reglab/statecodes huggingface dataset:
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-301 - Scope

Current through Register Vol. 30, No. 28, July 12, 2024
This Article applies to investigations, examinations, and
				  administrative proceedings under the Securities Act and the IM Act. When not in
				  conflict with this Article, the provisions of A.A.C.
				  R14-3-101
				  through
				  R14-3-113
				  apply.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-302 - Article 3 Definitions

Current through Register Vol. 30, No. 28, July 12, 2024
The definitions set forth in A.R.S. §§
									44-1801
				  and
				  44-3101
				  and the following definitions apply to this Article 3.
1. "Formal interview" means the examination
				under oath of an individual compelled or requested to testify as part of an
				investigation or examination.
2.
				"IM Act" means the Arizona Investment Management Act, A.R.S. §
									44-3101 et
				seq.
3. "Respondent" means any
				person against whom the Division files a complaint, notice, petition, or
				order.
4. "Securities Act" means
				the Securities Act of Arizona, A.R.S. §
									44-1801
				et seq.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-303 - Service

Current through Register Vol. 30, No. 28, July 12, 2024
A. Documents
				required to be served in an administrative proceeding. All pleadings, motions,
				appearances, orders, and similar papers filed in the record shall be served
				upon the Division and each respondent to the administrative proceeding by the
				filing party. Service shall be made by a person at least 18 years of
				age.
B. Service on the Division.
				Service upon the Division may be made by mailing a copy to the Division
				addressed to the attorney of record for the Division or by delivering a copy to
				the Division addressed to the attorney of record for the Division.
C. Service on a respondent represented by an
				attorney. Whenever service is required or permitted to be made upon a
				respondent represented by an attorney, the service shall be made by mailing a
				copy to the last known business or mailing address of the attorney or by any
				method authorized under subsections (D) and (E).
D. Service upon individuals. Service upon an
				individual may be made by any of the following:
1. By personal service.
2. By leaving a copy at the individual's
				dwelling, or usual place of abode, with an individual of suitable age and
				discretion residing therein.
3. By
				leaving a copy at the individual's usual place of business or employment with
				an employee, express or implied agent, supervisor, owner, officer, partner, or
				other similar individual of suitable age and discretion.
4. By leaving a copy with an agent authorized
				by express or implied appointment or by law to receive service of process for
				the individual upon whom service is being made.
5. By mailing a copy to the last known
				dwelling, usual place of abode, business address, or mailing address.
				Subpoenas, notices, and temporary cease-and-desist orders served by mail shall
				be sent, return receipt requested, by certified mail, express mail, registered
				mail, or commercial courier or delivery service. The signed return receipt
				shall constitute proof of service, but shall not be the exclusive method of
				proving service.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-304 - Rights of Witnesses; Formal Interview; Procedures

Current through Register Vol. 30, No. 28, July 12, 2024
A. Any person required or requested to appear
				as a witness at a formal interview may be represented by a lawyer. The lawyer's
				role during the formal interview shall be limited to the following activities:
1. Giving legal advice to the witness before,
				during, and after the formal interview.
2. Questioning the witness briefly at the
				conclusion of the formal interview for the purpose of clarifying any testimony
				the witness has given.
3. Making
				summary notes during the formal interview solely for the use of the witness and
				the lawyer.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-305 - Answers

Current through Register Vol. 30, No. 28, July 12, 2024
A. Within 30
				calendar days after the date of service of a notice of an opportunity for a
				hearing, a respondent who has requested a hearing shall file in the record and
				serve on the Division an answer to the notice.
B. The answer shall contain the following:
1. An admission or denial of each allegation
				in the notice.
2. The original
				signature of the respondent or the respondent's attorney.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-306 - Notices Regarding Hearings

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				The Commission may issue a notice of an opportunity for a hearing or a notice
				of a hearing to determine whether to issue a cease-and-desist order, order of
				rescission, restitution, or penalties, or other order authorized pursuant to
				the provisions of the Securities Act or the IM Act.
B. A notice of an opportunity for a hearing
				and a notice of a hearing shall be served by any method permitted in
				R14-4-303. A
				notice of an opportunity for a hearing shall set forth that the respondent will
				be afforded a hearing upon request to docket control of the Commission if the
				request is made in writing within ten days after receipt of the notice by the
				respondent.
C. When a respondent
				requests a hearing pursuant to a notice of an opportunity for a hearing in
				accordance with the provisions of this rule, the Commission shall set a date,
				time, and place for the hearing and shall forthwith notify the respondent. The
				date set for the hearing shall be within 60 days, but not earlier than 20 days,
				after the written request for hearing has been made, unless otherwise provided
				by law, stipulated by the parties, or ordered by the Commission.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-307 - Temporary Orders

