Filed March 26,2009, effective Sept. 30, 2009.

4 CSR 240-3.245 Annual Report Submis-sion Requirements for Gas Utilities

PURPOSE: Section 393.140(6), RSMo,includes an obligation for the commission torequire every person and corporation underits supervision to submit an annual report tothe commission. This rule establishes thestandards for the submission of annualreports by gas utilities that are subject to thejurisdiction of the commission, including theprocedures for submitting nonpublic annualreport information.

(1) All gas utilities shall submit an annualreport to the commission on or before April15 of each year, except as otherwise providedfor in this rule.

(2) Gas utilities shall submit their annualreports either on a form provided by the com-mission or on a computer-generated replicathat is acceptable to the commission. Reportsbeing submitted on paper are to be preparedin loose-leaf format and sent to the attentionof the secretary of the commission. Comput-er-generated reports can be submittedthrough the commission’s electronic filingand information system (EFIS). Attempts tosubstitute forms such as stockholder reportswithout concurrently submitting official com-mission forms with appropriate cross-refer-ences will be considered noncompliant. Allrequested information shall be included in theannual report, where applicable, even if it hasbeen provided in a previous annual report.

(3) A gas utility that receives a notice fromthe commission stating that deficiencies existin the information provided in the annualreport shall respond to that notice withintwenty (20) days after the date of the notice,and shall provide the information requested inthe notice in its response.

(4) If a gas utility subject to this rule consid-ers the information requested on the annualreport form to be nonpublic information, itmust submit both a fully completed version tobe kept under seal and a redacted public ver-sion that clearly informs the reader that theredacted information has been submitted asnonpublic information to be kept under seal.Submittals made under this section that donot include both versions will be considereddeficient. The staff on behalf of the commis-sion will issue a deficiency letter to the com-pany and if both versions of the annual reportare not received within twenty (20) days ofthe notice, the submittal will be considerednoncompliant. In addition to the foregoing,submittals made under this section must meetthe following requirements:

(A) A cover letter stating that the utility isdesignating some or all of the information in




Secretary of State


its annual report as confidential information,and including the name, phone number and e-mail address (if available) of the personresponsible for addressing questions regard-ing the confidential portions of the annualreport, must be submitted with the reports;




(5) If an entity asserts that any of the informa-tion contained in the nonpublic version of theannual report should be made available to thepublic, then that entity must file a pleadingwith the commission requesting an order tomake the information available to the public,and shall serve a copy of the pleading on theutility affected by the request. The pleadingmust explain how the public interest is betterserved by disclosure of the information thanthe reason provided by the utility justifyingwhy the information should be kept underseal. The utility affected by the request mayfile a response to a pleading filed under theseprovisions within fifteen (15) days after thefiling of such a pleading. Within five (5) busi-ness days after the due date for the filing ofthe utility’s response to a request filed underthese provisions, the general counsel by filingof a pleading will make a recommendation tothe commission advising whether the requestshould be granted.

(6) A gas utility that is unable to meet thesubmission date established in section (1) ofthis rule may obtain an extension of up tothirty (30) days for submitting its annualreport by:



(7) A gas utility that is unable to meet thesubmission date established in section (1) ofthis rule may request an extension of greaterthan thirty (30) days for submitting its annual

report by:(A) Filing a pleading, in compliance with

the requirements of Chapter 2 of 4 CSR 240,which states the reason for and the length ofthe extension being requested, with the com-mission prior to April 15; and


(8) Responses to deficiency notices under theprovisions of section (3) of this rule, requestsfor confidential treatment under the provi-sions of section (4) of this rule, pleadingsrequesting public disclosure of informationcontained under seal under the provisions ofsection (5) of this rule, and requests forextensions of time under the provisions ofsections (6) or (7) of this rule may be sub-mitted through the commission’s electronicfiling and information system (EFIS).

(9) A gas utility that does not timely file itsannual report, or its response to a notice thatits annual report is deficient, is subject to apenalty of one hundred dollars ($100) and anadditional penalty of one hundred dollars($100) for each day that it is late in filing itsannual report or its response to a notice ofdeficiency.



4 CSR 240-3.250 Submission of Gas UtilityResidential Heat-Related Service ColdWeather Report

PURPOSE: This rule sets forth the require-ments for gas utilities providing residentialheat-related utility service to submit reportsregarding services provided during the com-mission’s designated cold weather period.

(1) Each utility providing heat-related utilityservice shall submit a report to the consumerservices department of the commission foreach calendar month no later than the twenti-eth day of the following month. The utilityshall provide a copy of each report to theOffice of the Public Counsel. The utility shallreport for each operational district into whichthe utility has divided its Missouri serviceterritory the number of days it was permitted

to discontinue service under 4 CSR 240-13.055, and the utility shall separately reporton the information listed below for customersreceiving energy assistance and customerswho are affected by 4 CSR 240-13.055 andnot known to be receiving energy assistance.All information submitted shall be consideredpublic information; however, no customer-specific information shall be reported ormade public. Utilities providing both electricand gas service shall report the informationseparately for their gas-only territory:

(A) How many customers were:1. Disconnected, at the end of the peri-

od;2. Of those disconnected, how many

customers had service discontinued for non-payment during the period.

3. Of those discontinued during the peri-od, how many customers were restored toservice during the period.

(B) Of customers reported as disconnectedat the end of the period:

1. How many had broken a cold weatherrule pay agreement;

2. How many had broken a non-coldweather rule pay agreement;

3. How many had not been on a payagreement.

(C) Of those customers reconnected duringthe period:

1. How many customers received energyassistance (pledged or paid) from:

A. Low Income Home Energy Assis-tance Program (LIHEAP);

B. Energy Crisis Intervention Pro-gram (ECIP);

C. Other sources known to the utili-ties.

2. How much energy assistance was pro-vided by:

A. LIHEAP;B. ECIP;C. Other sources known to the utility;D. Customer.

(D) Of customers restored to service dur-ing the period:

1. How many were put on a cold weath-er rule pay agreement;

2. How many were put on a non-coldweather rule pay agreement.

(E) How much was owed by those discon-nected at the end of the period:

1. How much was owed by those discon-nected during the period;

2. How much was owed by those recon-nected during the period.

(F) How many customers were registeredunder 4 CSR 240-13.055(1)(D) at the end ofthe period:

1. How many customers registered dur-ing the period;

2. How many of such registered cus-tomers had service discontinued during theperiod.

(G) For how many customers during theperiod did the utility receive:

1. LIHEAP;2. ECIP;3. Other assistance known to the utility.

(H) How much cash did the utility receiveon behalf of customers during the periodfrom:

1. LIHEAP;2. ECIP;3. Others known to the utility.

(I) How many customers who requestedreconnection under terms of this rule wererefused service pursuant to section 4 CSR240-13.055(9).

(J) How many customers received energyassistance insufficient in amount to retain orrestore service.

(K) The number of customers who agreedto pay for their heat-related utility serviceunder a payment agreement in accordancewith 4 CSR 240-13.055.

AUTHORITY: section 386.250, RSMo 2000.*Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed April 24,2003, effective Dec. 30, 2003.


4 CSR 240-3.255 Filing Requirements forGas Utility Promotional Practices

PURPOSE: This rule prescribes the filingrequirement for present, proposed or revisedpromotional practices.

(1) Any promotional practices offered by agas utility must meet the requirements set outin the commission’s rules regarding utilitypromotional practices (4 CSR 240-14).

(2) No gas utility or its affiliate shall offer orgrant any additional promotional practice orvary or terminate any existing promotionalpractice, directly or indirectly, or in concertwith others, or by any means whatsoever,until a tariff filing showing the addition orvariation or termination in the form pre-scribed by this rule has been made with thecommission and a copy furnished to eachother gas utility providing the same or com-peting utility service in any portion of the ser-vice area of the filing utility.

(A) The utility shall provide the followinginformation on the tariff sheets:

1. The name, number or letter designa-

tion of the promotional practice;2. The class of persons to which the pro-

motional practice is being offered or granted;3. Whether the promotional practice is

being uniformly offered to all persons withinthat class;

4. A description of the promotionalpractice and a statement of its purpose orobjective;

5. A statement of the terms and condi-tions governing the promotional practice;

6. If the promotional practice is offeredor granted, in whole or in part, by an affiliateor other person, the identity of the affiliate orperson and the nature of their participation;and

7. Other information relevant to a com-plete understanding of the promotional prac-tice.

(B) The utility shall provide the followingsupporting information for each promotionalpractice:

1. A description of the advertising orpublicity to be employed with respect to thepromotional practice;

2. For promotional practices that aredesigned to evaluate the cost-effectiveness ofpotential demand-side resources, a descrip-tion of the evaluation criteria, the evaluationplan and the schedule for completing the eval-uation; and

3. For promotional practices that aredesigned to acquire demand-side resources,documentation of the criteria used and theanalysis performed to determine that thedemand-side resources are cost-effective.



4 CSR 240-3.260 Filing Requirements forGas Utility Rate Schedules

PURPOSE: This rule prescribes the formsand procedures for filing and publishingschedules of rates of all gas utilities under thejurisdiction of the Public Service Commis-sion.

(1) Every gas corporation engaged in themanufacture, furnishing or distribution of gasof any nature whatsoever for light, heat orpower, within the state of Missouri, is direct-ed not later than October 15, 1913, to haveon file with this commission and keep openfor public inspection, schedules showing allrates and charges in connection with suchservice of whatever nature made by the gas

corporations for each and every kind of ser-vice which it renders as were in force onApril 15, 1913, together with proper supple-ments covering all changes in the rate sched-ules authorized by this commission, if any,since April 15, 1913.

(2) All such rate schedules now on file withthe commission not in accordance with thisrule shall be issued in the form and mannerprescribed by this rule and all rate schedulesissued after April 15, 1913, must conform tothis rule.

(3) Rate schedules shall be drawn up substan-tially in accordance with Form No. 14 andshall be plainly printed or typewritten ongood quality of paper of size eight and one-half inches by eleven inches (8 1/2" × 11")in book, sheet or pamphlet form. A loose-leaf plan may be used so changes can bemade by reprinting and inserting a singleleaf. When the loose-leaf plan is used, allsheets, except the title page sheet, must showin the marginal space at the top of the pagethe name of the gas corporation issuing, thePSC number of schedule and the number ofthe page. In the marginal space at the bottomof sheet should be shown—the date of issue,the effective date and the name, title andaddress of the officer by whom the scheduleis issued. All schedules shall bear a numberwith the prefix PSC Mo. _____. Schedulesshall be numbered in consecutive serial orderbeginning with number 1 for each gas corpo-ration. If a schedule or part of a schedule iscancelled, a new schedule or part thereof(sheet(s) if loose-leaf) will refer to the sched-ule canceled by its PSC number; thus: PSCMo. No. _____ canceling PSC Mo. No._____.

(4) Each schedule shall be accompanied by aletter of transmittal, in duplicate if receipt isdesired, which shall be prepared consistentwith the format designated by the commis-sion.

