CM-08-04-074APPLICATION TO OBTAIN OR AMEND A WATER/SEWER
CERTIFICATE OF CONVENIENCE AND NECESSITY (CCN)
*RN #
PURPOSE OF THIS APPLICATION
OBTAIN New Water CCN
*CN #
_ New Sewer CCN
AMEND X Water CCN # 11047 _ Sewer CCN # 20421
* If known (See instructions)
1. APPLICANT INFORMATION
Utility Name: City of Round Rock
Utility Address (city/state/zip) 221 East Main Street
Round Rock, Texas 78664
Utility Phone and Fax Number (512) 218-5400 Phone (512) 218-3242 Fax
Contact Person: Please provide information about the person to be contacted regarding this application.
Indicate if this person is the owner, operator, engineer, attorney, accountant, or other title related to the
applicant.
Name: Michael Thane, P.E. Title: Utilities Director
Address: 212 Commerce Cove Telephone (512) 671-2755
City Round Rock St TX Zip 78664 Fax (512) 218-3242
E-mail: mthaneAround-rock.tx.us
County(ies) in which service is proposed Williamson
A. Check the appropriate box and provide information regarding the legal status of the applicant:
TCEQ-10362 (Revised 10/07)
UM-0(8-n4-rH
Page 1 of 27
Investor owned utility
F , '
Individual
Uzi
.�
Home or Property Owners Association
;
For-profit corporation
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e . .=V £nl ��st �= � . �£ .,.- .� � 4�i Ba- .?S '. #ia�F � .� �*�-am; .� SSL ate-
Non-profit, member -owned, member -controlled cooperative corporation (Water Code Chapter 67,
Water Supply or Sewer Service Corporation)
X
Municipality
District
Other
Please explain:
TCEQ-10362 (Revised 10/07)
UM-0(8-n4-rH
Page 1 of 27
B. If the applicant is a For -Profit Corporation: Not Applicable
i. Please provide a copy of the corporation=s ACertification of Account Status@ from the Texas
State Comptroller of Public Accounts. (See Note below).
ii. Please provide the corporation=s charter number as recorded with the Office of the Texas
Secretary of State.
iii. Please provide a listing of all affiliated interests and their respective percentages of
ownership.
iv. Provide a copy of the company's organizational chart, if available.
C. If the applicant is a Water Code Chapter 67 water supply or sewer service corporation or other non-
profit corporation: Not Applicable
i. Please provide a copy of the Articles of Incorporation and By -Laws.
ii. Please provide the corporation=s charter number as recorded with the Office of the Texas
Secretary of State.
iii. Identify all owners including name, address, title, telephone number, fax number, and
percentage of ownership.
2. LOCATION INFORMATION
A. Are there people already living in the proposed area?
YES X NO
If YES, are any currently receiving utility service?
YES X NO , if YES, from Whom See Exhibit A
Demonstrate the Need for Service by providing the following:
B. Have you received any requests for service in the requested service area?
YES X NO . If YES, provide the following: See Exhibit B
i. Describe the service area and circumstances driving the need for service in the requested area.
Indicate the name(s) and address(es) of landowner(s), prospective landowner(s), tenant(s), or
resident(s) that have requested service; and/or
ii. Describe the economic need(s) for service in the requested area (i.e. plat approvals, recent
annexation(s) or annexation request(s), building permits, septic tank permits, hospitals, etc.);
and/or
iii. Discuss in detail the environmental need(s) for service in the requested area (i.e. failing septic
tanks in the requested area, filing wells, etc.); and/or
iv. Provide copies of any written applications or requests for service in the requested area; and/or
v. Provide copies of any reports and/or market studies demonstrating existing or anticipated
growth in the requested area. If no, please justify the need for service in the proposed area.
C. Is any portion of the proposed service area inside an incorporated city?
YES X NO
If YES, within the city limits of: City of Round Rock (applicant)
Provide a copy of any franchise, permit, or consent granted by the city. If not available, please
explain: proposed service areas are inside only the City of Round Rock (applicant) city
limits and/or ETJ — proposed service areas are not within any other incorporated city
D. Is any portion of the proposed service area inside another utility's CCN area?
YES X NO
If YES, has the current CCN holder agreed to decertify the proposed area?
