cpuc rules of practice and procedure

(c) The complainant, defendant, respondent, or any intervenor in an adjudicatory proceeding may file and serve an appeal of the decision of the presiding officer within 30 days of the date the decision is served on the parties in the proceeding. Proceedings and Rulemaking - California Public Utilities Cal. Code Regs. tit. 20 16.6 - Casetext In lieu of the original, one additional copy of the document may be tendered. ARTICLE 8. 2525, 4.3. ARTICLE 7. (c) Proceedings on ratemaking for any class of public utilities or of other regulated entities. (3) does not occur in a public hearing, workshop, or other public setting, or on the record of the proceeding. The certificate filed with the original of the document must be signed by the person making the service (see Rule 1.8(e)). (Rule 1.10) Electronic Mail Service. Applicants in matters involving buses, vessels, public utility sewer systems, or public utility pipelines may make an oral or written motion to waive the filing of comments on the proposed decision. 15.5. Procedure Rules of Practice and - webproda.cpuc.ca.gov (Rule 3.12) Exemption from Underground Rules. (2) A Commission order instituting rulemaking, issued after January 1, 1998, shall preliminarily determine the category and need for hearing, and shall attach a preliminary scoping memo. (Rule 2.2) Organization and Qualification to Transact Business. 16.1. (Rule 14.2) Issuance of Recommended Decision. Note: Authority cited: Section 1701, Public Utilities Code. If a petition would result in the modification of a regulation adopted in a past Commission order or decision, then the petition must also be served on all parties to the proceeding or proceedings in which the regulation that would be modified was adopted. ), Step 3:Serving and Filing Formal Documents in a Proceeding, Methods for Becoming a Party to a Proceeding Rule 1.4, Creating Formal Documents Templates Provided, protest or response to an application (other than an application for rehearing pursuant to Rule 16.1) or petition, or. First-class postage charges to San Francisco must be paid at the time documents are tendered to the Los Angeles office. (Rule 10.4) Computer Model and Data Base Access. Note: Authority cited: Section 1701, Public Utilities Code. 4141, 11.4. 12.1. (4) "Present" or "presence" at a hearing or argument means physical attendance in the hearing room, sufficient to familiarize the attending Commissioner with the substance of the evidence, testimony, or argument for which the Commissioner's presence is required or requested. The document shall be served within one business day after receipt of any such request. Reference: Section1701.1, Public Utilities Code. (Rule 8.5) Communications with Advisors. Persons will be added to the official service list, either as State Service or Information Only, upon request to the Process Office. (Rule 3.3) Certificate to Operate. If the proceeding is categorized as ratesetting, the ruling shall also designate the principal hearing officer. Service by e-mail is complete when the e-mail message is transmitted, subject to Rule 1.10(e). Web1.4. Rules of Practice and Procedure - August 2009 - California (Rule 4.5) Expedited Complaint Procedure. (Rule 3.8) Alter or Relocate Existing Railroad Crossing. Replies to responses are not permitted. See Resolutions ALJ-381 and ALJ-398. These FAQ are general summary of the key aspects of the rules. The comment procedure in Rules 77.1-77.6 does not apply to a presiding officer's decision. If prepared testimony is issued in support of a filing at the time the filing is made, it shall be served (i)on the service list together with the filing, and (ii) on the Administrative Law Judge or, if none is yet assigned, on the Chief Administrative Law Judge. (Rule 15.6) Service of Decisions and Orders. Payment of postage charges may be made by check or money order. (d) If a tendered document is in substantial, but not complete, compliance with applicable requirements, the Docket Office may notify the person tendering the document of the defect. (b) The rules and procedures in this Article shall also apply to a formal proceeding (except for a complaint under Rule 13.2) that is filed before January 1, 1998, in the following circumstances: (1) the proceeding is an "included proceeding" pursuant to ResolutionALJ-170 (January 13, 1997); or. Ex parte communications include communications that are one-way from a decisionmaker to an interested person. (d) "Quasi-legislative" proceedings are proceedings that establish policy or rules (including generic ratemaking policy or rules) affecting a class of regulated entities, including those proceedings in which the Commission investigates rates or practices for an entire regulated industry or class of entities within the industry. (Rule 1.4) Participation in Proceedings. (Rule 14.5) Comment on Draft or Alternate Resolution. Reference: Sections311(d), 1701.3(e) and 1701.4(e), Public Utilities Code. (Rule 15.5) Decision in Adjudicatory Proceeding. After determination of the category, the requirements of subsection (b), (c), or (d) of this rule shall apply, as appropriate. (Rule 4.2) Form and Contents of Complaint. A document of more than one page must be bound on the left side or upper left-hand corner. Thus, a communication is on the record of the proceeding if it appears in the transcribed record of hearings, in a ruling, or other widely available formal filing. The Order Instituting Rulemaking shall be served by the Executive Director on all respondents and known interested parties. 