(5) All proposed changes in rates, charges orrentals or in rules that affect rates, charges orrentals filed with the commission shall beaccompanied by a brief summary, approxi-mately one hundred (100) words or less of theeffect of the change on the company’s cus-tomers. A copy of any proposed change andsummary shall also be served on the publiccounsel and be available for public inspectionand reproduction during regular office hoursat the general business office of the utility.

(6) Thirty (30) days’ notice to the commis-sion is required as to every publication relat-ing to gas rates or service except where pub-lications are made effective on less thanstatutory notice by permission, rule or



requirement of the commission.

(7) Except as is otherwise provided, noschedule or supplement will be accepted forfiling unless it is delivered to the commissionfree from all charges or claims for postage,the full thirty (30) days required by lawbefore the date upon which the schedule orsupplement is stated to be effective. No con-sideration will be given to or for the time dur-ing which a schedule or supplement may beheld by the post office authorities because ofinsufficient postage. When a schedule or asupplement is issued and as to which thecommission is not given the statutory notice,it is as if it had not been issued and a fullstatutory notice must be given of any reis-suance. No consideration will be given totelegraphic notices in computing the thirty(30) days’ notice required. In those cases theschedule will be returned to the sender andcorrection of the neglect or omission cannotbe made which takes into account any timeelapsing between the date upon which theschedule or supplement was received and thedate of the attempted correction. For rateschedules and supplements issued on shortnotice under special permission of the com-mission, literal compliance with the require-ments for notice named in any order, rule orpermission granted by the commission willbe exacted.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000.* Original rule filed Aug. 16,2002, effective April 30, 2003, effective April30, 2003.


4 CSR 240-3.265 Natural Gas Utility Peti-tions for Infrastructure System Replace-ment Surcharges

PURPOSE: This rule sets forth the defini-tions, parameters and procedures relevant tothe filing and processing of petitions pertain-ing to an infrastructure system replacementsurcharge (ISRS), including the informationthat a natural gas utility must provide when itfiles a petition and associated rate schedulesto establish, change or reconcile an ISRS.


(A) Appropriate pretax revenues—the rev-enues necessary to:

1. Produce net operating income equalto the natural gas utility’s weighted cost ofcapital multiplied by the net original cost ofeligible infrastructure system replacements,

including recognition of accumulateddeferred income taxes and accumulateddepreciation associated with eligible infras-tructure system replacements that are includ-ed in a currently effective infrastructure sys-tem replacement surcharge (ISRS);

2. Recover state, federal, and localincome or excise taxes applicable to suchincome; and

3. Recover all other ISRS costs;(B) Eligible infrastructure system replace-

ments—natural gas utility plant projects that:1. Replace or extend the useful life of

existing infrastructure;2. Are in service and used and useful;3. Do not increase revenues by directly

connecting the infrastructure replacement tonew customers; and

4. Were not included in the natural gasutility’s rate base in its most recent generalrate case;

(C) Natural gas utility—a gas corporationas defined in section 386.020, RSMo;

(D) ISRS—infrastructure system replace-ment surcharge;

(E) ISRS costs—annual depreciationexpenses, and property taxes that will be duewithin twelve (12) months of the ISRS filingon the total cost of eligible infrastructure sys-tem replacements less annual depreciationexpenses and property taxes on any relatedfacility retirements;

(F) ISRS revenues—revenues producedthrough an ISRS, exclusive of revenues fromall other rates and charges;

(G) Natural gas utility plant projects—pro-jects that consist only of the following:

1. Mains, valves, service lines, regulatorstations, vaults, and other pipeline systemcomponents installed to comply with state orfederal safety requirements as replacementsfor existing facilities that have worn out or arein deteriorated condition;

2. Main relining projects, service lineinsertion projects, joint encapsulation pro-jects, and other similar projects extending theuseful life, or enhancing the integrity ofpipeline system components undertaken tocomply with state or federal safety require-ments; and

3. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of the United States, thisstate, a political subdivision of this state oranother entity having the power of eminentdomain; provided that the costs related tosuch projects have not been reimbursed to thenatural gas utility.

(2) Pursuant to the provisions of this rule andsections 393.1009 to 393.1015, RSMo, a nat-

ural gas utility may file a petition and pro-posed rate schedules with the commission toestablish or change ISRS rate schedules thatwill allow for the adjustment of its rates andcharges to provide for the recovery of costsfor eligible infrastructure system replace-ments; provided that the ISRS, on an annual-ized basis, must produce ISRS revenues of atleast the lesser of one-half of one percent(1/2%) of the natural gas utility’s base rev-enue level approved by the commission in thenatural gas utility’s most recent general ratecase proceeding or one (1) million dollars,but not in excess of ten percent (10%) of thesubject utility’s base revenue level approvedby the commission in the utility’s most recentgeneral rate proceeding.

(3) An ISRS, and any future changes thereto,shall be calculated and implemented in accor-dance with the provisions of this rule and sec-tions 393.1009 to 393.1015, RSMo.

(4) ISRS revenues shall be subject to refundbased upon a finding and order of the com-mission, to the extent provided in subsections(5) and (8) of section 393.1015, RSMo.

(5) The commission shall not approve anISRS for a natural gas utility that has not hada general rate proceeding decided or dis-missed by issuance of a commission orderwithin the past three (3) years, unless thatutility has filed for or is the subject of a newgeneral rate proceeding.

(6) In no event shall a natural gas utility col-lect an ISRS for a period exceeding three (3)years unless it has filed for or is the subjectof a new general rate proceeding; providedthat the ISRS may be collected until the effec-tive date of new rate schedules established asa result of the new general rate proceeding,or until the subject general rate proceeding isotherwise decided or dismissed by issuanceof a commission order without new ratesbeing established.

(7) Upon the filing of a petition seeking toestablish or change an ISRS, the commissionwill provide notice of the filing.

(8) The natural gas utility shall provide thefollowing notices to its customers, with suchnotices to be approved by the commission inaccordance with section (9) of this rule beforethey are sent to the customers:

(A) An initial, one (1)-time notice to allpotentially affected customers, such noticebeing sent to customers no later than whencustomers will receive their first bill thatincludes an ISRS, explaining the subject util-ity’s infrastructure system replacement pro-gram, explaining how its ISRS will be applied


Secretary of State


to its various customer classes and identify-ing the statutory authority under which it isimplementing its ISRS;

(B) An annual notice to affected customerseach year that an ISRS is in effect explainingthe continuation of its infrastructure systemreplacement program and the resulting ISRS;and

(C) A surcharge description on all affectedcustomer bills, which informs the customersof the existence and amount of the ISRS onthe bills.

(9) Within twenty (20) days of the natural gasutility’s filing of a petition to establish anISRS, the subject utility shall submit the fol-lowing items to the commission for approvalor rejection, and the office of the publiccounsel may, within ten (10) days of the gasutility’s filing of this information, submitcomments regarding these notices to the com-mission:

(A) An example of the notice required bysubsection (8)(A) of this rule;

(B) An example of the notice required bysubsection (8)(B) of this rule; and

(C) An example customer bill showing howthe ISRS will be described on affected cus-tomers’ bills in accordance with subsection(8)(C) of this rule.

(10) When a natural gas utility files a petitionpursuant to the provisions of this rule andsections 393.1009 to 393.1015, RSMo, thecommission shall conduct an examination ofthe proposed ISRS.

(11) The staff of the commission may exam-ine the information of the natural gas utilityprovided pursuant to this rule and sections393.1009 to 393.1015, RSMo, to confirm theunderlying costs and proper calculation ofthe proposed ISRS, and may submit a reportregarding its examination to the commissionnot later than sixty (60) days after the naturalgas utility files its petition. The staff shall notexamine any other revenue requirement orratemaking issues in its consideration of thepetition or associated proposed rate sched-ules.

(12) The commission may hold a hearing onthe petition and the associated proposed rateschedules and shall issue an order to becomeeffective not later than one hundred twenty(120) days after the natural gas utility filesthe petition.

(13) If the commission finds that a petitioncomplies with the requirements of sections393.1009 to 393.1015, RSMo, the commis-sion shall enter an order authorizing the nat-ural gas utility to impose an ISRS that is suf-

ficient to recover appropriate pretax rev-enues, as determined by the commission.

(14) The monthly ISRS shall vary accordingto customer class and shall be calculatedbased on the customer numbers reported inthe most recent annual report of the naturalgas utility so long as the monthly ISRS foreach customer class maintains a proportionalrelationship equivalent to the proportionalrelationship of the monthly customer chargefor each customer class.

(15) Commission approval of a petition, andany associated rate schedules, to establish orchange an ISRS pursuant to sections393.1009 to 393.1015, RSMo, shall in noway be binding upon the commission indetermining the ratemaking treatment to beapplied to eligible infrastructure systemreplacements during a subsequent generalrate proceeding when the commission mayundertake to review the prudence of suchcosts. In the event the commission disallows,during a subsequent general rate proceeding,recovery of costs associated with eligibleinfrastructure system replacements previouslyin an ISRS, the natural gas utility shall offsetits ISRS in the future as necessary to recog-nize and account for any such overcollec-tions. Nothing in this rule or section393.1015, RSMo, shall be construed as lim-iting the authority of the commission toreview and consider infrastructure systemreplacement costs along with other costs dur-ing any general rate proceeding of any naturalgas utility.

(16) A natural gas utility may effectuate achange in an ISRS no more often than two (2)times during every twelve (12)-month period,with the first such period beginning on theeffective date of the rate schedules that estab-lish an initial ISRS. For the purposes of thissection, an initial ISRS is the first ISRSgranted to the subject utility or an ISRSestablished after an ISRS is reset to zero pur-suant to the provisions of section (18) of thisrule.

(17) At the end of each twelve (12)-monthperiod that an ISRS is in effect, the naturalgas utility shall reconcile the differencesbetween the revenues resulting from the ISRSand the appropriate pretax revenues as foundby the commission for that period and shallsubmit the reconciliation and proposed ISRSrate schedule revisions to the commission forapproval to recover or refund the difference,as appropriate.

(18) A natural gas utility that has implement-ed an ISRS shall file revised ISRS rate sched-

ules to reset the ISRS to zero when new baserates and charges become effective followinga commission order establishing customerrates in a general rate proceeding that incor-porates eligible costs previously reflected inan ISRS into the subject utility’s base rates.If an over or under recovery of ISRS rev-enues, including any commission orderedrefunds, exists after the ISRS has been resetto zero, that amount of over or under recov-ery shall be tracked in an account and consid-ered in the next ISRS filing of the natural gasutility. The commission shall reject an ISRSpetition after a commission order in a generalrate proceeding unless the ISRS revenuesrequested in the petition, on an annualizedbasis, will produce ISRS revenues of at leastthe lesser of one-half of one percent (1/2%)of the natural gas utility’s base revenue levelapproved by the commission in the naturalgas utility’s most recent general rate case pro-ceeding or one (1) million dollars, but not inexcess of ten percent (10%) of the subjectutility’s base revenue level approved by thecommission in the utility’s most recent gener-al rate proceeding.

