OAR 860-037-0530
Applications for Approval of Transactions Between Affiliated Interests


(1)

Except as provided in section (3) of this rule, the requirements of this rule apply to all wastewater utilities seeking authority under ORS 757.490 (Approval needed for certain contracts) and 757.495 (Contracts involving utilities and persons with affiliated interests). An application for financing to an affiliated interest shall be made under OAR 860-037-0520 (Application by a Wastewater Utility for Authority to Issue Wastewater Stocks, Bonds, Notes, or Other Securities).

(2)

Every applicant shall set forth in its application to the Commission, in the manner and form indicated, the following information:

(a)

The applicant’s exact name and the address of its principal business office;

(b)

The name and address of the person authorized, on the wastewater utility’s behalf, to receive notices, inquiries, and communications regarding the information;

(c)

A statement describing the relationship between the wastewater utility and the contracting entity as defined by ORS 757.015 (“Affiliated interest” defined for ORS 757.105 (1) and 757.495) and 757.490 (Approval needed for certain contracts);

(d)

The amount, kind, and ratio to total voting securities held, if applicable;

(e)

A list of all officers and directors of the affiliated interest who are also officers or directors of the applicant;

(f)

The pecuniary interest, directly or indirectly, of any officer or director who is a party to the contract;

(g)

A description of the goods or services to be provided, the cost incurred in providing each of the goods or services, the market value of the goods or services if different from the costs, and the method or methods proposed for pricing those goods or services;

(h)

An estimate of the amount of money the wastewater utility expects to pay annually for the goods or services and the accounts in which the charges are recorded;

(i)

The reasons, in detail, relied upon by the wastewater utility for procuring the proposed goods or services from the affiliate and benefits, if any, utility wastewater service customers and the general public will derive from the provision of goods or services;

(j)

A description of the procurement process and the reasons, in pertinent detail appropriate to the complexity of the procurement, relied upon by the wastewater utility for procuring the proposed goods or services without a competitive procurement process, if such a process is not used;

(k)

Transfer prices in contracts or agreements for the procurement of goods or services under competitive procurement is presumed to be the market value, subject to evaluation of the procurement process;

(l)

A copy of the proposed contract or agreement between the wastewater utility and the contracting entity; and

(m)

Copies of all resolutions of directors authorizing the proposed transactions and, if stockholders’ approval has been obtained, copies of the resolutions approved by the stockholders.

(3)

This rule shall not apply to wastewater utilities seeking to purchase or contracting to purchase, directly or indirectly, from any person or corporation having an affiliated interest as defined in ORS 757.015 (“Affiliated interest” defined for ORS 757.105 (1) and 757.495) or any corporation defined in 757.490 (Approval needed for certain contracts)(1):

(a)

Any service provided under a rate or schedule of rates filed with the Commission under ORS 757.210 (Hearing to establish new schedules); or

(b)

Any service provided under a rate or schedule of rates that:

(A)

Has been filed with an agency charged with the regulation of utilities;

(B)

Has been approved as just and reasonable or in compliance with another comparable standard; and

(C)

Is available to a broad class of customers.

Source: Rule 860-037-0530 — Applications for Approval of Transactions Between Affiliated Interests, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=860-037-0530.