Current through Register Vol. 30, No. 28, July 12, 2024
A. When the
				Commission determines that the public welfare requires immediate action, the
				Commission may issue a temporary cease-and-desist order, which will be in
				effect for 180 days or until vacated, modified, or made permanent in accordance
				with this rule, whichever comes first. The Commission may delegate this
				authority to the Director.
B.
				Temporary cease-and-desist orders shall be served pursuant to the provisions of
				R14-4-303.
C. The temporary
				cease-and-desist order shall set forth that the respondent will be afforded a
				hearing upon request to docket control of the Commission if the request is
				filed in writing within 20 days of service of the temporary cease-and-desist
				order. If a request for a hearing is not filed within 20 days, the Commission
				may, by written findings of fact and conclusions of law, vacate, modify, or
				make permanent the temporary cease-and-desist order.
D. When a respondent requests a hearing in
				accordance with the provisions of this rule, the Commission shall set a date,
				time, and place for the hearing and shall forthwith notify the respondent. The
				date set for the hearing shall be within 30 days, but not earlier than ten
				days, after the written request for hearing has been filed, unless otherwise
				provided by law, stipulated by the parties, or ordered by the Commission. The
				Commission may, after such hearing, by written findings of fact and conclusions
				of law, vacate, modify, or make permanent the temporary cease-and-desist
				order.
E. The effective date stated
				in subsection (A) shall be tolled from the date a hearing is requested until a
				decision is entered, unless otherwise ordered by the Commission.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS › Section R14-4-308 - Rescission and Restitution

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				When a person or persons have violated the Securities Act or the IM Act, or any
				rule or order of the Commission, the Commission may require the person or
				persons to make rescission and/or restitution as provided herein.
B. If a rescission offer is ordered by the
				Commission,
1. The respondent shall submit
				the following materials to the Division and, upon approval from the Director,
				distribute the materials to the purchasers:
a. A written offer to repurchase stating in
				reasonable detail the facts out of which liability arose and, in the event of a
				violation of A.R.S. §§
											44-1991,
				44-1992,
				or
				44-3241,
				the correct, true, or omitted facts. An offer to repurchase the security shall
				include an offer of:
i. Cash equal to the
				fair market value of the consideration paid, determined as of the date such
				payment was originally paid by the buyer; together with
ii. Interest at a rate pursuant to A.R.S.
				§
												44-1201
				for the period from the date of the purchase payment to the date of repayment;
				less
iii. The amount of any
				principal, interest, or other distributions received on the security for the
				period from the date of purchase payment to the date of repayment.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-103 - Unauthorized Passengers

Current through Register Vol. 30, No. 28, July 12, 2024
Railroads operating within this State shall prohibit and
				  prevent unauthorized persons from traveling in or upon the cars and equipment
				  of their trains.
The Arizona
				  Corporation Commission has determined that the following Section is exempt from
				  the Attorney General certification provisions of the Arizona Administrative
				  Procedure Act (A.R.S. § 41-1041 ) by a court order (State ex. rel. Corbin
				  v. Arizona Corporation Commission, 174 Ariz. 216 848 P.2d 301 (App.
				  1992)).
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-104 - Railroad-highway Crossings