(19) Upon the inclusion of eligible costs pre-viously reflected in an ISRS into a natural gasutility’s base rates, the subject utility shallimmediately thereafter reconcile any previ-ously unreconciled ISRS revenues, and trackthem per section (18) of this rule, as neces-sary to ensure that revenues resulting fromthe ISRS match, as closely as possible, theappropriate pretax revenues as found by thecommission for that period.

(20) At the time that a natural gas utility filesa petition with the commission seeking toestablish, change or reconcile an ISRS, itshall submit proposed ISRS rate schedulesand its supporting documentation regardingthe calculation of the proposed ISRS with thepetition, and shall serve the office of the pub-lic counsel with a copy of its petition, its pro-posed rate schedules and its supporting docu-mentation. The subject utility’s supportingdocumentation shall include workpapersshowing the calculation of the proposedISRS, and shall include, at a minimum, thefollowing information:

(A) The state, federal, and local income orexcise tax rates used in calculating the pro-posed ISRS, and an explanation of the sourceof and the basis for using those tax rates;

(B) The regulatory capital structure used incalculating the proposed ISRS, and an expla-nation of the source of and the basis for usingthat capital structure;

(C) The cost rates for debt and preferredstock used in calculating the proposed ISRS,



and an explanation of the source of and thebasis for using those cost rates;

(D) The cost of common equity used incalculating the proposed ISRS, and an expla-nation of the source of and the basis for usingthat equity cost;

(E) The property tax rates used in calculat-ing the proposed ISRS, and an explanation ofthe source of and the basis for using those taxrates;

(F) The depreciation rates used in calculat-ing the proposed ISRS, and an explanation ofthe source of and the basis for using thosedepreciation rates;

(G) The applicable customer class billingunits used in calculating the proposed ISRS,and an explanation of the source of and thebasis for using those billing units;

(H) An explanation of how the proposedISRS is being proportioned between affectedcustomer classes, if applicable;

(I) An explanation of how the infrastruc-ture replacement projects associated with theISRS do not increase revenues by directlyconnecting the infrastructure replacement tonew customers;

(J) An explanation of when the infrastruc-ture replacement projects associated with theISRS were completed and became used anduseful;

(K) For each project for which recovery issought, the net original cost of the infrastruc-ture system replacements (original cost of eli-gible infrastructure system replacements,including recognition of accumulateddeferred income taxes and accumulateddepreciation associated with eligible infras-tructure system replacements which areincluded in a currently effective ISRS), theamount of related ISRS costs that are eligiblefor recovery during the period in which theISRS will be in effect, and a breakdown ofthose costs identifying which of the followingproject categories apply and the specificrequirements being satisfied by the infrastruc-ture replacements for each:

1. Mains, valves, service lines, regulatorstations, vaults, and other pipeline systemcomponents installed to comply with statesafety requirements;

2. Mains, valves, service lines, regulatorstations, vaults, and other pipeline systemcomponents installed to comply with federalsafety requirements;

3. Main relining projects, service lineinsertion projects, joint encapsulation pro-jects, and other similar projects undertaken tocomply with state safety requirements;

4. Main relining projects, service lineinsertion projects, joint encapsulation pro-jects, and other similar projects undertaken tocomply with federal safety requirements;

5. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of the United States;

6. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of this state;

7. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of a political subdivision ofthis state; and

8. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of an entity other than theUnited States, this state, or a political subdi-vision of this state, having the power of emi-nent domain;

(L) For each project for which recovery issought, the statute, commission order, rule,or regulation, if any, requiring the project; adescription of the project; the location of theproject; what portions of the project are com-pleted, used and useful; what portions of theproject are still to be completed; and thebeginning and planned end date of the pro-ject.

(21) In addition to the information requiredby section (20) of this rule, natural gas utili-ties shall, either when they file their proposedISRS rate schedules or when they file theirnext general rate case after an ISRS goes intoeffect, submit, at a minimum, the followingsupporting documentation to staff and theoffice of the public counsel, for each ISRSfiled since the utility’s last general rate case:

(A) An explanation of how long any infras-tructure that was replaced associated with theISRS had been installed when it was removedor abandoned;

(B) An explanation of the efforts of the nat-ural gas utility to quantify and to seek reim-bursement of any costs associated with relo-cations required due to construction orimprovement of a highway, road, street, pub-lic way, or other public work by or on behalfof the United States, this state, a politicalsubdivision of this state, or another entityhaving the power of eminent domain, whichcould offset the requested ISRS revenues;

(C) If any infrastructure replacement pro-jects associated with the ISRS were fundedthrough financing arrangements directedtoward these projects, an explanation of howthe infrastructure replacement projects werefunded, including the amount of any debt andthe interest rate on that debt; and

(D) An explanation of the request for pro-posal (RFP) process, or the reasons for not

using an RFP process, used to establish whatentity performed the infrastructure replace-ment projects associated with the proposedISRS.

(22) In addition to the information requiredby section (20) of this rule, the natural gasutility shall also provide the following infor-mation when it files a petition with the com-mission seeking to establish, change or rec-oncile an ISRS:

(A) A description of all information postedon the subject utility’s website regarding theinfrastructure system replacement surchargeand related infrastructure system replacementprojects; and

(B) A description of all instructions provid-ed to personnel at the subject utility’s callcenter regarding how those personnel shouldrespond to calls pertaining to the ISRS.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000, and 393.1015.11, RSMo Supp.2003.* Original rule filed Sept. 19, 2003,effective May 30, 2004.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 393.140, RSMo 1939, amended 1949, 1967; and393.1015, RSMo 2003.

4 CSR 240-3.270 Submission Require-ments Regarding Plans, Procedures andPrograms for the Transportation of Natu-ral Gas by Pipeline

PURPOSE: This rule sets forth the plans,procedures and programs related to the trans-portation of natural gas by pipelines, whichare to be submitted to designated commissionpersonnel under various provisions of 4 CSR240-40.

(1) General. All gas systems under thepipeline safety jurisdiction of the MissouriPublic Service Commission must establishand submit welding procedures, joining pro-cedures and construction specifications andstandards to designated commission person-nel before construction activities begin. Allother plans, procedures and programsrequired by rules 4 CSR 240-40.020, 4 CSR240-40.030, and 4 CSR 240-40.080 must beestablished and submitted to designated com-mission personnel before the system is putinto operation.

(2) The plans, procedures and programs list-ed in subsections (A)–(H) below must be sub-mitted to designated commission personnel inaccordance with 4 CSR 240-40.030(1)(J) andmaintained and modified in accordance with


Secretary of State


4 CSR 240-40.030(1)(G).(A) Written welding procedures in accor-

dance with 4 CSR 240-40.030(5);(B) Written procedures for joining

pipelines other than by welding in accordancewith 4 CSR 240-40.030(6)(B) and (6)(G);

(C) Written procedures for controlling cor-rosion in accordance with the operation andmaintenance requirements contained in 4CSR 240-40.030(9) in accordance with 4CSR 240-40.030(9)(C);

(D) A manual of written procedures forconducting operations and maintenance activ-ities and for emergency response in accor-dance with 4 CSR 240-40.030(12)(C).Transmission lines that are not exempt under4 CSR 240-40.030(12)(C)3.E. must also sub-mit a manual that includes procedures forhandling abnormal operations in accordancewith 4 CSR 240-40.030(12)(C)3.;

(E) A written operator qualification pro-gram for individuals performing coveredtasks on a pipeline facility in accordance with4 CSR 240-40.030(12)(D);

(F) A written program to prevent damageto pipelines by excavation activities in accor-dance with 4 CSR 240-40.030(12)(I)1.;

(G) Written procedures to minimize thehazard resulting from a gas pipeline emergen-cy in accordance with 4 CSR 240-40.030(12)(J)1.; and

(H) Written programs for the replacementof unprotected steel service lines and yardlines and cast iron mains and the cathodicprotection or replacement of unprotectedsteel mains in accordance with 4 CSR 240-40.030(15)(B).



4 CSR 240-3.275 Submission Require-ments for Gas Utility Depreciation Studies

PURPOSE: This rule sets forth the require-ments regarding the submission of deprecia-tion studies by gas utilities.

(1) Each gas utility subject to the commis-sion’s jurisdiction shall submit a depreciationstudy, database and property unit catalog tothe manager of the commission’s energydepartment and to the Office of the PublicCounsel, as required by the terms of subsec-tion (1)(B).

(A) The depreciation study, database andproperty unit catalog shall be compiled as fol-

lows:1. The study shall reflect the average life

and remaining life of each primary plantaccount or subaccount;





and surviving dollar investment for eachwarehouse, propane/air production facility,liquefied natural gas facility, undergroundnatural gas storage facility, general officebuilding or other large structure; and


(B) A gas utility shall submit its deprecia-tion study, database and property unit catalogon the following occasions:

1. On or before the date adjoining thefirst letter of the name under which the cor-poration does business, excluding the wordthe, as indicated by the tariffs on file with thecommission.

A. The alphabetical categories andsubmission due dates are as follows:

(I) A, B, C, D: January 1, 1994;(II) E, F, G, H: July 1, 1994;(III) I, J, K, L: January 1, 1995;(IV) M, N, O, P: July 1, 1995;(V) Q, R, S, T: January 1, 1996;

and(VI) U, V, W, X, Y, Z: July 1,

1996.B. However—

(I) A gas utility need not submit adepreciation study, database or property unitcatalog to the extent that the commission’sstaff received these items from the utilityduring the three (3) years prior to the duedates listed in subparagraph (1)(B)1.A.; and

(II) A utility with simultaneous duedates under subparagraph (1)(B)1.A. aboveand 4 CSR 240-3.175(1)(B)1. may postponeits due date with respect to one (1) of theserules by six (6) months. To exercise thisoption, the utility must give written notice ofits intent to postpone compliance to the man-ager of the commission’s energy department,and to the Office of the Public Counsel,before the utility’s first due date;

2. Before five (5) years have elapsedsince the last time the commission’s staffreceived a depreciation study, database andproperty unit catalog from the utility.

(2) The commission may waive or grant avariance from the provisions of this rule, inwhole or in part, for good cause shown, upona utility’s written application.



4 CSR 240-3.280 Submission Require-ments Regarding Gas Utility Written Drugand Alcohol Testing Plans

PURPOSE: This rule prescribes the require-ments for submitting drug and alcohol testingplans for natural gas corporations, which arefurther described in 4 CSR 240-40.080.

(1) Written Drug and Alcohol Testing Plans.A written plan for drug and alcohol testing inaccordance with 4 CSR 240-40.080 must besubmitted to designated commission person-nel.



4 CSR 240-3.285 Filing RequirementsRegarding Certification of Gas Sellers

PURPOSE: This rule establishes the proce-dure for certification of gas sellers pursuantto sections 393.297 through 393.301, RSMo.

(1) Each natural gas seller seeking certifica-tion shall submit an agreement containingonly the following, pursuant to section393.299, RSMo:

(A) Its agreement to pay all applicablebusiness license taxes, or its proportionateshare of the franchise fee or payment in lieuof taxes (PILOT) in each political subdivisionin which it sells gas;

(B) A statement that it waives its right tochallenge the validity of the agreement;

(C) A statement that it waives its right tothe refund of any amounts paid pursuant tothe agreement; and

(D) Its agreement to make its records avail-able to the commission and the political sub-division with the right to audit the records.