2.6. 11.3. Rulemaking proceedings when instituted shall be noticed on the commission's Daily Calendar. WebTo the extent that there is any inconsistency between this guide and Rules of Practice and Procedure, the Rules of Practice and Procedure govern. Article 16 - Rehearing, Modification and Time to Comply. (c) Any proceeding to which the rules and procedures in this Article do not apply will be handled under the otherwise applicable Commission rules and procedures. (d) By utilizing e-mail service, the serving person agrees, in the event of failure of e-mail service, to re-serve the document, no later than the business day after the business day on which notice of the failure of e-mail service is received by the serving party, by any means authorized by these rules, provided that e-mail service may be used for re-service only if (1) the receiving person consents to the use of e-mail service, or (2) the serving person determines that the cause of the failure of e-mail service has been rectified. (3) The assigned Commissioner shall consider the application, protests, and responses, and the prehearing conference statements (if one is held), and shall rule on the category, need for hearing, and scoping memo. WebRules of Practice and Procedure (effective May 2021) Notice of Proposed Changes to the Rules of Practice and Procedure If you would like to be notified of proposed changes to the Rules of Practice and Procedure, you may sign up for the mailing list. The ex parte communication restrictions and reporting requirement apply until the Commission resolves any application for rehearing on the decision closing the proceeding or until the time to apply for rehearing has expired and no application for rehearing has been filed. (d) In exercising its discretion under subsections (b) and (c) of this rule, the Commission shall so categorize a proceeding and shall make such other procedural orders as best to enable the Commission to achieve a full, timely, and effective resolution of the substantive issues presented in the proceeding. (Rule 6.5) Approval of Changes to Preliminary (b) "Category," "categorization," or "categorized" refers to the procedure whereby a proceeding is determined to be an "adjudicatory," "ratesetting," or "quasi-legislative" proceeding. www.cpuc.ca.gov). When a document is verified by the attorney or representative, he or she must set forth in the affidavit or declaration why the verification is not made by the person and must state that he or she has read the document and that he or she is informed and believes, and on that ground alleges, that the matters stated in it are true. Violations of these rules are subject to sanctions, including fines and other penalties. (c) The Commission, in issuing its decision in a ratesetting or quasi-legislative proceeding, may adopt, modify, or set aside all or part of the proposed decision, based on the evidence in the record. 1616, 3.3. (Rule 9.2) Motion for Reassignment on Peremptory Challenge. (a) In any adjudicatory proceeding, if an application for rehearing is granted, the parties shall have an opportunity for final oral argument before the assigned Administrative Law Judge (or before the assigned Commissioner, if the latter presides at the rehearing). 4.5. 13.13. Reference: Section 1701, Public Utilities Code. (a) By resolution at each Commission business meeting, the Commission shall preliminarily determine, for each proceeding initiated by application filed on or after the Commission's prior business meeting, the category of the proceeding and the need for hearing. (b) In an adjudicatory proceeding in which a hearing was held, the presiding officer shall prepare a decision setting forth the findings, conclusions, and order. Replies to responses are not permitted. (e) "Ex parte communication" means a written communication (including a communication by letter or electronic medium) or oral communication (including a communication by telephone or in person) that: (1) concerns any substantive issue in a formal proceeding, (2) takes place between an interested person and a decisionmaker, and. (c) "Ratesetting" proceedings are proceedings in which the Commission sets or investigates rates for a specifically named utility (or utilities), or establishes a mechanism that in turn sets the rates for a specifically named utility (or utilities). Any party's proposed schedule for purposes of this rule shall be consistent with the proposed or finally determined category, as appropriate, including a deadline for resolving the proceeding within 12 months or less (adjudicatory proceeding) or 18 months or less (ratesetting or quasi-legislative proceeding). Reference: COMMUNICATIONS WITH DECISIONMAKERS AND ADVISORS. 3939, 10.4. 