YES NO X
If NO, are you seeking dual or single certification of the area? Explain why decertification of the area
is in the public interest. Seeking single and dual certification depending on the area. See
TCEQ-10362 (Revised 10/07) Page 2 of 27
3. MAP REQUIREMENTS:
Attach the following hard copy maps with each copy of the application:
A. A general location map delineating the proposed service area with enough detail to
accurately locate the proposed area within the county. See Exhibit D
B. A map showing only the proposed area by: See Exhibit D
i. metes and bounds survey certified by a licensed state or register professional land surveyor; or
ii. projectable digital data with metadata (proposed areas should be in a single record and
clearly labeled); or
iii. following verifiable natural and man-made landmarks; or
iv. a copy of recorded plat map with metes and bounds.
A written description of the proposed service area. See Exhibit A
D. Provide separate and additional maps of the proposed area(s) to show the following:
See Exhibit D
i. all facilities, illustrating separately facilities for production, transmission, and distribution of
the applicant's service(s); and
ii. any facilities, customers or area currently being served outside the applicant's certificated
area(s).
4. NEW SYSTEM INFORMATION OR UTILITIES REQUESTING A CCN FOR THE FIRST TIME
A. Please provide the following information: Not Applicable
a list of all public drinlcing water supply systems or sewer systems within a 2 mile radius of
the proposed system;
ii. copies of written requests seeking to obtain service from each of the public drinking water
supply systems or sewer systems listed in #4.A.i above or documentation that it is not
economically feasible to obtain service from them;
iii. copies of written responses from each system or evidence that they did not reply; and
iv. for sewer utilities, documentation showing that you have obtained or applied for a wastewater
discharge permit.
B. Were your requests for service denied? Not Applicable
i. If yes, go to 4.C.
ii. If no, please provide a detailed analysis which justifies your reasons for not accepting service.
A separate analysis must be prepared and submitted for each system that granted your request
for service.
C. Please summarize how the proposed utility system will be constructed and describe each projected
construction phase, if any: Not Applicable
D. Date of plat approval, if required: Not Applicable
Approved by:
E. Date Plans & Specifications submitted for approval Not Applicable Log No.
Attach copy of approval letter if available.
F. Date construction is scheduled to commence Not Applicable
TCEQ-10362 (Revised 10/07)
Page 3 of 27
G. Date service is scheduled to commence Not Applicable
5. EXISTING SYSTEM INFORMATION
A. Please provide the following information for each water and/or sewer system:
i. Water system's TCEQ Public Water System identification number:
2
4
6
0
0
0
7
ii. Sewer system's TCEQ Discharge Permit number: (for each system)
W
Q
1
0
2
6
4
0
0
1
W
Q
1
0
2
6
4
0
0
2
iii Date of last inspection June 27, 2007
iv. Attach a copy of the most recent inspection report letter. See Exhibit E
v. For each system deficiency listed in the inspection report letter, attach a brief explanation
listing the actions taken or being taken by the utility to correct the listed deficiencies,
including the proposed completion dates. No deficiencies noted in report.
B. Provide the following information about the utility=s certified operators
Name
Classes
License Number
See Exhibit E
- Attach additional sheet(s) if necessary —
C. Using the current number of customers, is any facility component in systems named in #5A above operating at
85% or greater of minimum standard capacity?
Yes X No
Attach an explanation listing the actions to be taken to make system improvements including proposed
completion dates (See 291.93(3)(A) of TCEQ Rules). See Exhibit E
D. List in the table below, the number of existing and/or proposed metered and non -metered connections (by size).
The proposed number should reflect the information presented in the business plan and reflect the number of
service requests identified in Question 2.b above.