Current through Register Vol. 30, No. 28, July 12, 2024
A. The
				following rules shall apply in the construction, reconstruction, improvement,
				and maintenance of all public railroad-highway grade crossings within the state
				of Arizona. This Section is intended to be consistent with the provisions of
				the Manual on Uniform Traffic Control Devices, as adopted by the Department of
				Transportation.
1. No construction project
				taking place at or near a public railroad-highway grade crossing shall diminish
				the safety normally provided to a motorist approaching the crossing by the
				existing warning devices.
2. No
				temporary change in the configuration of a public railroad-highway grade
				crossing, for the purpose of facilitating a construction project at or near the
				crossing, may be made by any person without first notifying the owner of the
				railroad track and the owner of the trains or other track equipment operating
				over such track in writing. The letter notifying the track owner and
				train/track equipment owner shall describe the date, place, and type of changes
				to be made. Such letter shall be written and signed by the responsible person
				for the project and shall constitute an affirmation that all temporary traffic
				control measures to be implemented due to the project shall be made in
				accordance with this rule and the Manual on Uniform Traffic Control Devices
				(MUTCD) Parts VI and 8A-5. Notice shall be sent by registered mail, return
				receipt requested, to the business address of the owner of the railroad track
				and the owner of trains or the track equipment operating over such track, or to
				the statutory agent at its known place of business, not less than 10 days prior
				to the commencement of the construction project.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-105 - Railroad Accident/Incident Reports; Investigation

Current through Register Vol. 30, No. 28, July 12, 2024
A. Reports by telephone.
1. Railroads shall give the Commission
				immediate telephone notification of the following classes of
				accidents/incidents:
a. Accidents resulting
				in death;
b. Accidents resulting in
				injury requiring immediate hospitalization;
c. Accidents resulting in damage to railroad
				property in excess of the amount for which the Federal Railroad Administration
				requires an accident report to be filed;
d. Accidents or incidents in which any
				hazardous materials are involved;
e. All public railroad-highway grade crossing
				accidents;
f. All
				accidents/incidents involving rail passenger operations.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-107 - Minimum Standards for Locomotives

Current through Register Vol. 30, No. 28, July 12, 2024
A. Each railroad operating wholly or
				partially within the state of Arizona shall hereafter install and maintain
				minimum standards on locomotives in accordance with this Section.
B. All of the following requirements shall be
				met:
1. Locomotives used in or through the
				state of Arizona shall be equipped with an effective means of extinguishing
				minor fires. Such extinguishing agents shall be placed in a readily accessible
				location and shall be effectively maintained.
2. Each locomotive shall carry, in a visible
				and readily accessible place, a plainly marked first-aid kit which shall be so
				constructed that it and its entire contents are readily removable. The kit
				shall consist of materials, approved by the railroad's consulting physician, in
				a weatherproof container with individually sealed packages for each type item.
				The contents shall be inspected weekly to ensure that expended items are
				replaced.
3. Each train operated in
				or through the state of Arizona at a speed in excess of 30 miles per hour shall
				have at least one locomotive equipped with an operating event recorder. Such
				event recorders shall be inspected at least once every 90 days and maintained
				in a fully operative condition.
4.
				All locomotives shall have operative toilets which are illuminated, are kept
				clean and free of noxious odors at all times, and are subjected to effective
				bactericidal treatment as often as may be necessary.
5. Drinking water facilities shall be
				installed and maintained so as to provide fresh and pure drinking water. Such
				water facilities shall include individual bottled water containers placed in an
				ice chest. When ice is used for water cooling purposes, the containers shall be
				so arranged that the drinking water shall not come in contact with the ice.
				Containers used for storing or dispensing drinking water shall be kept clean at
				all times and shall be subjected to effective bactericidal treatment as often
				as may be necessary to prevent the contamination of the water so stored and
				dispensed.
6. Locomotives shall be
				supplied with fresh water, paper towels, toilet tissue, sanitary drinking cups,
				ice as needed, and such other equipment as may be required for
				service.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-108 - Inspection of Property

Current through Register Vol. 30, No. 28, July 12, 2024
For the purpose of insuring compliance with safety rules and
				  regulations, the Commission, or any authorized inspector or agent thereof, may,
				  at any time, stop, board, ride, investigate, or inspect any train, locomotive,
				  car, caboose, or any other rolling stock or equipment used by a railroad in the
				  operation of their business.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-109 - Industrial Track Standards

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				This Section shall be applicable to all industrial track construction,
				reconstruction, and repair commencing after the effective date of this Section.
1. The industry and the railroad contractor
				shall be responsible for notifying the Commission in writing prior to the
				construction, reconstruction, or alteration of industrial track, structures, or
				facilities adjacent thereto.
2. The
				proposed design plans of any construction, reconstruction, or alteration of
				industrial track shall be submitted to the Commission, Railroad Safety Section,
				Phoenix, Arizona, prior to any construction, reconstruction, or alteration of
				industrial track.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-110 - Walkway and Clearance Standards