1.2. Filing fees required by the Public Utilities Code are set forth in the Table of Filing Fees at the end of the Rules. (d) "Quasi-legislative" proceedings are proceedings that establish policy or rules (including generic ratemaking policy or rules) affecting a class of regulated entities, including those proceedings in which the Commission investigates rates or practices for an entire regulated industry or class of entities within the industry. (Rule 11.3) Motion to Compel or Limit Discovery. The date, time, and location of the communication, whether the communication was oral or written, or a combination of both, and the communication medium used. The proposed regulation must apply to an entire class of entities or activities over which the Commission has jurisdiction and must apply to future conduct. Ratesetting Deliberative Meetings are noticed in the Daily Calendar. 7.1. (Rule 3.1) Construction or Extension of Facilities. Electronically filed documents so endorsed carry the same force and effect as a manually affixed endorsement stamp. (Rule 3.10) Railroad Across Railroad. (Rule 16.2) Parties Eligible to File Applications for Rehearing. The ruling setting the prehearing conference may also set a date for filing and serving prehearing conference statements. (Rule 8.4) Ex Parte Requirements Prior to Final Categorization. Interested persons subject to this rule include any party to the proceeding, any person with a financial interest in the proceeding; a representative acting on behalf of any formally organized civic, environmental, neighborhood, business, labor, trade, or similar association organization who intends to influence the decision of a Commission member on a matter before the Commission, even if that association is not a party to the proceeding, a person involved in issuing credit ratings or advising entities or persons who invest in shares or operations of any party to a proceeding; and any representative of such persons. Other proceedings may be categorized as ratesetting, as described in Rule 7.1(e)(2). (1) A Commission order to show cause or order instituting investigation, issued after January 1, 1998, shall determine the category and need for hearing, and shall attach a preliminary scoping memo. Note: Authority Cited: Sections 1701 and 1708.5, Public Utilities Code. The decision of the Commission shall be issued not later than 60 days after issuance of the proposed decision. An interested persons presentation or dialogue during an open question and answer session where the audience includes a decisionmaker is not an ex parte communication but must be reported in the same manner as an ex parte communication. If the document is signed by the person, it must be signed as follows: (1) If the person is an individual or sole proprietorship, by the individual or proprietor. (Rule 8.4) Ex Parte Requirements Prior to Final Categorization. An original and seven copies of a "Notice of Ex Parte Communication" (Notice) shall be filed with the Commission's San Francisco Docket Office within three working days of the communication. (1) In a proceeding initiated by application filed after January 1, 1998, the requirements of subsection (c) shall apply during the period during the filing and the Commission's preliminary determination of category pursuant to Rule6(a)(1), after which the requirements of subsection (b), (c), or (d) shall apply, depending on the preliminary determination. 3636, 9.5. Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Unverified factual assertions will be given only the weight of argument. (a) Separate documents must be used address unrelated subjects or to ask the Commission or the Administrative Law Judge to take essentially different types of action (e.g., a document entitled "Complaint and Motion to File Under Seal" would be improper; two separate documents must be used for the complaint and for the motion). To the extent permitted by law, any Commissioner who is surplus to the quorum may attend the argument from a remote location linked to the hearing room via audio, visual, and/or textual media establishing real-time, two-way communication. (Rule 14.3) Comments on Proposed or Alternate Decision. (c) Minor typographical or wording corrections that do not alter the substance of a filed document or the relief requested therein are not to be filed. The request should be made as far as possible in advance of the formal hearing, and should specify (1) the witnesses and/or issues for which the assigned Commissioner's presence is requested, (2) the party's best estimate of the dates when such witnesses and subject matter will be heard, and (3) the reasons why the assigned Commissioner's presence is requested. 2222, 3.8. (4) If the person is a governmental entity, by an officer, agent, or authorized employee. (b) In any ratesetting proceeding, the assigned Commissioner shall be present at the closing argument and, if acting as principal hearing officer, shall be present for more than one-half of the hearing days. Documents initiating new proceedings must leave a space to the right of the caption for the docket number. (See Rule 18.1, Form No. (See Rule 1.1.) 