860‑037‑0001
Scope and Applicability of Rules
860‑037‑0005
Applicability and Formal Requirements
860‑037‑0010
Definitions
860‑037‑0015
Information for Customers and Applicants
860‑037‑0020
Designation of Third Party to Receive Notices
860‑037‑0025
Dispute Resolution
860‑037‑0030
Applications for Water/Wastewater Utility Service
860‑037‑0035
Establishing Credit for Residential Service
860‑037‑0040
Deposit Payment Arrangements for Residential Wastewater Service
860‑037‑0045
Interest on Deposits for Residential and Nonresidential Service
860‑037‑0050
Refund of Wastewater Utility Deposits
860‑037‑0055
Installation of Wastewater Service Connection
860‑037‑0060
Installation of Main Line Extension
860‑037‑0065
Design, Construction, and Operation
860‑037‑0067
Wastewater Disposal
860‑037‑0070
Interruption of Service
860‑037‑0075
Refusal of Service
860‑037‑0080
Restrictions on Entering a Customer Residence
860‑037‑0095
Annual Fees Payable to the Commission by a Wastewater Utility
860‑037‑0097
Estimated Annual Fees Payable to the Commission by a Wastewater Utility
860‑037‑0101
Wastewater Service Charges
860‑037‑0105
Bill Forms
860‑037‑0110
Due and Payable Period
860‑037‑0115
Late-Payment Charge
860‑037‑0120
Adjustment of Bills
860‑037‑0125
Transfer Billings
860‑037‑0205
Grounds for Terminating Customer Wastewater Service by Disconnecting Water Service
860‑037‑0210
Voluntary Water Disconnection for Wastewater Service
860‑037‑0215
Emergency Water Disconnection for Wastewater Service
860‑037‑0220
Disconnection of Water Service on Weekends and Holidays
860‑037‑0225
Accounts Not Related to Residential Service
860‑037‑0230
Disconnection of Wastewater Service to Tenants
860‑037‑0235
Multilingual Disconnection Notice
860‑037‑0240
Reconnection Fee
860‑037‑0245
Disconnection Procedures for All Customers of Wastewater Utility Services
860‑037‑0307
Wastewater Utility Compliance Enforcement by Commission Appointment of Regent to Operate and Manage a Wastewater System
860‑037‑0308
Expenditure of Fees Collected Under ORS 756.310 to Make Emergency Repairs
860‑037‑0309
Commission-Assessed Civil Penalties for Noncompliance
860‑037‑0310
Maps and Records
860‑037‑0320
Location of Underground Facilities
860‑037‑0325
Construction, Safety, and Reporting Standards for Wastewater Utilities
860‑037‑0330
Attachments to Poles and Conduits Owned by Public, Telecommunications, and Consumer-Owned Utilities
860‑037‑0405
Relating to New Wastewater Utilities
860‑037‑0407
Request for Rate Regulation of an Association within the Boundaries of a City
860‑037‑0410
Tariff Specifications
860‑037‑0415
Tariff Contents
860‑037‑0420
Tariff Changes Require 30 Days’ Notice to the Commission
860‑037‑0425
Announcement of Tariff Changes
860‑037‑0430
Applications to Make Tariffs or Rate Schedules Effective on Less Than Statutory Notice
860‑037‑0435
Requirements for Filing Tariffs or Schedules Changing Rates
860‑037‑0440
Requirements for Filing Tariffs or Schedules Naming Increased Rates
860‑037‑0445
Tariff Changes Effective with Service Rendered
860‑037‑0450
Notice to Interested Persons
860‑037‑0505
Form and Filing of Applications
860‑037‑0510
Notice and Approval Requirements Relating to the Sale, Transfer, Merger, Termination, Abandonment, or Disposal of a Wastewater Utility
860‑037‑0515
Applications for Authority to Sell, Lease, Assign, Mortgage, Merge, Consolidate, or Otherwise Dispose of or Encumber its Property, or to Acquire Stock, Bonds, or Property of Another Public Utility
860‑037‑0517
Acquisition Adjustment
860‑037‑0520
Application by a Wastewater Utility for Authority to Issue Wastewater Stocks, Bonds, Notes, or Other Securities
860‑037‑0525
Applications for Authority to Guarantee Indebtedness
860‑037‑0530
Applications for Approval of Transactions Between Affiliated Interests
860‑037‑0535
Information Required Regarding Wastewater Utility Goods or Services Provided to Affiliated Interests
860‑037‑0540
Timeliness of Applications Made Under OAR 860-037-0530 and Filings Made Under OAR 860-037-0535
860‑037‑0545
Applications for Waiver of Requirements Under OARs 860-037-0530 and 860-037-0535
860‑037‑0547
Allocation of Costs by a Wastewater Utility
860‑037‑0550
Special Contracts
860‑037‑0555
Relating to City Fees, Taxes, and Other Assessments
860‑037‑0560
Relating to Local Government Fees, Taxes, and Other Assessments
860‑037‑0565
Accounting for Director’s Fees
860‑037‑0567
Accounting for Contributions in Aid of Construction (CIAC)
860‑037‑0570
Accounting for Construction Work In Progress (CWIP)
860‑037‑0605
Preservation and Destruction of Records
860‑037‑0610
Uniform System of Accounts for Wastewater Utilities
860‑037‑0625
Annual Reports
860‑037‑0630
Use of Deferred Accounting as it Applies to Wastewater Operations by Wastewater Utilities
Last Updated

Jun. 24, 2021

Rule 860-037-0530’s source at or​.us