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				The following shall be the standards for all walkways.
1. Walkways shall be provided adjacent to
				tracks in all areas where railroad or industrial employees are required to
				perform trackside duties.
2.
				Walkways shall be:
a. A uniform regular
				surface with a gradual slope not to exceed 1 inch rise in 8 inches;
b. Kept clean and free of weeds, debris and
				other materials or equipment that might tend to interfere with the footing of
				railroad or industrial employees performing trackside duties; and
c. Constructed and maintained to ensure
				proper drainage and prevent pooling of water, oil, or other liquids.
3. In areas where heavy foot
				traffic exists, such as train yards and manually operated switches, the uniform
				surface material used shall be no larger than 3/8 inch fines.
4. Applicable walkway measurement and
				clearance standards contained in Appendices 1 through 6 shall be met.
5. The center of tracks shall be kept clean
				and free from all foreign materials that tend to build up between rails causing
				poor footing and a deterioration of track components.
6. Walkway standards shall not apply to any
				of the following:
a. Tracks in streets or
				tunnels, existing bridges, grade separation structures, railroad-highway
				crossings, existing trestles, cattle guards, and tracks adjacent to walks,
				abutments, platforms, pillars, and structures where minimum widths are
				otherwise provided;
b. Tracks
				within cities, towns, populated or congested areas where there is insufficient
				width of right-of-way, except that standards shall apply to the full width of
				right-of-way available; and
c.
				Tracks during periods of damage or obstruction due to heavy rain or snow,
				derailments, rock and earth slides and other abnormal periods. Walkways shall
				be brought back into compliance with this Section within 30 days after the
				damage or obstruction occurred.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-111 - Crew Requirements

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				Railroads operating within Arizona shall maintain a minimum of two operating
				employees in the control compartment of the lead locomotive unit of a
				train.
B. Compliance with
				subsection (A) of this Section shall not be required during switching
				operations, while moving cars for inspection purposes, or while performing
				setouts in conjunction with road service.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-114 - End-of-train Device

Current through Register Vol. 30, No. 28, July 12, 2024
Any railroad carrier subject to the provisions of 49 CFR 221,
				  amended and revised through October 1, 1989, incorporated herein by reference,
				  on file with the Office of the Secretary of State, and copies available from
				  the United States Government Printing Office, P.O. Box 371975M, Pittsburgh,
				  Pennsylvania 15250-7975, operating trains outside of yard limits without an
				  occupied caboose at the rear of the train shall have an operable end-of-train
				  device capable of activating the train's emergency air brake system
				  electronically from the control panel of the locomotive controlling the
				  train.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-115 - Train Composition

Current through Register Vol. 30, No. 28, July 12, 2024
All carriers operating within the state of Arizona shall
				  strictly adhere to their respective instructions relative to "train makeup" or
				  "special car handling instructions" as promulgated in the current timetable or
				  other operating department special instructions.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Section R14-5-116 - Civil Penalty

Current through Register Vol. 30, No. 28, July 12, 2024
A. Any
				person, firm or corporation violating any provision of this Article or Order
				adopted pursuant to this Article pertaining to railroad safety and the
				transportation of hazardous materials by rail shall be subject to a civil
				penalty not to exceed $2,000 for each violation with each day constituting a
				separate violation. In no event shall the maximum civil penalty exceed $200,000
				for any related series of violations. The penalties described in this
				subsection shall not apply to
				R14-5-102.
B. Any civil penalty pertaining to railroad
				and rail hazardous materials transportation safety may be compromised by the
				Commission. In determining the amount of the penalty, or the amount agreed upon
				in compromise, the appropriateness of the penalty to the size of the business
				of the person, firm or corporation charged, the gravity of the violation and
				the good faith of the person, firm, or corporation charged in attempting to
				achieve compliance, after notification of a violation, shall be considered by
				the Commission. The amount of the penalty, when finally determined, or the
				amount agreed upon in compromise, may be deducted from any sums owed by the
				state of Arizona to the person, firm, or corporation charged or may be
				recovered in a civil action in the Superior Court of the state of
				Arizona.
C. The Commission may
				avail itself of any other authority or remedies available under the
				Constitution of Arizona and the Arizona Revised Statutes to effect the purpose
				of this Article.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Appendix 2 - Walkways Along Main Tracks Along Short Line & Branch Line - Two Tracks