3737, 10.1. ARTICLE 16. (f) The Administrative Law Judge may establish a special service list that includes some, but not all, persons on the official service list for service of documents related to a portion of a proceeding, provided that all persons on the official service list are afforded the opportunity to be included on the special service list. 2828, ARTICLE 7. References: Sections1701.1(a), 1701.1(c)(1)-(4), Public Utilities Code. (c) Form and Content. (a) Ex parte communications that are subject to these reporting requirements shall be reported by the interested person, regardless of whether the communication was initiated by the interested person. The text of the e-mail message must identify the electronic format of the document (e.g., PDF, Excel), whether the e-mail message is one of multiple e-mail messages transmitting the document or documents to be served and, if so, how many e-mails, and the name, telephone number, e-mail address, and facsimile transmission number of the person to whom problems with receipt of the document to be served should be directed. Governor Janet Mills has signed the following bills into law: An Act to Impede the Transfer of Firearms to Prohibited Persons. Hearings and other events to hear from the public on issues before the CPUC. The assigned Commissioner has sole discretion to grant or deny, in whole or in part, any such request. Note: Authority cited: Section 1701, Public Utilities Code. (a) Except as otherwise provided in these rules or applicable statute, a requirement to serve a document means that a copy of the document must be served on each person whose name is on the official service list for the proceeding and on the assigned Administrative Law Judge (or, if none is yet assigned, on the Chief Administrative Law Judge). Methods for Becoming a Party to a Proceeding Rule 1.4 (a) A ratesetting or quasi-legislative proceeding shall stand submitted for decision by the Commission after the taking of evidence, and the filing of briefs or the presentation of oral arguments, as ordered in the proceeding. Parties who have filed a reply, response, protest or answer to the previously filed document need not file an additional reply, response, protest or answer to the amendment. (b) If the assigned Commissioner, pursuant to Rules 6(a)(3), 6(c)(2), or 6(d), changes the preliminary determination on need for hearing, the assigned Commissioner's ruling shall be placed on the Commission's Consent Agenda for approval of that change. The type must be no smaller than 10 points. 16.3. PUBLIC UTILITIES COMMISSION 11, CHAPTER 1. 3232, 8.3. (Rule 9.6) Administrative Law Judge's Request for Reassignment. 4343, 12.4. (Rule 9.6) Administrative Law Judge's Request for Reassignment. (Rule 12.5) Adoption Binding, Not Precedential. Rules of Practice and Procedure - California Public Utilities PUBLIC UTILITIES AND ENERGY DIVISION 1. RULES OF PRACTICE AND PROCEDURE. 9.3. (2) state the factual and legal contentions that the person intends to make and show that the contentions will be reasonably pertinent to the issues already presented. (d) For purposes of this Article, a proceeding initiated by a Commission order is filed as of the date of issuance of the order. (1) Any person that files an application after January 1, 1998, shall state in the application the proposed category for the proceeding, the need for hearing, the issues to be considered, and a proposed schedule. Including Decisions and Proposed Decision (as well as red-lined revisions) Official CPUC-generated proceeding documents, Advice Letters, electronically filed documents, staff reports, press releases, environmental impact reports and more. The ruling shall also designate the principal hearing officer or presiding officer, as appropriate. (Rule 7.6) Appeals of Categorization. (Rule 17.2) Eligibility in Phased Proceedings. Chapter 1. Rules of Practice and Procedure - California However, redacted versions of such documents may be electronically tendered for filing. (Rule 16.5) Correction of Obvious Errors. The formal record of the proceeding generally consists of filed pleadings and the transcribed record of hearings set by order of the Commission or by ruling of a decisionmaker. The Commission is not obligated to withhold a decision on an appeal to allow time for responses. (a) A document tendered for filing must have a signature at the end of the document and must state the date of signing, the signer's address, the signer's telephone number, and (if consenting to service by electronic mail) the signer's electronic mail address. Some highlights are listed below. (Rule 12.4) Rejection of Settlement. 