(2) Each gas seller seeking certification shallalso provide the following information to thecommission:

(A) Its name, address, telephone number,and the name of a person(s) to contact regard-ing certification, location of records and busi-ness operations in Missouri; and

(B) A list of each political subdivision inwhich it sells gas.

(3) The application for certification shall bein the form prescribed by the commission.


*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996 and 393.299, RSMo 1998.

4 CSR 240-3.290 Submission Require-ments Regarding Gas Utility Incident,Annual and Safety-Related ConditionReports

PURPOSE: This rule prescribes the require-ments for submitting incident, annual, andsafety-related condition reports, which arefurther described in 4 CSR 240-40.020.

(1) Incident Reports. Incident reports must besubmitted to designated commission person-nel in accordance with 4 CSR 240-40.020(4)(C), 4 CSR 240-40.020(4)(D)1., 4CSR 240-40.020(6) and 4 CSR 240-40.020(9).

(2) Safety-Related Condition Reports. Safety-related condition reports required by 4 CSR240-40.020(12) must be submitted to desig-nated commission personnel in accordancewith 4 CSR 240-40.020(4)(E) and 4 CSR240-40.020(13).

(3) Annual Reports. Annual reports must besubmitted to designated commission person-nel in accordance with 4 CSR 240-40.020(4)(D)2., 4 CSR 240-40.020(7) and 4CSR 240-40.020(10).



4 CSR 240-3.295 Submission Require-ments Regarding Gas Utility Written Pro-cedures for Conversion of Service andUprating

PURPOSE: This rule prescribes the require-ments for submitting written procedures forconversion of service and uprating ofpipelines, which are further described in 4CSR 240-40.030.

(1) Conversion to Service. Conversion ofsteel pipelines, previously used in service notsubject to this rule, for use under this rulemust follow written procedures in accordancewith 4 CSR 240-40.030(1)(H).

(2) Uprating. Written procedures to uprate asegment of pipeline must be established thatwill ensure compliance with 4 CSR 240-40.030(11) in accordance with 4 CSR 240-40.030(11)(B)3.

(3) Waivers of Compliance. Waivers of Com-pliance from any rules and requirements thatare more stringent than the minimum federalrequirements must be submitted in accor-dance with 4 CSR 240-40.030(16).



4 CSR 240-3.300 Definitions PertainingSpecifically to Sewer Utility Rules

PURPOSE: This rule sets forth the definitionsof certain terms used in rules 4 CSR 240-3.305 through 4 CSR 240-3.340, which are inaddition to the definitions set forth in rule 4CSR 240-3.010 of this chapter.

(1) Outlet means a service sewer connectionto the collecting sewer.

(2) Sewage means ground garbage, humanand animal excretions and all other liquidwaste normally disposed of by a residential,commercial or industrial establishment,through the sanitary sewer system.

(3) Sewer service means the removal andtreatment of sewage.

(4) Sewer system includes all pipes, pumps,canals, lagoons, plants, structures and appli-ances and all other real estate, fixtures andpersonal property, owned, operated, con-trolled or managed in connection with or tofacilitate the collection, carriage, treatment

and disposal of sewage for municipal, domes-tic or other beneficial or necessary purpose.



4 CSR 240-3.305 Filing Requirements forSewer Utility Applications for Certificatesof Convenience and Necessity


(1) In addition to the requirements of 4 CSR240-2.060(1), applications for a certificate ofconvenience and necessity by a sewer compa-ny shall include the following information:







(B) When no evidence of approval of theaffected governmental bodies is necessary, astatement to that effect;

(C) When approval of the affected govern-mental bodies is required, evidence must beprovided as follows:


Secretary of State




(D) The facts showing that the granting ofthe application is required by the public con-venience and necessity.




4 CSR 240-3.310 Filing Requirements forSewer Utility Applications for Authority toSell, Assign, Lease or Transfer Assets







(E) If the purchaser is subject to the juris-diction of the commission, a balance sheetand income statement with adjustments show-ing the results of the acquisitions of the prop-erty; and

(F) A statement of the impact, if any, thesale, assignment, lease or transfer of assetswill have on the tax revenues of the politicalsubdivisions in which any structures, facili-ties or equipment of the companies involved

in that sale are located.





4 CSR 240-3.315 Filing Requirements forSewer Utility Applications for Authority toMerge or Consolidate









(2) If the purchaser is not subject to the juris-diction of the commission, but will be subjectto the commission’s jurisdiction after thesale, the purchaser must comply with these

rules.




4 CSR 240-3.320 Filing Requirements forSewer Utility Applications for Authority toIssue Stock, Bonds, Notes and Other Evi-dences of Indebtedness



















4 CSR 240-3.325 Filing Requirements forSewer Utility Applications for Authority toAcquire the Stock of a Public Utility









4 CSR 240-3.330 Sewer Utility Small Com-pany Rate Increase Procedure(Rescinded September 30, 2009)

AUTHORITY: section 386.250, RSMo 2000.

Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Rescinded: Filed March 26,2009, effective Sept. 30, 2009.

4 CSR 240-3.335 Annual Report Submis-sion Requirements for Sewer Utilities

PURPOSE: Section 393.140(6), RSMo,includes an obligation for the commission torequire every person and corporation underits supervision to submit an annual report tothe commission. This rule establishes thestandards for the submission of annualreports by sewer utilities that are subject tothe jurisdiction of the commission, includingthe procedures for submitting nonpublicannual report information.

(1) All sewer utilities shall submit an annualreport to the commission on or before April15 of each year, except as otherwise providedfor in this rule.

(2) Sewer utilities shall submit their annualreports either on a form provided by the com-mission or on a computer-generated replicathat is acceptable to the commission. Reportsbeing submitted on paper are to be preparedin loose-leaf format and sent to the attentionof the secretary of the commission. Comput-er-generated reports can be submittedthrough the commission’s electronic filingand information system (EFIS). Attempts tosubstitute forms such as stockholder reportswithout concurrently submitting official com-mission forms with appropriate cross-refer-ences will be considered noncompliant. Allrequested information shall be included in theannual report, where applicable, even if it hasbeen provided in a previous annual report.

(3) A sewer utility that receives a notice fromthe commission stating that deficiencies existin the information provided in the annualreport shall respond to that notice withintwenty (20) days after the date of the notice,and shall provide the information requested inthe notice in its response.

(4) If a sewer utility subject to this rule con-siders the information requested on the annu-al report form to be nonpublic information, itmust submit both a fully completed version tobe kept under seal and a redacted public ver-sion that clearly informs the reader that theredacted information has been submitted asnonpublic information to be kept under seal.Submittals made under this section that donot include both versions will be considereddeficient. The staff on behalf of the commis-sion will issue a deficiency letter to the com-pany and if both versions of the annual report

are not received within twenty (20) days ofthe notice, the submittal will be considerednoncompliant. In addition to the foregoing,submittals made under this section must meetthe following requirements:






(6) A sewer utility that is unable to meet thesubmission date established in section (1) ofthis rule may obtain an extension of up tothirty (30) days for submitting its annualreport by:


(B) Certifying that a copy of the written


Secretary of State


request was sent to all parties of record inpending cases before the commission wherethe utility’s activities are the primary focus ofthe proceedings.

(7) A sewer utility that is unable to meet thesubmission date established in section (1) ofthis rule may request an extension of greaterthan thirty (30) days for submitting its annualreport by:



(8) Responses to deficiency notices under theprovisions of section (3) of this rule, requestsfor confidential treatment under the provi-sions of section (4) of this rule, pleadingsrequesting public disclosure of informationcontained under seal under the provisions ofsection (5) of this rule, and requests forextensions of time under the provisions ofsections (6) or (7) of this rule may be submit-ted through the commission’s electronic fil-ing and information system (EFIS).

(9) A sewer utility that does not timely file itsannual report, or its response to a notice thatits annual report is deficient, is subject to apenalty of one hundred dollars ($100) and anadditional penalty of one hundred dollars($100) for each day that it is late in filing itsannual report or its response to a notice ofdeficiency.



4 CSR 240-3.340 Filing Requirements forSewer Utility Tariff Schedules

PURPOSE: This rule prescribes the form,contents and procedures for filing tariffschedules by all sewer corporations under thejurisdiction of the Public Service Commis-sion.

(1) Each sewer utility shall have on file withthis commission a tariff schedule and allforms of contracts and agreements of whatev-

er nature made by such sewer utility for eachand every kind of service which it renders.For purposes of this rule the term tariffschedule shall include: schedules showing allrates and charges; all rules relating to rates,charges of service; all general privilegesgranted or allowed; and all maps of the areaserved or professed to be served and the legaldescription thereof.

(2) All tariff schedules now on file with thecommission, not in accordance with this rule,shall be reissued in the form and manner pre-scribed and all tariff schedules issued afterMarch 2, 1973 must conform to this rule.

(3) Tariff schedules shall be drawn up sub-stantially in accordance with this commis-sion’s Form No. 13 and shall be plainly print-ed or typewritten on good quality paper ofeight and one-half inches by eleven inches (81/2" × 11") in book, sheet or pamphletform. A loose-leaf plan may be used sochanges can be made by reprinting and insert-ing a single leaf. When the loose-leaf plan isused, all sheets, except the title page sheet,must show in the marginal space at top ofpage the name of the sewer utility issuing, thePSC number of schedule and the number ofthe page. In the marginal space at bottom ofsheet shall be shown the date of issue, theeffective date and the name, title and addressof the officer by whom the schedule is issued.All tariff schedules shall bear a number withthe prefix PSC Mo. No. _____. Tariff sched-ules for each sewer utility shall be numberedin consecutive serial order beginning with 1.If a tariff schedule or part thereof is canceled,a new schedule or part thereof (sheet(s) ifloose-leaf) will refer to the schedule can-celed, by its PSC number; thus, the PSC Mo.No. _____ canceling PSC Mo. No. _____.


(5) Each sewer utility shall keep a copy of itstariff schedule open for public inspection andreadily accessible to any member of the pub-lic upon demand during business hours at itsprincipal operating office and in each divi-sion office which is now or may be estab-lished. Any proposed changes in the tariffschedule shall be readily accessible to anymember of the public upon demand in theoffices of the sewer utility for a period of thir-ty (30) days prior to the effective date of suchchange. If, for good cause shown, the com-mission allows a change without thirty (30)days’ notice, the sewer utility shall display

such proposed change at its office for theperiod prescribed by the commission prior tothe effective date of the change.