Current through Register Vol. 30, No. 28, July 12, 2024
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Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Appendix 3 - Walkways at Main Line Switches Entering Yards and Serving Industry Tracks Except as Provided in Standard No. 4 - Walkways to be Level with Ties

Current through Register Vol. 30, No. 28, July 12, 2024
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Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 1 - RAILROADS › Appendix 5 - Walkways in Yards and Points Where Industrial Switching is Performed But Not Less Than 50 Feet in Advance of Switch

Current through Register Vol. 30, No. 28, July 12, 2024
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Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-201 - Definitions

Current through Register Vol. 30, No. 28, July 12, 2024
As used in this Article:
1. "Arizona Office of Pipeline Safety" means
				the Commission personnel assigned to perform the Commission's day-to-day
				activities under A.R.S. Title 40, Chapter 2, Article 10, who are headquartered
				at 1300 W. Washington Street, Suite 220 Phoenix, AZ 85007 and whose contact
				information is available at
http://www.azcc.gov/Divisions/Safety
.
2. "AZOPS" means "Arizona Office of Pipeline
				Safety," as defined herein.
3. "Building" means any
				structure intended for supporting or sheltering any occupancy.
4.
				"Commission" means the Arizona Corporation Commission.
5.
				"Discontinuation of service" means an interruption in service expected to
				exceed four hours, occurring after an operator tests a service line or meter
				set assembly and determines that additional actions are necessary to restore
				service because of a leak or hazardous operating condition.
6.
				"DOT" means the U.S. Department of Transportation.
7. "Evacuation" means
				denying entry into or the organized clearing of a building or buildings,
				involving:
a. One hundred or more individuals
				from any number of buildings;
b.
				All of the individuals present from five or more buildings;
c. All of the individuals present from five
				or more businesses within a single building such as a strip mall; or
d. A nonresidential building known or
				discovered to be occupied by individuals who are confined, are of impaired
				mobility, or would be difficult to evacuate because of their age or physical or
				mental condition or capabilities, such as a hospital, prison, school, daycare
				facility, retirement facility, or assisted living facility.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-202 - Construction and Safety Standards for Gas, LNG, and Hazardous Liquid Pipeline Systems

Current through Register Vol. 30, No. 28, July 12, 2024
A. Applicability:
				This Section applies to the construction, reconstruction, repair, operation,
				and maintenance of each intrastate gas, LNG, or hazardous liquid pipeline
				system, pursuant to A.R.S. §
									40-441.
B. Subject to the definitional changes in
				R14-5-201 and the modifications noted in this Section, the Commission adopts,
				incorporates, and approves as its own  49 CFR 40; 191; 192, except (I)(A)(2) and
				(3) of Appendix D to Part 192; 193; 195, except 195.1(b)(2), (3), and (4); and
				199 (October 1, 2022), including no future editions or amendments, which are
				incorporated by reference; on file with the Arizona Office of Pipeline Safety
				(AZOPS); and published by and available from the Government Bookstore at
				https://bookstore.gpo.gov and online at ecfr.gov. For purposes of 49 CFR 192,
				"Business District" means an area where the public congregate for economic,
				industrial, religious, educational, health, or recreational purposes and two or
				more buildings used for these purposes are located within 100 yards of each
				other.
C. The above mentioned
				incorporated Parts of 49 CFR, except  49 CFR 191 ;
				49 CFR
				192.727(g)(1),
				192.913(b)(1)(vii),
				192.943(a),
				192.949(a)-(b),
				and
				192.951;
				 49 CFR 193  Subpart A; and  49 CFR 195  Subparts A and B, are revised as follows:
1. Substitute "Commission" where
				"Administrator," "Pipeline and Hazardous Materials Administration," "Office of
				Pipeline Safety," or "OPS" appears; and
2. Substitute "Arizona Office of Pipeline
				Safety, Arizona Corporation Commission, at its office in Phoenix, Arizona"
				where the address for the "Information Resources Manager, Office of Pipeline
				Safety, Pipeline and Hazardous Materials Safety Administration, U.S. Department
				of Transportation" appears.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-203 - Pipeline Incident Reports