Water System
Sewer System
Connection
Existing
Proposed
Connection
Existing
Proposed
5/8" or 3/4" meter
27,981
1,111
Residential
27,329
740
1" meter or larger
1,179
123
Commercial
1,062
490
Non -Metered
Industrial
6
4
Other:
Other:
Total Water
29,516
1,234
Total Sewer
28,856
1,234
TCEQ-10362 (Revised 10/07)
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E. If this application is for a water CCN only, please explain how sewer service is provided:
See Exhibit E.
F. If this application is for a sewer CCN only, please explain how water service is provided:
Not Applicable.
G. Effect of Granting a Certificate Amendment. See Exhibit F.
Explain in detail the effect of granting of a certificate or an amendment, including, but not limited to
regionalization, compliance and economic effects on the following:
i. the applicant,
ii. any retail public utility of the same kind already serving the proximate area; and
iii. any landowner(s) in the requested area.
H. Do you currently purchase or plan to purchase water or sewer treatment capacity from another source?
i. No (skip the rest of this question and go to #6)
ii. Water
Yes X
Purchased on a (X )regular - ( )seasonal - ( )emergency basis?
Source
% of total supply
Brazos River Authority - raw water purchase
only with treatment capacity provided by the City
of Round Rock
91.4% current
72.2% after Phase I of BCRUA completed - 2010
46.4% ultimate build out
Brushy Creek Regional Utility Authority —
(BCRUA) - raw water purchased from LCRA
with treatment capacity purchased from BCRUA
0.0% current
21.1 % after Phase I BCRUAcompleted - 2010
o
39.6 /o ultimate build out
Edwards Aquifer & Reuse - not purchased
8.6% current
6.7% after Phase I of BCRUA completed - 2010
14.0% ultimate build out
iii. Sewer treatment capacity
iv. Yes X
v. Purchased on a (X )regular - ( )seasonal - ( )emergency basis
Source
% of total treatment
Lower Colorado River Authority (LCRA)
Brushy Creek WWTP
100%
vi. Provide a certified copy of the most current water or sewer treatment capacity purchase
agreement or contract. See Exhibit G.
Ability to Provide Adequate Service. See Exhibit H.
Describe the ability of the applicant to provide adequate service, including meeting the standards of
the commission, taking both of the following items into consideration:
i. the current and projected density, and
ii. the land use of the requested area.
J Effect on the Land. See Exhibit I.
TCEQ-10362 (Revised 10/07)
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Explain the effect on the land to be included in the certificated area.
6. FINANCIAL INFORMATION
A. For new systems and for applicants with existing CCNs who are constructing a new stand alone system:
Not Applicable.
i. the applicant must provide an analysis of all necessary costs for constructing, operating, and
maintaining the system, and the source of that capital (such as a financial statement for the
developing entity) for which the CCN is requested for at least the first five years. In addition,
if service has been offered by an existing water service provider as stated in #4.A., but the
applicant has determined that the cost of service as finally offered renders the project not
economically feasible, the applicant must provide a comparison analysis of all necessary costs
for acquiring and continuing to receive service from the existing system for the same period.
ii. Attach projected profit and loss statements, cash flow worksheets, and balance sheets
(projected five year financial plan worksheet is attached) for each of the first five years of
operation. Income from rates should correlate to the projected growth in connections, shown
on the projected profit and loss statement.
iii. Attach a proposed rate schedule or tariff. Describe the procedure for determining the rates
and fees and indicate date of last change, if applicable. Attach copies of any cost of service
studies or rate analysis worksheets.
B. For existing systems: See Exhibit J.
i. Attach a profit and loss statement and current balance sheet for existing businesses (end of
last fiscal year is acceptable). Describe sources and terms for borrowed capital such as loans,
bonds, or notes (profit and loss and balance sheet worksheets are attached, if needed).
ii. Attach a proposed rate schedule or tariff.
v NOTE: An existing system may be required to provide the information in 6.A.i. above during the
technical review phase if necessary for staff to completely evaluate the application.