(6) The following shall apply to all sewer util-ities operating in the state of Missouri andeach utility shall have on file as a part of itstariff schedule, rules which substantially con-form thereto:

(A) Each sewer utility shall have on filewith the commission rules relating to advancepayments and deposits. If a utility requiresadvance payments for sewer service, it willnot be permitted to require the customer tomake a deposit to insure payment of bills. Ifthe utility does not require advance paymentsfor sewer service, it may require from anycustomer at any time a cash deposit, providedthat the amount of any such deposit sorequired shall not exceed the amount due forservice for one (1) billing period plus thirty(30) days;

(B) Interest at the rate of six percent (6%)per annum covering the period of the depositshall be paid by the utility to the customer orapplied to the customer’s account, uponreturn of any deposit to the customer or theapplication of such deposit to the customer’saccount; provided the cash deposit remainswith the utility for a period of at least twelve(12) months;

(C) These provisions shall not apply to anydeposits or guarantees made by the customerfor the purpose of securing an extension of oradditions to a utility’s collecting system inaccordance with the utility’s rules coveringthe extensions as filed with this commission;

(D) Interest shall not accrue on any cashdeposit after the date the utility has made abona fide effort to return such deposit to thedepositor. The utility shall keep in its recordsevidence of its effort to return such deposit;

(E) Each utility shall issue to every cus-tomer from whom a deposit is received, anonassignable receipt;

(F) Each utility shall maintain accuraterecords of customer deposits which includethe original amount, the date of the depositand any transaction relating to the deposit orinterest on the deposit; and

(G) If a customer requests discontinuanceof sewer service to the premises, the utilitywill refund the unearned portion of anyadvance payment on a pro rata basis, provid-ed the customer has given proper notice tothe utility as required by its rules on file withthe Public Service Commission.

(7) Each sewer utility shall file with the com-mission a sample of each type of customerbill form used by the utility, which shall pro-vide for inclusion of the gross and/or netamount of the bill and the date by which the



customer must pay the bill in order to benefitfrom any discount or to avoid any penalty.The utility shall specify its billing period,which shall in no case exceed a period of six(6) months.

(8) Each utility shall specify the conditionsunder which it may discontinue service to acustomer, which conditions may include, butnot necessarily be limited to, nonpayment forservices rendered in accordance with the tar-iff schedule on file for the utility with thiscommission and noncompliance with the util-ity’s rules filed with the commission.

(9) Each utility shall include in its rules thatprior to physical discontinuance of service,the utility will mail at least thirty (30) days’written notice to the customers by certifiedmail return receipt requested and a copy ofthe written notice will be forwarded to thiscommission. The written notice shall statethe violation and service may be discontinuedat any time after the expiration of the speci-fied period, provided satisfactory arrange-ments for continuance of the service have notbeen made. The requirement of a thirty (30)-day written notice prior to discontinuance ofservice may be waived where discharge ofmaterials which might be detrimental to thepublic health and safety or cause damage tothe sewer system of the utility are discovered.In the event of discontinuance of service forthis reason, the customer and the commissionshall be notified of such discontinuanceimmediately with a statement concerning thereasons for discontinuance.

(10) Each sewer utility shall include in its tar-iff schedule a statement of the practices andpolicies of the utility governing extension ofits collecting system to provide service toprospective customers.

(11) Each utility shall specify the conditionsunder which it may refuse to provide serviceto an applicant, which conditions mayinclude, but shall not be necessarily limitedto, noncompliance with the utility’s rules asfiled with this commission, rules of this com-mission or local governmental regulations. Ifthe utility refuses to serve an applicant underthe provisions of this rule or any other rule,the utility shall inform the applicant in writ-ing of the basis for its refusal and the appli-cant may appeal to the commission for a rul-ing.

(12) The utility shall physically inspect allservice sewer connections to its system. Theapplicant for service shall provide adequateadvance notice to the utility to facilitate theinspection.

(13) Each sewer utility shall also have on file

as a part of its tariff schedule, rules applica-ble to, but not limited to, the following items:applications for service; availability of ser-vice; interruption of service; and right ofaccess to customer’s premises.

(14) All proposed changes in rates, chargesor rentals or in rules that affect rates, chargesor rentals filed with the commission shall beaccompanied by a brief summary, approxi-mately one hundred (100) words or less, ofthe effect of the change on the company’scustomers. A copy of any proposed changeand summary shall also be served on the pub-lic counsel and be available for public inspec-tion and reproduction during regular officehours at the general business office of theutility.

(15) Thirty (30) days’ notice to the commis-sion is required as to every publication relat-ing to sewer rates or service except wherepublications are made effective on less thanstatutory notice by permission, regulation orrequirement of the commission.

(16) Except as is otherwise provided, noschedule or supplement will be accepted forfiling unless it is delivered to the commissionfree from all charges or claims for postage,the full thirty (30) days required by lawbefore the date upon which such schedule orsupplement is stated to be effective. No con-sideration will be given to or for the time dur-ing which a schedule or supplement may beheld by the post office authorities because ofinsufficient postage. When a schedule or asupplement is issued and as to which thecommission is not given the statutory notice,it is as if it had not been issued and a fullstatutory notice must be given of any reis-suance. No consideration will be given totelegraphic notices in computing the thirty(30) days’ notice required. In such cases theschedule will be returned to the sender andcorrection of the neglect or omission cannotbe made which takes into account any timeelapsing between the date upon which theschedule or supplement was received and thedate of the attempted correction. For rateschedules and supplements issued on shortnotice under special permission of the com-mission, literal compliance with the require-ments for notice named in any order, regula-tion or permission granted by the commissionwill be exacted.



4 CSR 240-3.400 Filing Requirements forSteam Heating Utility Applications forCertificates of Convenience and Necessity

PURPOSE: Applications to the commissionrequesting that the commission grant a cer-tificate of convenience and necessity mustmeet the requirements of this rule. As noted inthe rule, additional requirements pertainingto such applications are set forth in 4 CSR240-2.060(1).

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for a certificate ofconvenience and necessity shall include thefollowing information:







(B) If the application is for electrical trans-mission lines or electrical production facili-ties—

1. A description of the route of con-struction and a list of all electric and tele-phone lines of regulated and nonregulatedutilities, railroad tracks or any undergroundfacility, as defined in section 319.015,RSMo, which the proposed construction willcross;


3. Plans for financing;


Secretary of State


(C) When no evidence of approval of theaffected governmental bodies is necessary, astatement to that effect;








4 CSR 240-3.405 Filing Requirements forSteam Heating Utility Applications forAuthority to Sell, Assign, Lease or Trans-fer Assets






(D) The reasons the proposed sale of theassets is not detrimental to the public interest;and

(E) If the purchaser is subject to the juris-diction of the commission, a balance sheet

and income statement with adjustments show-ing the results of the acquisitions of the prop-erty.





4 CSR 240-3.410 Filing Requirements forSteam Heating Utility Applications forAuthority to Merge or Consolidate






(D) The reasons the proposed merger isnot detrimental to the public interest; and

(E) An estimate of the impact of the merg-er on the company’s Missouri jurisdictionaloperations relative to the merger and acquisi-tion in question.






4 CSR 240-3.415 Filing Requirements forSteam Heating Utility Applications forAuthority to Issue Stock, Bonds, Notes andOther Evidences of Indebtedness




















4 CSR 240-3.420 Filing Requirements forSteam Heating Utility Applications forAuthority to Acquire the Stock of a PublicUtility









4 CSR 240-3.425 Filing Requirements forSteam Heating Utility Rate Schedules

PURPOSE: This rule prescribes the form andgoverns the filing and publication of rateschedules of steam heating utilities regulatedby the Public Service Commission.

(1) Every steam heating company engaged inmanufacturing and distributing and selling, ordistribution or distributing steam for motivepower, heating, cooking or for any public use

or service, is directed not later than October15, 1913, to have on file with this commis-sion, and keep open for public inspection,schedules showing all rates and charges inconnection with such service of whatevernature made by such steam heating compa-nies for each and every kind of service whichit renders as were in force on April 15, 1913,together with proper supplements covering allchanges in the rate schedules authorized bythis commission, if any, since April 15,1913.

(2) All rate schedules on file on October 15,1913, with the commission, not in accor-dance with these rules, shall be issued in theform and manner prescribed by this rule andall rate schedules issued after October 15,1913, must conform to this rule.

(3) Rate schedules shall be drawn up substan-tially in accordance with PSC Form No. 16and shall be plainly printed or typewritten ongood quality of paper of size eight and one-half inches by eleven inches (8 1/2" × 11")in book, sheet or pamphlet form. A loose-leaf plan may be used so changes can bemade by reprinting and inserting a singleleaf. When the loose-leaf plan is used, allsheets, except the title page sheet, must show,in the marginal space at top of page, the nameof the heating company, the PSC number ofthe schedule and the number of the page. Inthe marginal space at the bottom of the sheetshall be shown the date of issue, effectivedate and the name, title and address of theofficer by whom the schedule is issued. Allschedules shall bear a number with the prefixPSC Mo. _____. Schedules shall be num-bered in consecutive serial order beginningwith number 1 for each steam heating compa-ny. If a schedule or a part is canceled, a newschedule or part (sheet(s) if loose-leaf) willrefer to the schedule canceled by its PSCnumber; thus, PSC Mo. No. _____ cancelingPSC Mo. No. _____.


(5) Thirty (30) days’ notice to the commis-sion is required as to every publication relat-ing to steam heating rates or service exceptwhere publications are made effective on lessthan statutory notice by permission, regula-tion or requirement of the commission.

(6) Except as is otherwise provided, noschedule or supplement will be accepted forfiling unless it is delivered to the commission

free from all charges or claims for postage,the full thirty (30) days required by lawbefore the date upon which such schedule orsupplement is stated to be effective. No con-sideration will be given to or for the time dur-ing which a schedule or supplement may beheld by the post office authorities because ofinsufficient postage. When a schedule or asupplement is issued and as to which thecommission is not given the statutory notice,it is as if it had not been issued and a fullstatutory notice must be given of any reis-suance. No consideration will be given totelegraphic notices in computing the thirty(30) days’ notice required. In such cases theschedule will be returned to the sender andcorrection of the neglect or omission cannotbe made which takes into account any timeelapsing between the date upon which suchschedule or supplement was received and thedate of the attempted correction. For rateschedules and supplements issued on shortnotice under special permission of the com-mission, literal compliance with the require-ments for notice named in any order, regula-tion or permission granted by the commissionwill be exacted.

AUTHORITY: sections 386.250, 393.140 and393.290, RSMo 2000.* Original rule filedAug. 16, 2002, effective April 30, 2003.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 393.140, RSMo 1939, amended 1949, 1967; and393.290, RSMo 1939, amended 1967.

4 CSR 240-3.435 Annual Report Submis-sion Requirements for Steam Heating Util-ities

PURPOSE: Section 393.140(6), RSMo,includes an obligation for the commission torequire every person and corporation underits supervision to submit an annual report tothe commission, and section 393.290 pro-vides for the commission’s jurisdiction oversteam heating utilities. This rule establishesthe standards for the submission of annualreports by steam heating utilities that are sub-ject to the jurisdiction of the commission,including the procedures for submitting non-public annual report information.

(1) All steam heating utilities shall submit anannual report to the commission on or beforeApril 15 of each year, except as is otherwiseprovided for in this rule.

(2) Steam heating utilities shall submit theirannual reports either on a form provided bythe commission or on a computer-generatedreplica that is acceptable to the commission.


Secretary of State


Reports being submitted on paper are to beprepared in loose-leaf format and sent to theattention of the secretary of the commission.Computer-generated reports can be submittedthrough the commission’s electronic filingand information system (EFIS). Attempts tosubstitute forms such as stockholder reportswithout concurrently submitting official com-mission forms with appropriate cross-refer-ences will be considered noncompliant. Allrequested information shall be included in theannual report, where applicable, even if it hasbeen provided in a previous annual report.