Current through Register Vol. 30, No. 28, July 12, 2024
A. Applicability.
				This Section applies to all intrastate pipeline systems.
B. Required incident reports by telephone:
1. An operator of an intrastate pipeline
				transporting LNG or gas shall immediately notify by telephone the AZOPS, at
				602-262-5601 during normal working hours or at 602-252-4449 at all other times,
				upon discovering the occurrence of any of the following related to the
				operator's intrastate pipeline system:
a.
				Release of gas or LNG from a pipeline or LNG facility, when any of the
				following results:
i. Death or personal
				injury requiring hospitalization;
ii. Injury to any individual resulting in
				loss of consciousness;
iii. An
				explosion or fire not intentionally set by the operator;
iv. Property damage estimated in excess of
				$5,000, including the value of the gas lost; or
v. Unintentional release of gas from a
				transmission pipeline;
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-204 - Annual Reports

Current through Register Vol. 30, No. 28, July 12, 2024
A. An operator of
				an intrastate pipeline shall file with the Arizona Office of Pipeline Safety,
				not later than March 15, for the preceding calendar year, an annual report
				completed using one of the following, as applicable, which are incorporated by
				reference; on file with the AZOPS; and published by and available from PHMSA as
				provided in R14-5-203(C)(2):
1. Form PHMSA F
				7000-1.1: Annual Report for Calendar Year 20__ Hazardous Liquid Pipeline
				Systems ( January 2020), including no future editions or amendments, which
				shall be completed in accordance with the PHMSA instructions for the
				form;
2. Form PHMSA F 7100.1-1:
				Annual Report for Calendar Year 20___ Gas Distribution System (May 2021),
				including no future editions or amendments, which shall be completed in
				accordance with the PHMSA instructions for the form;
3. Form PHMSA F 7100.2-1: Annual Report for
				Calendar Year 20__ Natural and Other Gas Transmission and Gathering Pipeline
				Systems (March 2022), including no future editions or amendments, which shall
				be completed in accordance with the PHMSA instructions for the form;
				or
4. Form PHMSA F 7100.3-1: Annual
				Report for Calendar Year 20__ Liquefied Natural Gas (LNG) Facilities (March
				2022), including no future editions or amendments, which shall be completed in
				accordance with the PHMSA instructions for the form.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-205 - Commission Investigations

Current through Register Vol. 30, No. 28, July 12, 2024
A. The
				AZOPS shall investigate the cause of each reportable incident, accident, or
				event resulting in a death or an injury requiring hospitalization and may
				investigate other incidents, accidents, or events.
B. While investigating an incident, accident,
				or event, the Commission or an authorized agent of the Commission may:
1. Inspect all plant and facilities of a
				pipeline system and all other property of a pipeline system operator;
2. Inspect the books, papers, business
				methods, and affairs of a pipeline system operator;
3. Make inquiries regarding and interview
				persons having knowledge of facts surrounding an incident or
				accident;
4. Attend, as an
				observer, all hearings and formal investigations concerning a pipeline system
				operator;
5. Schedule and conduct a
				public hearing into the incident or accident; and
6. Issue subpoenas to compel the production
				of records and the taking of testimony.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-206 - Employee Drug and Alcohol Testing Requirements

Current through Register Vol. 30, No. 28, July 12, 2024
An operator of an intrastate pipeline facility transporting
				  gas or a hazardous liquid or of an intrastate LNG facility shall ensure that
				  drug and alcohol testing of its workers is performed in compliance with 49 CFR
				  199, as incorporated by reference in
				  R14-5-202.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 5 - CORPORATION COMMISSION - TRANSPORTATION › Article 2 - PIPELINE SAFETY › Section R14-5-207 - Master Meter System Operators