4646, 13.5. (Rule 12.4) Rejection of Settlement. (Rule 11.5) Motion to Seal the Evidentiary Record. (b) If a document is accepted for filing, it will be recorded as of the date it was first tendered for filing at the Commission's San Francisco or Los Angeles office. (a) Tendered documents are not filed until they have been reviewed and accepted for filing by the Docket Office in San Francisco. (2) If the person is a corporation, trust, or association, by an officer. (g) Specific types of documents may be subject to additional requirements stated in other articles of these rules. (c) If these rules require a person to verify a document, it must be verified as follows (except as provided in subsection (d)): (1) If the person is an individual or sole proprietorship, by the individual or sole proprietor. (d) In any quasi-legislative proceeding, ex parte communications are allowed without restriction or reporting requirement. Note: Authority cited: Section 1701, Public Utilities Code. The Commission is not obligated to withhold a decision on an appeal or request for review to allow time for responses to be filed. All documents tendered by mail must be addressed to the Commission's Docket Office in San Francisco. (1) Hard copy: The Docket Office will provide an acknowledgment of the filing on request, provided the person tendering the document furnishes at the time the document is tendered, an extra copy of the document and a self-addressed envelope with postage fully prepaid. At the meeting, that party shall produce a certificate of service of this notification on all other parties. WebCommissions Rules of Practice and Procedure. (Rule 8.3) Reporting Ex Parte Communications. Nothing in this rule excuses persons from serving copies of documents on persons who appear in the "Parties" and "State Service" categories of the official service list and have not provided an e-mail address for the official service list. In a ratesetting proceeding, communications with a Commissioner's personal advisor also shall be reported under the procedures specified in subsection (a) of this rule. 5757, 16.6. Vague assertions as to the record or the law, without citation, may be accorded little weight. 15.6. (Rule 15.6) Service of Decisions and Orders. Only hand-delivered documents will be accepted by the Los Angeles office. (Rule 17.1) Notice of Intent to Claim Compensation. 5050, 14.3. Reference: Sections1701.1(a), 1701.2(b), 1701.3(c) and 1701.4(b), Public Utilities Code. Reference: Section 311.5, Public Utilities Code; and Section 11104.5, Government Code. (Rule 4.3) Service of Complaints and Instructions to Answer. (Rule 12.6) Confidentiality and Inadmissibility. (Rule 17.4) Request for Compensation; Reply to Responses. Brochures on CPUC Processes - California Public Utilities Commission (Rule 12.1) Proposal of Settlements. 1.13. REHEARING, MODIFICATION AND TIME TO COMPLY 5555, 16.1. In an adjudicatory proceeding, the scoping memo shall also designate the presiding officer. Glossary of Acronyms and Other Frequently Used Terms. The preliminary determination is not appealable but shall be confirmed or changed by assigned Commissioner's ruling pursuant to Rule6(a)(3), and such ruling as to the category is subject to appeal under Rule6.4. ARTICLE 13. (Rule 3.9) Railroad Across Public Road. (Rule 2.3) Financial Statement. 5454, 15.4. 3.12. (Rule 13.10) Additional Evidence. The draft Resolution ALJ-381 and its proposed amendments to the Rules were published in the California Regulatory Notice Register 2020, No. Rules August 2009 11.6. (Rule 11.3) Motion to Compel or Limit Discovery. (Rule 7.1) Categorization, Need for Hearing. CATEGORIZING AND SCOPING PROCEEDINGS. (c) The assigned Administrative Law Judge may, where circumstances warrant, deny party status or limit the degree to which a party may participate in the proceeding. (Rule 2.6) Protests, Responses, and Replies. 1.10. Petitions must comply with all applicable requirements of Article 2 (Filing of Documents) of the Commission's Rules of Practice and Procedure, and the caption of a petition must contain the following wording: "Petition to adopt, amend, or repeal a regulation pursuant to Pub. Replies must be filed and served within 10 days of the last day for filing responses, unless the Administrative Law Judge sets a different date. However, those procedural steps taken after such applicability must comply with this Article wherever requiring such compliance would not invalidate or repeat procedural steps taken previously. (h) The assigned Commissioner or Administrative Law Judge may issue any order consistent with these rules to govern e-mail service in a particular proceeding. 3737, 9.6. (d) A copy of the certificate of service must be attached to each copy of the document (or Notice of Availability) served and to each copy filed with the Commission. At or after the prehearing conference, the assigned Commissioner shall rule on the category, need for hearing, and scoping memo. It is the responsibility of every person who transacts business with the Commission to abide by these rules. Rules of Practice and Procedure - California (Rule 16.3) Oral Arguments on Application for Rehearing. Public Comment: New Rule 1.18 implements Pub. (Rule 2.2) Organization and Qualification to Transact Business. Reference: Section1701.1(c)(4)(C)(i)-(iii), Public Utilities Code. (d) Any person named as a defendant to a complaint, or as a respondent to an investigation or a rulemaking, is a party to the proceeding. 2323, 3.11. Note: Authority cited: Section 1701, Public Utilities Code. (ii) Prohibition of Ex Parte Communications When a Ratesetting Deliberative Meeting is Scheduled: In all ratesetting proceedings in which a hearing has been held, a proposed decision has been filed and served, and a Ratesetting Deliberative Meeting has been scheduled, there shall be a prohibition on communications as provided in this subsection.
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