(3) A steam heating utility that receives anotice from the commission stating that defi-ciencies exist in the information provided inthe annual report shall respond to that noticewithin twenty (20) days after the date of thenotice, and shall provide the informationrequested in the notice in its response.

(4) If a steam heating utility subject to thisrule considers the information requested onthe annual report form to be nonpublic infor-mation, it must submit both a fully completedversion to be kept under seal and a redactedpublic version that clearly informs the readerthat the redacted information has been sub-mitted as nonpublic information to be keptunder seal. Submittals made under this sec-tion that do not include both versions will beconsidered deficient. The staff on behalf ofthe commission will issue a deficiency letterto the company and if both versions of theannual report are not received within twenty(20) days of the notice, the submittal will beconsidered noncompliant. In addition to theforegoing, submittals made under this sectionmust meet the following requirements:


(B) The cover of each version of the reportmust clearly identify whether it is the publicor non-public version;


(D) Each page of each version of the reportthat contains non-public information shall beclearly identified as containing such informa-tion.


(6) A steam heating utility that is unable tomeet the submission date established in sec-tion (1) of this rule may obtain an extensionof up to thirty (30) days for submitting itsannual report by:



(7) A steam heating utility that is unable tomeet the submission date established in sec-tion (1) of this rule may request an extensionof greater than thirty (30) days for submittingits annual report by:




(9) A steam heating utility that does not time-ly file its annual report, or its response to anotice that its annual report is deficient, issubject to a penalty of one hundred dollars($100) and an additional penalty of one hun-dred dollars ($100) for each day that it is latein filing its annual report or its response to anotice of deficiency.

AUTHORITY: sections 386.250, 393.140 and393.290, RSMo 2000.* Original rule filedAug. 16, 2002, effective April 30, 2003.Amended: Filed Nov. 7, 2003, effective April30, 2004.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 393.140, RSMo 1939, amended 1949, 1967; and393.290, RSMo 1939, amended 1967.

4 CSR 240-3.440 Small Steam HeatingUtility Rate Case Procedure(Rescinded September 30, 2009)

AUTHORITY: sections 386.250 and 393.140,RSMo 2000, and 393.291, RSMo Supp. 2003.Original rule filed Sept. 22, 2003, effectiveApril 30, 2004. Rescinded: Filed March 26,2009, effective Sept. 30, 2009.

4 CSR 240-3.500 Definitions PertainingSpecifically to Telecommunication Compa-ny Rules(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed Oct. 30,2003, effective June 30, 2004. Rescinded:Filed April 1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.505 Filing Requirements forTelecommunications Company Applica-tions for Certificates of Interexchange Ser-vice Authority to Provide Customer-Owned Coin Telephone Service(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Rescinded: Filed April 1,2015, effective Dec. 30, 2015.

4 CSR 240-3.510 Filing Requirements forTelecommunications Company Applica-tions for Certificates of Service Authorityto Provide Telecommunications Services,Whether Interexchange, Local Exchange,or Basic Local Exchange(Rescinded December 30, 2015)



AUTHORITY: sections 386.250 and 392.455,RSMo 2000 and sections 392.450 and392.451, RSMo Supp. 2010. Original rulefiled Aug. 16, 2002, effective April 30, 2003.Amended: Filed March 19, 2004, effectiveNov. 30, 2004. Amended: Filed Oct. 28,2010, effective May 30, 2011. Rescinded:Filed April 1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.513 Filing and SubmissionRequirements for TelecommunicationsCompany Applications for Approval ofInterconnection Agreements, Amendmentsto Interconnection Agreements, and forNotices of Adoptions of InterconnectionAgreements or Statements of GenerallyAvailable Terms(Rescinded December 30, 2015)

AUTHORITY: sections 386.250 and 386.410,RSMo 2000. Original rule filed Dec. 7, 2004,effective June 30, 2005. Rescinded: FiledApril 1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.515 Filing Requirements forTelecommunications Company Applica-tions for Certificates of Service Authorityto Provide Shared Tenant Services(Rescinded December 30, 2015)


4 CSR 240-3.520 Filing Requirements forTelecommunications Company Applica-tions for Authority to Sell, Assign, Leaseor Transfer Assets(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed March 19,2004, effective Nov. 30, 2004. Rescinded:Filed April 1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.525 Filing Requirements forTelecommunications Company Applica-tions for Authority to Merge or Consoli-date(Rescinded December 30, 2015)


4 CSR 240-3.530 Filing Requirements forTelecommunications Company Applica-tions for Authority to Issue Stock, Bonds,Notes and Other Evidences of Indebted-ness(Rescinded December 30, 2015)


4 CSR 240-3.535 Filing Requirements forTelecommunications Company Applica-tions for Authority to Acquire the Stock ofa Public Utility(Rescinded December 30, 2015)


4 CSR 240-3.540 Annual Report Submis-sion Requirements for TelecommunicationsCompanies(Rescinded December 30, 2015)

AUTHORITY: sections 386.250 and 392.210,RSMo 2000. Original rule filed Aug. 16,2002, effective April 30, 2003. Amended:Filed Nov. 7, 2003, effective April 30, 2004.Rescinded: Filed April 1, 2015, effective Dec.30, 2015.

4 CSR 240-3.545 Filing Requirements forTelecommunications Company Tariffs(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Rescinded and readopted:Filed Jan. 28, 2004, effective Sept. 30, 2004.Amended: Filed May 12, 2006, effective Dec.30, 2006. Amended: Filed Dec. 16, 2009,effective July 30, 2010. Rescinded: Filed April1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.550 TelecommunicationsCompany Records and Reports(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed Oct. 30,2003, effective June 30, 2004. Rescinded:Filed April 1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.555 TelecommunicationsCompany Residential Customer Inquiries(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Amended: Filed Jan. 28,2004, effective Sept. 30, 2004. Rescinded:Filed April 1, 2015, effective Dec. 30, 2015.

4 CSR 240-3.560 Telecommunications Pro-cedure for Ceasing Operations(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed March 19, 2004, effectiveNov. 30, 2004. Rescinded: Filed April 1,2015, effective Dec. 30, 2015.

4 CSR 240-3.565 Procedure for Telecom-munications Companies That File Bank-ruptcy(Rescinded December 30, 2015)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed March 19, 2004, effectiveNov. 30, 2004. Rescinded: Filed April 1,2015, effective Dec. 30, 2015.

4 CSR 240-3.570 Requirements for CarrierDesignation as Eligible Telecommunica-tions Carriers (Rescinded April 30, 2014)

AUTHORITY: sections 386.040, 386.250,392.451, and 392.470, RSMo 2000. Originalrule filed Oct. 31, 2005, effective June 30,2006. Amended: Filed Aug. 28, 2007, effec-tive March 30, 2008. Rescinded: Filed Aug.7, 2013, effective April 30, 2014.

4 CSR 240-3.600 Filing Requirements forWater Utility Applications for Certificatesof Convenience and Necessity


(1) In addition to the requirements of 4 CSR240-2.060(1), applications for a certificate ofconvenience and necessity by a water compa-ny shall include the following information:

(A) If the application is for a service


Secretary of State


area—1. A statement as to the same or similar

utility service, regulated and nonregulated,available in the area requested;





(B) When no evidence of approval of theaffected governmental bodies is necessary, astatement to that effect;

(C) When approval of the affected govern-mental bodies is required, evidence must beprovided as follows:



(D) The facts showing that the granting ofthe application is required by the public con-venience and necessity.




4 CSR 240-3.605 Filing Requirements forWater Utility Applications for Authority toSell, Assign, Lease or Transfer Assets







(E) If the purchaser is subject to the juris-diction of the commission, a balance sheet andincome statement with adjustments showingthe results of the acquisitions of the property;and






4 CSR 240-3.610 Filing Requirements forWater Utility Applications for Authority toMerge or Consolidate

PURPOSE: Applications to the commissionfor the authority to merge or consolidate mustmeet the requirements set forth in this rule.As noted in the rule, additional requirements

pertaining to such applications are set forthin 4 CSR 240-2.060(1).












4 CSR 240-3.615 Filing Requirements forWater Utility Applications for Authority toIssue Stock, Bonds, Notes and Other Evi-dences of Indebtedness


(1) In addition to the requirements of 4 CSR240-2.060(1), applications for authority to



issue stock, bonds, notes and other evidencesof indebtedness shall contain the following:















4 CSR 240-3.620 Filing Requirements forWater Utility Applications for Authority toAcquire the Stock of a Public Utility


(1) In addition to the requirements of 4 CSR240-2.060(1), applications for authority to

acquire the stock of a public utility shallinclude:







4 CSR 240-3.625 Filing Requirements forApplications for Approval of Water ServiceTerritorial Agreements

PURPOSE: This rule establishes require-ments that applications to the commission forapproval of territorial agreements betweenwater service providers must meet. As notedin the rule, additional requirements pertain-ing to such applications are set forth in 4CSR 240-2.060(1) and 4 CSR 240-3.630.

(1) In addition to the requirements of 4 CSR240-2.060(1), applications for commissionapproval of territorial agreements betweenwater service providers shall include:

(A) A copy of the territorial agreement anda specific designation of the boundary,including legal description;

(B) An illustrative tariff which reflects anychanges in a regulated utility’s operations orcertification;

(C) An explanation as to why the territorialagreement is in the public interest;

(D) A list of all persons whose utility ser-vice would be changed by the agreement; and

(E) A check for the initial filing fee setforth in 4 CSR 240-3.630.

(2) If any of the items required by subsections(1)(A)–(D) of this rule are unavailable at thetime the application is filed, they shall be fur-nished prior to the granting of the authoritysought.

AUTHORITY: sections 247.172 and 386.250,RSMo 2000.* Original rule filed Aug. 16,

2002, effective April 30, 2003.

*Original authority: 247.172, RSMo 1939, amended1976, 1978, 1985, 1986, 1993, 1996, 1997, 1998 and386.250, RSMo 1939, amended 1963, 1967, 1977, 1980,1987, 1988, 1991, 1993, 1995, 1996.

4 CSR 240-3.630 Schedule of Fees Applica-ble to Applications for Approval of WaterService Territorial Agreements and Peti-tions for Designation of Water ServiceAreas

PURPOSE: This rule establishes a scheduleof fees for commission review of proposed ter-ritorial agreements and petitions for commis-sion designation of water service areasbetween water service providers.

(1) Commission review of an application fora proposed territorial agreement or a petitionfor commission designation of water serviceareas between water service providers shallbe accompanied by an initial filing fee in theamount of five hundred dollars ($500).

(2) In addition to the filing fee, the fee forcommission review of an application forapproval of a proposed territorial agreementbetween water service providers or a petitionfor commission designation of water serviceareas is set at six hundred eighty-five dollars($685) per hour of hearing time, subject to aminimum charge for hearing time of six hun-dred eighty-five dollars ($685). There is anadditional charge of three dollars and fiftycents ($3.50) per page of transcript. Thesefees are in addition to the fees authorized bysection 386.300, RSMo.