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				Applicability: This Section applies to the construction, reconstruction,
				repair, emergency procedures, operation, and maintenance of all master meter
				systems.
B. An operator of a master
				meter system shall comply with this Section as a condition of receiving service
				from a provider. Noncompliance with this Section by an operator of a master
				meter system constitutes grounds for termination of service by the provider
				when informed in writing by the AZOPS. In case of an emergency, the AZOPS may
				give the provider oral instructions to terminate service, with written
				confirmation to be furnished within 24 hours.
C. Each operator of a master meter system
				shall comply with all applicable requirements of 49 CFR 192, as incorporated by
				reference in
				R14-5-202.
D. An operator of a master meter
				system shall:
1. Establish an Operation and
				Maintenance Plan, including an emergency plan; and
2. At all times, maintain a copy of the
				Operation and Maintenance Plan at the master meter system location.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 1 - GENERAL PROVISIONS RELATING TO THE ARIZONA INVESTMENT MANAGEMENT ACT › Section R14-6-102 - Scope of Provisions

Current through Register Vol. 30, No. 28, July 12, 2024
The following Sections are adopted by the Commission under
				  the authority granted pursuant to A.R.S. Title 44, Chapter 13. Such Sections
				  shall be generally applicable to the administration of the IM Act. When not in
				  conflict with these Sections, the applicable provisions of A.A.C.
				  R14-3-101
				  through
				  R14-3-113
				  also shall apply.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 1 - GENERAL PROVISIONS RELATING TO THE ARIZONA INVESTMENT MANAGEMENT ACT › Section R14-6-103 - Severability

Current through Register Vol. 30, No. 28, July 12, 2024
The provisions of the Sections promulgated under A.R.S. Title
				  44, Chapter 13, are severable. If any provision of a Section is held to be
				  invalid, such invalidity shall not affect other provisions that can be given
				  effect without the invalid provision.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 1 - GENERAL PROVISIONS RELATING TO THE ARIZONA INVESTMENT MANAGEMENT ACT › Section R14-6-104 - Enforcement of the Arizona Investment Management Act

Current through Register Vol. 30, No. 28, July 12, 2024
The provisions relating to investigations and examinations
				  conducted pursuant to and orders issued under the IM Act are contained at
				  A.A.C.
				  R14-4-301
				  through
				  R14-4-308.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 1 - GENERAL PROVISIONS RELATING TO THE ARIZONA INVESTMENT MANAGEMENT ACT › Section R14-6-105 - Processing of Applications for Investment Adviser and Investment Adviser Representative Licensure

Current through Register Vol. 30, No. 28, July 12, 2024
A. For
				purposes of this Section, the term "application" includes all documents,
				information and fees prescribed by the Commission under A.R.S. Title 44,
				Chapter 13, Articles 4 and 5 and the rules promulgated under those
				statutes.
B. Within 21 days after
				receipt of an application for investment adviser or investment adviser
				representative licensure, the Commission shall notify the applicant, in
				writing, that the application is either complete or deficient. If the
				application is deficient, the notice shall specify all deficiencies. Unless
				otherwise notified by the Commission, an application will be deemed complete 21
				days after receipt by the Commission of information in satisfaction of all
				deficiencies.
C. An applicant with
				a deficient application shall supply the information in satisfaction of the
				deficiencies within the time permitted by A.R.S. §
									44-3181.
				If the applicant fails to provide the information, the Commission may abandon
				the application under A.R.S. §
									44-3181.
				An applicant whose application has been abandoned may reapply by submitting a
				new application.
D. Within 60 days
				after receipt of a complete application, the Commission shall approve the
				application or initiate the denial process by filing a notice of an opportunity
				for a hearing under A.A.C. R14-4-306. When a notice of an opportunity for a
				hearing is filed:
1. If the applicant does
				not request a hearing, the Commission shall approve, deny, or take other
				appropriate action regarding the application within 70 days after service of
				the notice.
2. If the applicant
				requests a hearing, the applicant shall do so within 10 days after receipt of
				the notice. The Commission shall approve, deny, or take other appropriate
				action regarding the application within 210 days after the applicant's request
				is docketed with the Commission.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 1 - GENERAL PROVISIONS RELATING TO THE ARIZONA INVESTMENT MANAGEMENT ACT › Section R14-6-106 - General Dissemination of Information on the Internet