C. Identify any funds you are required to accumulate and restrict by lenders or capital providers. See Exhibit J.
D. In lieu of the information in #6.A. thru #6.C., you may provide information concerning loan approvals within
the last three (3) years from lending institutions or agencies including the most recent financial audit of the
applicant. Not Applicable.
7. NOTICE REQUIREMENTS
A. All proposed notice forms must be completed and submitted with the application. However, do not mail or
publish them until you receive written approval from the Commission to do so. See Exhibit K.
B. The Commission cannot grant a CCN until proper notice of the application has been given. Commission rules
do not allow a waiver of these notice requirements.
C. It is the applicant's responsibility to ensure that proper notice is given to all entities that are required to receive
notice.
D. Recommended notice forms for publication, neighboring cities and systems, landowners with 25 acres or more,
and customers are included with this application to use in preparing your proposed notices. (These notice
forms are also available in Spanish upon request.)
E. After reviewing and, if necessary, modifying the proposed notice, the Commission will send the notice to the
applicant after the application is accepted for filing along with instructions for publication and/or mailing.
Please review the notice carefully and note any additional neighboring utilities which may be included in the
acceptance letter.
TCEQ-10362 (Revised 10/07) Page 6 of 27
F. Notice For Publication:
The applicant shall publish the notice in a newspaper having general circulation in the county or counties
where a certificate of convenience and necessity is being requested, once each week for two consecutive weeks
beginning with the week after the notice is received from the Commission. Proof of publication in the form of
a publisher's affidavit shall be submitted to the Commission within 30 days of the last publication date. The
affidavit shall state with specificity each county in which the newspaper is of general circulation.
G. Notice To Neighboring Utilities: See Exhibit K.
i. List all neighboring retail public utilities and cities providing the same utility service within
the following vicinities of the applicant's proposed certificate area.
ii. For applications for the issuance of a NEW certificate of public convenience and necessity,
the applicant must mail the notice with a copy of the proposed CCN map to all cities and
neighboring retail public utilities providing the same utility service within five (5) miles of
the requested service area.
iii. For applications for the AMENDMENT of certificate of public convenience and necessity,
the applicant must mail the notice with a copy of the proposed CCN map to all cities and
neighboring retail public utilities providing the same utility service within two (2) miles of
the requested service area.
H. Notice to Customers Not Applicable.
Investor Owned Utilities (IOUs) that are currently providing service without a certificate must provide
individual mailed notice to all current customers. The notice must contain the current rates, the date
those rates were instituted and any other information required in the application.
I. The Commission may require the applicant to deliver notice to other affected persons or agencies.
Do not publish or send copies of the proposed notices to anyone at the time you submit the
application to the Commission. Wait until you receive written authorization to do so. This
will occur after the Commission has reviewed the notices for completeness, and your
application has been accepted for filing.
7CEQ-10362 (Revised 10/07)
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OATH
State of Texas
I, James R Nuse, P.E., being duly sworn, file this application as City Manager for the City of Round Rock, Texas; that,
in such capacity, I am qualified and authorized to file and verify such application, am personally familiar with the maps
filed with this application, and have complied with all the requirements contained in this application; and, that all such
statements made and matters set forth therein are true and correct. I further state that the application is made in good faith
and that this application does not duplicate any filing presently before the Texas Commission on Environmental Quality.
I further represent that the application form has not been changed, altered or amended from its original form available only
from the Commission.
I further represent that the Applicant will provide continuous and adequate service to all customers and qualified
applicants for service within its certificated service area.
AFFIANT
pplicant's Authorized Representative)
If the Affiant to this form is any person other than the sole owner, partner, officer of the Applicant, or its attorney, a
properly verified Power of Attorney must be enclosed.
/ ear
SUBSCRIBED AND SWORN TO BEFORE ME, a Notary Public in and for the State of Texas, this r`
A Pr211✓ , 20c'3 .
SEAL
TCEO-10362 !Revised 4/071
DIANE BUCK
Not2ry Pub''c, State of Texas
My Gomes ,ss: ::xp:res
APRIL 25, 2010
day of
NOTARY PUBLIC
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