(3) The parties shall be responsible for pay-ment of any unpaid fees on and after theeffective date of the commission’s report andorder relating to the water service territorialagreement or designation of water servicearea. The executive director shall send anitemized billing statement to the applicants onor after the effective date of the commission’sreport and order. Responsibility for the pay-ment of the fees shall be that of the parties tothe proceeding as ordered by the commissionin each case.

(4) An application for commission review ofproposed amendment(s) to an existing territo-rial agreement between water serviceproviders shall not be subject to the fee of fivehundred dollars ($500) specified in section (1)of this rule. However, the applicants shall beresponsible for the payment of a fee whichreflects necessary hearing time (including theminimum hearing time charge) and the tran-script costs as specified in section (2) of thisrule.


Secretary of State


(5) On July 1 of each year, the filing fee andthe fee per hour of evidentiary hearing timewill be modified to match any percentagechange in the Consumer Price Index for thetwelve (12)-month period ending December31 of the preceding year.


*Original authority: 247.172, RSMo 1939, amended1976, 1978, 1985, 1986, 1993, 1996, 1997, 1998 and386.250, RSMo 1939, amended 1963, 1967, 1977, 1980,1987, 1988, 1991, 1993, 1995, 1996.

4 CSR 240-3.635 Water Utility Small Com-pany Rate Increase Procedure(Rescinded September 30, 2009)

AUTHORITY: section 386.250, RSMo 2000.Original rule filed Aug. 16, 2002, effectiveApril 30, 2003. Rescinded: Filed March 26,2009, effective Sept. 30, 2009.

4 CSR 240-3.640 Annual Report Submis-sion Requirements for Water Utilities

PURPOSE: Section 393.140(6), RSMo,includes an obligation for the commission torequire every person and corporation underits supervision to submit an annual report tothe commission. This rule establishes thestandards for the submission of annualreports by water utilities that are subject tothe jurisdiction of the commission, includingthe procedures for submitting nonpublicannual report information.

(1) All water utilities shall submit an annualreport to the commission on or before April15 of each year, except as otherwise providedfor in this rule.

(2) Water utilities shall submit their annualreports either on a form provided by the com-mission or on a computer-generated replicathat is acceptable to the commission. Reportsbeing submitted on paper are to be preparedin loose-leaf format and sent to the attentionof the secretary of the commission. Comput-er-generated reports can be submittedthrough the commission’s electronic filingand information system (EFIS). Attempts tosubstitute forms such as stockholder reportswithout concurrently submitting official com-mission forms with appropriate cross-refer-ence will be considered noncompliant. Allrequested information shall be included in theannual report, where applicable, even if it hasbeen provided in a previous annual report.

(3) A water utility that receives a notice from

the commission stating that deficiencies existin the information provided in the annualreport shall respond to that notice withintwenty (20) days after the date of the notice,and shall provide the information requested inthe notice in its response.

(4) If a water utility subject to this rule con-siders the information requested on the annu-al report form to be nonpublic information, itmust submit both a fully completed version tobe kept under seal and a redacted public ver-sion that clearly informs the reader that theredacted information has been submitted asnonpublic information to be kept under seal.Submittals made under this section that donot include both versions will be considereddeficient. The staff on behalf of the commis-sion will issue a deficiency letter to the com-pany and if both versions of the annual reportare not received within twenty (20) days ofthe notice, the submittal will be considerednoncompliant. In addition to the foregoing,submittals made under this section must meetthe following requirements:





(5) If an entity asserts that any of the infor-mation contained in the nonpublic version ofthe annual report should be made available tothe public, then that entity must file a plead-ing with the commission requesting an orderto make the information available to the pub-lic, and shall serve a copy of the pleading onthe utility affected by the request. The plead-ing must explain how the public interest isbetter served by disclosure of the informationthan the reason provided by the utility justify-ing why the information should be kept underseal. The utility affected by the request mayfile a response to a pleading filed under theseprovisions within fifteen (15) days after the

filing of such a pleading. Within five (5) busi-ness days after the due date for the filing ofthe utility’s response to a request filed underthese provisions, the general counsel by filingof a pleading will make a recommendation tothe commission advising whether the requestshould be granted.

(6) A water utility that is unable to meet thesubmission date established in section (1) ofthis rule may obtain an extension of up tothirty (30) days for submitting its annualreport by:



(7) A water utility that is unable to meet thesubmission date established in section (1) ofthis rule may request an extension of greaterthan thirty (30) days for submitting its annualreport by:




(9) A water utility that does not timely file itsannual report, or its response to a notice thatits annual report is deficient, is subject to apenalty of one hundred dollars ($100) and anadditional penalty of one hundred dollars($100) for each day that it is late in filing itsannual report or its response to a notice ofdeficiency.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000.* Original rule filed Aug. 16,



2002, effective April 30, 2003. Amended:Filed Nov. 7, 2003, effective April 30, 2004.


4 CSR 240-3.645 Filing Requirements forWater Utility Rate Schedules

PURPOSE: This rule prescribes the form andprocedures for filing and publishing sched-ules of rates of all water utilities under thejurisdiction of the Public Service Commis-sion.

(1) Every water corporation engaged in thefurnishing or distribution of water for domes-tic or other beneficial use in the state of Mis-souri is directed not later than October 15,1913, to have on file with this commissionand keep open for public inspection, sched-ules showing all rates and charges in connec-tion with the service or whatever nature madeby these water corporations for each andevery kind of service which it renders as werein force on April 15, 1913, together withproper supplements covering all changes inthe rate schedules authorized by this commis-sion, if any, since April 15, 1913.

(2) All the rate schedules now on file with thecommission not in accordance with theserules shall be issued in the form and mannerprescribed by this rule and all rate schedulesissued after April 15, 1913, must conform tothis rule.

(3) Rate schedules shall be drawn up substan-tially in accordance with Form No. 13 andshall be plainly printed or typewritten ongood quality of paper of size eight and one-half inches by eleven inches (8 1/2" × 11")in book, sheet or pamphlet form. A loose-leaf plan may be used so changes can bemade by reprinting and inserting a singleleaf. When the loose-leaf plan is used, allsheets, except the title page sheet, must showin the marginal space at top of page the nameof the water corporation issuing, the PSCnumber of the schedule and the number of thepage. In the marginal space at bottom of thesheet, should be shown: the date of issue, theeffective date and the name, title and addressof the officer by whom the schedule is issued.All schedules shall bear a number with theprefix PSC Mo. _____. Schedules shall benumbered in consecutive serial order begin-ning with number 1 for each water corpora-tion. If a schedule or part thereof is canceled,a new schedule or part thereof (sheet orsheets if loose-leaf) will refer to the schedule

canceled by its PSC number; thus, PSC Mo.No. _____ canceling PSC Mo. No. _____.


(5) All proposed changes in rates, charges orrentals or in rules that affect rates, charges orrentals, filed with the commission shall beaccompanied by a brief summary, approxi-mately one hundred (100) words or less, ofthe effect of the change on the company’scustomers. A copy of any proposed changeand summary shall also be served on the pub-lic counsel and be available for public inspec-tion and reproduction during regular officehours at the general business office of theutility.

(6) Thirty (30) days’ notice to the commis-sion is required as to every publication relat-ing to water rates or service except wherepublications are made effective on less thanstatutory notice by permission, regulation orrequirement of the commission.

(7) Except as is otherwise provided, noschedule or supplement will be accepted forfiling unless it is delivered to the commissionfree from all charges or claims for postage,the full thirty (30) days required by lawbefore the date upon which such schedule orsupplement is stated to be effective. No con-sideration will be given to or for the time dur-ing which a schedule or supplement may beheld by the post office authorities because ofinsufficient postage. When a schedule or asupplement is issued and as to which thecommission is not given the statutory notice,it is as if it had not been issued and a fullstatutory notice must be given of any reis-suance. No consideration will be given totelegraphic notices in computing the requiredthirty (30) days’ notice. In such cases theschedule will be returned to the sender andcorrection of the neglect or omission cannotbe made which takes into account any timeelapsing between the date upon which suchschedule or supplement was received and thedate of the attempted correction. For rateschedules and supplements issued on shortnotice under special permission of the com-mission, literal compliance with the require-ments or notice named in any order, regula-tion or permission granted by the commissionwill be exacted.



4 CSR 240-3.650 Water Utility Petitions forInfrastructure System Replacement Sur-charges

PURPOSE: This rule sets forth the defini-tions, parameters and procedures relevant tothe filing and processing of petitions pertain-ing to an infrastructure system replacementsurcharge (ISRS), including the informationthat an eligible water utility must providewhen it files a petition and associated rateschedules to establish, change or reconcilean ISRS.


(A) Appropriate pretax revenues—the rev-enues necessary to:

1. Produce net operating income equalto the eligible water utility’s weighted cost ofcapital multiplied by the net original cost ofeligible infrastructure system replacements(original cost of eligible infrastructure systemreplacements, net of accumulated deferredincome taxes and accumulated depreciationassociated with the replacements), includingrecognition of accumulated deferred incometaxes and accumulated depreciation associat-ed with eligible infrastructure system replace-ments that are included in a currently effec-tive ISRS;

2. Recover state, federal, and localincome or excise taxes applicable to suchincome; and

3. Recover all other ISRS costs;(B) Eligible infrastructure system replace-

ments—water utility plant projects that:1. Replace or extend the useful life of

existing infrastructure;2. Are in service and used and useful;3. Do not increase revenues by directly

connecting the infrastructure replacement tonew customers;

4. Were not included in the eligiblewater utility’s rate base in its most recentgeneral rate case; and

5. Were made in a county with a charterform of government and with more than one(1) million inhabitants;

(C) Eligible water utility—a water corpora-tion as defined in section 386.020(58),RSMo, that provides service to more than tenthousand (10,000) customers in a county witha charter form of government and with morethan one (1) million inhabitants;

(D) ISRS—infrastructure system replace-ment surcharge;

(E) ISRS costs—annual depreciation


Secretary of State


expenses, and property taxes that will be duewithin twelve (12) months of the ISRS filing,on the total cost of eligible infrastructure sys-tem replacements, reduced by annual depre-ciation expenses and property taxes on anyrelated facility retirements;

(F) ISRS revenues—revenues producedthrough an ISRS, exclusive of revenues fromall other rates and charges;

(G) Water utility plant projects—projectsthat consist only of the following:

1. Mains, and associated valves andhydrants, installed as replacements for exist-ing facilities that have worn out or are in dete-riorated condition;

2. Main cleaning and relining projects;and

3. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of the United States, thisstate, a political subdivision of this state oranother entity having the power of eminentdomain; provided that the costs related tosuch projects have not been reimbursed to theeligible water utility.

(2) Pursuant to the provisions of this rule andsections 393.1000 to 393.1006, RSMo, aneligible water utility may file a petition withthe commission to establish or change ISRSrate schedules that will allow for the adjust-ment of its rates and charges to provide forthe recovery of costs for eligible infrastruc-ture system replacements; provided that anISRS, on an annualized basis, must produceISRS revenues of at least one (1) million dol-lars but not in excess of ten percent (10%) ofthe subject utility’s base revenue levelapproved by the commission in the utility’smost recent general rate proceeding.