Current through Register Vol. 30, No. 28, July 12, 2024
A. Investment advisers and investment adviser
				representatives who use the Internet to distribute information on products and
				services directed generally to anyone having access to the Internet shall not
				be deemed to be transacting business in Arizona for purposes of Article 4 of
				the IM Act based solely on that activity if the following conditions are
				observed:
1. The Internet communication
				includes clear and prominent statements that:
a. The investment adviser or investment
				adviser representative may only transact business in Arizona if first compliant
				with or exempt from licensure or notice filing requirements.
b. The investment adviser or investment
				adviser representative may only communicate with persons in Arizona
				individually about rendering investment advice for compensation or solicit or
				negotiate for the sale of investment advisory services if first compliant with
				or exempt from licensure or notice filing requirements.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 2 - DUTIES OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section R14-6-201 - Books and Records of Investment Advisers

Current through Register Vol. 30, No. 28, July 12, 2024
A. Except as provided in subsection (G), each
				investment adviser licensed or required to be licensed under the IM Act shall
				make, maintain, and preserve books and records in accordance with the
				requirements imposed on federal covered advisers under rule 204-2. The
				investment adviser shall file with the Commission a copy of any notices or
				written undertakings required to be filed by federal covered advisers with the
				SEC under rule 204-2.
B. To the
				extent that the SEC amends rule 204-2, investment advisers in compliance with
				the requirements contained in rule 204-2 as amended shall not be deemed to be
				in violation of this Section and shall not be subject to enforcement action by
				the Commission for violation of this Section to the extent that the violation
				results solely from the investment adviser's compliance with the requirements
				contained in the amended rule 204-2.
C. Except as provided in subsection (G), each
				investment adviser licensed or required to be licensed under the IM Act shall
				make, maintain, and preserve for at least 5 years the following additional
				books and records:
1. A file containing each
				customer complaint received relating to advisory activities conducted by the
				investment adviser, its investment advisory representatives, or its employees,
				and all correspondence relating to such complaint.
2. A file containing all advertisements used
				by the investment adviser or any investment adviser representative, including
				any radio or television transcripts and advertisements placed on computer or
				electronic bulletin boards.
3. In
				each client file, all correspondence received or sent by the investment
				adviser, any investment adviser representative, or any employee, that related
				to any client account, securities, or funds.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 2 - DUTIES OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section R14-6-202 - Supervision

Current through Register Vol. 30, No. 28, July 12, 2024
For purposes of A.R.S. §
									44-3201(A)(12),
				  no investment adviser shall be deemed to have failed to reasonably supervise
				  its investment adviser representatives or employees if:
1. The investment adviser has established and
				maintained written procedures, and a system for applying such procedures, that
				reasonably may be expected to prevent and detect, insofar as practicable, any
				violation of the IM Act or any rule adopted thereunder by such investment
				adviser representatives or employees; and
2. Such investment adviser has discharged
				reasonably the duties and obligations incumbent upon it by reason of such
				procedures and system without reasonable cause to believe that the investment
				adviser representatives or employees are not complying with such procedures and
				system.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 2 - DUTIES OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section R14-6-204 - Required Written Examinations

Current through Register Vol. 30, No. 28, July 12, 2024
A. Except as otherwise provided in
				subsections (B) and (C), all natural persons applying for licensure as an
				investment adviser or an investment adviser representative under A.R.S. Title
				44, Chapter 13, Article 4 shall have taken and passed:
1. The Uniform Investment Adviser Law
				Examination (Series 65 examination); or
2. The Uniform Combined State Law Examination
				(Series 66 examination) and either the General Securities Registered
				Representative Examination (Series 7 examination) or the General Securities
				Representative (nonmember) Examination (Series 2 examination).
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 6 - Corporation Commission - Investment Management › Article 2 - DUTIES OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES › Section R14-6-207 - Suitability of Investment Advisory Services

Current through Register Vol. 30, No. 28, July 12, 2024
A. Except as otherwise provided in subsection
				(B), it shall constitute a fraudulent practice within the meaning of A.R.S.
				§
									44-3241(A)(4)
				 for any person to provide investment
				advisory services to any client, other than in connection with impersonal
				advisory services, unless the person:
1.
				Before providing any investment advisory services, and as appropriate
				thereafter, makes a reasonable inquiry of the client as to the financial
				situation, investment experience, and investment objectives of the client;
				and
2. Reasonably determines that
				the investment advisory services are suitable for the client based upon the
				information obtained from the client in accordance with subsection (A)(1)
				above.