(3) An ISRS, and any future changes thereto,shall be calculated and implemented in accor-dance with the provisions of this rule and sec-tions 393.1000 to 393.1006, RSMo.

(4) ISRS revenues shall be subject to refundbased upon a finding and order of the com-mission, to the extent provided in subsections5 and 8 of section 393.1006, RSMo.

(5) The commission shall not approve anISRS for an eligible water utility that has nothad a general rate proceeding decided or dis-missed by issuance of a commission orderwithin the past three (3) years, unless thatutility has filed for or is the subject of a newgeneral rate proceeding.

(6) In no event shall an eligible water utilitycollect an ISRS for a period exceeding three(3) years unless it has filed for or is the sub-

ject of a new general rate proceeding; provid-ed that the ISRS may be collected until theeffective date of new rate schedules estab-lished as a result of the new general rateproceeding, or until the subject general rateproceeding is otherwise decided or dismissedby issuance of a commission order withoutnew rates being established.

(7) Upon the filing of a petition seeking toestablish or change an ISRS, the commissionwill publish notice of the filing.

(8) The eligible water utility shall provide thefollowing notices to its customers, with suchnotices to be approved by the commission inaccordance with section (9) of this rule beforethey are sent to the customers:

(A) An initial, one (1)-time notice to allpotentially affected customers, with suchnotice to be sent to customers no later thanwhen customers will receive their first billthat includes an ISRS, explaining the subjectutility’s infrastructure system replacementprogram, explaining how its ISRS will beapplied to its various customer classes andidentifying the statutory authority underwhich it is implementing its ISRS;

(B) An annual notice to affected customerseach year that an ISRS is in effect explainingthe continuation of its infrastructure systemreplacement program and the resulting ISRS;and

(C) A surcharge description on all affectedcustomer bills, which informs the customersof the existence and amount of the ISRS onthe bills.

(9) Within twenty (20) days of the eligiblewater utility’s filing of a petition to establishan ISRS, the subject utility shall submit thefollowing items to the commission forapproval or rejection, and the office of thepublic counsel may, within ten (10) days ofthe water utility’s filing, submit commentsregarding these items to the commission:

(A) An example of the notice required bysubsection (8)(A) of this rule;

(B) An example of the notice required bysubsection (8)(B) of this rule; and

(C) An example customer bill showing howthe ISRS will be described on affected cus-tomers’ bills in accordance with subsection(8)(C) of this rule.

(10) When an eligible water utility files apetition pursuant to the provisions of this ruleand sections 393.1000 to 393.1006, RSMo,the commission shall conduct an examinationof the proposed ISRS.

(11) The staff of the commission may exam-ine the information the eligible water utility

provides pursuant to the provisions of thisrule and sections 393.1000 to 393.1006,RSMo, to confirm the underlying costs relat-ed to and the proper calculation of the pro-posed ISRS, and may submit a report regard-ing its examination to the commission notlater than sixty (60) days after the eligiblewater utility files its petition. The staff shallnot examine any other revenue requirementor ratemaking issues in its consideration ofthe petition or associated proposed rateschedules.

(12) The commission may hold a hearing onthe petition and the associated proposed rateschedules, and shall issue an order to becomeeffective not later than one hundred twenty(120) days after the eligible water utility filesthe petition.

(13) If the commission finds that a petitioncomplies with the requirements of sections393.1000 to 393.1006, RSMo, the commis-sion shall enter an order authorizing the eli-gible water utility to impose an ISRS that issufficient to recover appropriate pretax rev-enues, as determined by the commission.

(14) Commission approval of a petition, andany associated rate schedules, to establish orchange an ISRS pursuant to sections393.1000 to 393.1006, RSMo, shall in noway be binding upon the commission indetermining the ratemaking treatment to beapplied to eligible infrastructure systemreplacements during a subsequent generalrate proceeding when the commission mayundertake to review the prudence of suchcosts. In the event the commission disallowsrecovery of costs associated with eligibleinfrastructure system replacements previouslycollected through an ISRS, as a part of itsorder in a subsequent general rate proceed-ing, the water utility shall offset its ISRS inthe future as needed to recognize and accountfor any such disallowances. Nothing in thisrule or section 393.1006, RSMo, shall beconstrued as limiting the authority of thecommission to review and consider infras-tructure system replacement costs along withother costs during any general rate proceed-ing of an eligible water utility.

(15) An eligible water utility may effectuate achange in an ISRS no more often than two (2)times during every twelve (12)-month period,with the first such period beginning on theeffective date of the rate schedules that estab-lish an initial ISRS. For the purposes of thissection, an initial ISRS is the first ISRSgranted to the subject utility or an ISRSestablished after an ISRS is reset to zero pur-suant to the provisions of section (17) of thisrule.



(16) At the end of each twelve (12)-monthperiod that an ISRS is in effect, the eligiblewater utility shall reconcile the differencesbetween the revenues resulting from the ISRSand the appropriate pretax revenues as foundby the commission for that period, and shallsubmit the reconciliation and proposed ISRSrate schedule revisions to the commission forapproval to recover or refund the difference,as appropriate.

(17) An eligible water utility that has imple-mented an ISRS shall file revised ISRS rateschedules to reset the ISRS to zero when newbase rates and charges become effective fol-lowing a commission order establishing cus-tomer rates in a general rate proceeding thatincorporates eligible costs previously reflect-ed in an ISRS into the subject utility’s baserates. If an over or under recovery of ISRSrevenues, including any commission orderedrefunds, exists after the ISRS has been resetto zero, the amount of over or under recoveryshall be tracked in an account and consideredin the water utility’s next ISRS filing that itsubmits pursuant to the provisions of section(2) of this rule.

(18) Upon the inclusion of eligible costs pre-viously reflected in an ISRS in an eligiblewater utility’s base rates, the subject utilityshall immediately thereafter reconcile anypreviously unreconciled ISRS revenues asnecessary to ensure that revenues resultingfrom the ISRS match, as closely as possible,the appropriate pretax revenues as found bythe commission for that period, and shalltrack such revenues pursuant to the provi-sions of section (17) of this rule.

(19) At the time that an eligible water utilityfiles a petition with the commission seekingto establish, change or reconcile an ISRS, itshall submit proposed ISRS rate schedulesand its supporting documentation regardingthe calculation of the proposed ISRS with thepetition, and shall serve the office of the pub-lic counsel with a copy of its petition, its pro-posed rate schedules and its supporting docu-mentation. The subject utility’s supportingdocumentation shall include workpapersshowing the calculation of the proposedISRS, and shall include, at a minimum, thefollowing information:

(A) The state, federal, and local income orexcise tax rates used in calculating the pro-posed ISRS, and an explanation of the sourceof and the basis for using those tax rates;

(B) The regulatory capital structure used incalculating the proposed ISRS, and an expla-nation of the source of and the basis for usingthat capital structure;

(C) The cost rates for debt and preferredstock used in calculating the proposed ISRS,and an explanation of the source of and thebasis for using those cost rates;

(D) The cost of common equity used incalculating the proposed ISRS, and an expla-nation of the source of and the basis for usingthat equity cost;

(E) The property tax rates used in calculat-ing the proposed ISRS, and an explanation ofthe source of and the basis for using those taxrates;

(F) The depreciation rates used in calculat-ing the proposed ISRS, and an explanation ofthe source of and the basis for using thosedepreciation rates;

(G) The costs that are eligible for recoveryduring the period in which the ISRS will bein effect, including the net original cost of theinfrastructure system replacements and theamount of ISRS costs related to the eligiblereplacements; and a breakdown of the eligiblereplacements identified by work order or costcenter for each of the following project cate-gories:

1. Mains, and associated valves andhydrants, installed as replacements for exist-ing facilities that have worn out or are in dete-riorated condition;

2. Main cleaning and relining projects;3. Facilities relocations required due to

construction or improvement of a highway,road, street, public way, or other public workby or on behalf of the United States;

4. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of this state;

5. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of a political subdivision ofthis state; and

6. Facilities relocations required due toconstruction or improvement of a highway,road, street, public way, or other public workby or on behalf of an entity other than theUnited States, this state or a political subdi-vision of this state, having the power of emi-nent domain;

(H) The applicable customer class billingdeterminants used in calculating the proposedISRS, and an explanation of the source of andthe basis for using those billing determinants;

(I) An explanation of how the customers towhom the proposed ISRS will apply are ben-efiting from the water utility plant projectsthat will be recovered through the ISRS;

(J) An explanation of how the proposedISRS is being prorated between affected cus-tomer classes, if applicable;

(K) An explanation of how the proposed

ISRS is being applied in a manner consistentwith the customer class cost-of-service studyrecognized by the commission in the subjectutility’s most recent general rate proceeding,if applicable;

(L) An explanation of how the proposedISRS is being applied consistent with the ratedesign methodology utilized to develop thesubject utility’s rates resulting from its mostrecent general rate proceeding;

(M) An explanation of how the infrastruc-ture replacement projects associated with theISRS do not increase revenues by directlyconnecting the infrastructure replacement tonew customers; and

(N) An explanation of when the infrastruc-ture replacement projects associated with theISRS were completed and became used anduseful.

(20) In addition to the information requiredby section (19) of this rule, the eligible waterutility shall also submit the following infor-mation, either when it submits the informa-tion required by section (19) of this rule orwhen it files its next general rate case:

(A) An explanation of the efforts to quan-tify and seek reimbursement for any costsassociated with facility relocations requireddue to construction or improvement of a high-way, road, street, public way, or other publicwork by or on behalf of the United States,this state, a political subdivision of this stateor another entity having the power of eminentdomain, which could offset the requestedISRS revenues;

(B) If any of the projects associated withthe ISRS were funded through financingarrangements directed specifically to the pro-jects, an explanation of how the projects werefunded, including the amount of debt and theinterest rate on that debt;

(C) An explanation of how long any facili-ties that were replaced by eligible infrastruc-ture system replacements had been in servicewhen they were replaced or abandoned; and

(D) An explanation of the request for pro-posal (RFP) process used, or the reasons thata RFP process was not used, to select theentity that performed the infrastructurereplacement projects associated with theISRS.

(21) In addition to the information requiredby section (19) of this rule, the eligible waterutility shall also provide the following infor-mation when it files a petition with the com-mission seeking to establish, change or rec-oncile an ISRS:

(A) A description of all information postedon the subject utility’s website regarding theinfrastructure system replacement surcharge


Secretary of State


and related infrastructure system replacementprojects; and

(B) A description of all instructions provid-ed to personnel at the subject utility’s callcenter regarding how those personnel shouldrespond to calls pertaining to the ISRS.

AUTHORITY: sections 386.250 and 393.140,RSMo 2000 and 393.1006.10, RSMo Supp.2003.* Original rule filed Sept. 19, 2003,effective May 30, 2004.

*Original authority: 386.250, RSMo 1939, amended1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995,1996; 393.140, RSMo 1939, amended 1949, 1967; and393.1006, RSMo 2003.



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