cpuc rules of practice and procedure

8.4. 3737, 9.6. The Notice shall include the following information: (1) The date, time, and location of the communication, and whether it was oral, written, or a combination; (2) The identities of each decisionmaker involved, the person initiating the communication, and any persons present during such communication; (3) A description of the interested person's, but not the decisionmaker's, communication and its content, to which description shall be attached a copy of any written, audiovisual, or other material used for or during the communication. (e) "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). The response shall be served on the appellant and on all persons who were served with the ruling, instructions to answer, or order. A proceeding initiated by an application or complaint is filed as of the date it was tendered for filing in compliance with the rules and procedures of Article2. Any person filing a response to an order to show cause or order instituting investigation shall state in the response any objections to the order regarding the need for hearing, issues to be considered, or schedule, as set forth in the order. In no event shall the period during which the Commission may meet in closed session exceed the period described in Rule 7(c)(4). 77, 1.13. If the document would initiate a new proceeding, the document will be filed as of the date that the defect is cured. (b) When a proceeding may fit more than one category as defined in Rules 5(b), 5(c), and 5(d), the Commission may determine which category appears most suitable to the proceeding, or may divide the subject matter of the proceeding into different phases or one or more new proceedings. (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. (Rule 17.3) Request for Award. Ex parte communications are prohibited in. Such statements may address the schedule, the issues to be considered, any matter related to the applicability of this Article to the proceeding, and any other matter specified in the ruling setting the prehearing conference. Understanding a CPUC Proceeding: Covers what happens in a proceeding and the types The certificate of service must state: (1) the exact title of the document served, (2) the place, date, and manner of service, and (3) the name of the person making the service. (Rule 14.4) Appeal and Review of Presiding Officer's Decision. The certificate may be provided by facsimile transmission. (c) When a proceeding does not clearly fit into any of the categories as defined in Rules 5(b), 5(c), and 5(d), the proceeding will be conducted under the rules applicable to the ratesetting category unless and until the Commission determines that the rules applicable to one of the other categories, or some hybrid of the rules, are best suited to the proceeding. If a Notice of Availability is served, a copy of the Notice must also be attached to each copy of the document filed with the Commission. If changes to the web site change the URL for the document, the serving person must serve and file a notice of the new URL. (Rule 5.2) Responses to Investigations. The title page may extend to additional pages if these required items cannot be set forth on onepage. HEARINGS, EVIDENCE, BRIEFS AND SUBMISSION 4545, 13.2. The following limited exceptions apply only to ratesetting proceedings. If the decision is held, the Commission may permit such communications for the first half of the hold period, and may prohibit such communications for the second half of the period, provided that the period of prohibition shall begin not more than 14 days before the Commission meeting date to which the decision is held. 2222, 3.9. 5858, 17.2. (Rule 3.9) Railroad Across Public Road. If the communication is by telephone, that party shall provide the decisionmaker with the certificate of service before the start of the call. Determinations. A quorum of the Commission shall be present for such final oral argument. (Rule 9.5) Circumstances Not Constituting Cause. Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. The Commission is not obligated to withhold a decision on an appeal to allow time for responses. (b) The time for filing a reply, response, protest, or answer to an amended document is calculated from the date the amendment is filed. (Rule 8.3) Reporting Ex Parte Communications. 4040, 11.2. 2929, 7.2. The identity of the decisionmaker, the identity of the person initiating the communication, and the identities of any other persons present. (a) A person may become a party to a proceeding by: (1) filing an application, petition, or complaint; (2) filing (i) a protest or response to an application or petition, or (ii) comments in response to a rulemaking; (3) making an oral motion to become a party at a prehearing conference or hearing; or. Service by e-mail is complete when the e-mail message is transmitted, subject to Rule 1.10(e). (See Rule 18.1.) ARTICLE 13. WebDecisions & Resolutions re: CPUC Practice Documents creating other requirements as they relate to practice and procedure at CPUC that are not part of the Rules of Practice and The Administrative Law Judge may direct or any party may consent to service by other means not listed in this rule (e.g., facsimile transmission). 5757, 16.6. 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. 4545, 13.3. At the meeting, that party shall produce a certificate of service of this notification on all other parties. (b) Definitions. 3.6. 13.12. The Commission shall render its decision based on the evidence of record. (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. (a) All documents tendered for filing must have a blank space of at least 1 1/2 inches tall by 21/2inches wide in the upper right-hand corner for a docket stamp and must show on the first page: (1) at the top, the heading "BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA"; (2) in the upper left below the heading, the caption for the proceeding; (3) to the right of the caption, the docket number (if one has been assigned); (4) below the caption and docket number, the title of the document and the name of or shortened designation for the person tendering the document. 5757, 16.5. "Ratesetting" proceedings include complaints that challenge the reasonableness of rates or charges, past, present, or future. 2222, 3.10. (Rule 16.3) Oral Arguments on Application for Rehearing. (Rule 8.5) Communications with Advisors. (4) In a proceeding initiated after January 1, 1998, by order instituting rulemaking, the requirements of subsection (b), (c), or (d) shall apply, depending on the order's preliminary determination of category. Other proceedings may be categorized as ratesetting, as described in Rule 7.1(e)(2). 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. (Rule 1.13) Tendering of Document for Filing. 14.4. 77, 1.14. Note: (Rule 9.4) Motion for Reassignment for Cause. (e) In quasi-legislative proceedings, the assigned Commissioner shall be present for formal hearings. (See Rule 18.1, Form No. (Rule 11.4) Motion for Leave to File Under Seal. 15.4. 11.5. Spanish version. 15.5. The official service list shall include the following categories: (1) Parties, as determined pursuant to Rule 1.4, (2) State Service, for service of all documents (available to California State employees only), and. 2.5. A copy of any written material or text used during the communication. 3.2. The ruling shall also designate the principal hearing officer or the presiding officer, as appropriate. (a) Pursuant to this rule, any person may petition the Commission under Public Utilities Code Section 1708.5 to adopt, amend, or repeal a regulation. (Rule 17.2) Eligibility in Phased Proceedings. A public forum established in the proceeding is generally a hearing, workshop or other public event that has been noticed to the official service list in a formal proceeding or on the record of the proceeding. 4.3. (e) In addition to any other requirements of this rule, the serving person must provide a paper copy of all documents served by e-mail service to the assigned Administrative Law Judge (or, if none is yet assigned, to the Chief Administrative Law Judge), unless the Administrative Law Judge orders otherwise. The Commission may elect to apply rulemaking to the following types of formal proceedings: (a) Proceedings to establish rules, regulations, and guidelines for a class of public utilities or of other regulated entities. At or after the prehearing conference, the assigned Commissioner shall rule on the category, need for hearing, and scoping memo. Reference: Section1701.1(b), Public Utilities Code. (Rule 9.2) Motion for Reassignment on Peremptory Challenge. Reference: Section 12, Code of Civil Procedure. 12.6. In special cases and for good cause shown, the Commission may permit deviations from the rules. These rules shall be liberally construed to secure just, speedy, and inexpensive determination of the issues presented. (Rule 12.1) Proposal of Settlements. 2323, 3.11. (b) The verification must be signed (see Rule 1.8(e)), and state that the contents of the document are true of the verifying person's own knowledge, except as to matters that are stated on information or belief, and as to those matters that he or she believes them to be true. (l) "Principal hearing officer" means the assigned Commissioner in a ratesetting proceeding, or the assigned Administrative Law Judge in a ratesetting proceeding if, prior to the first hearing in the proceeding, he or she has been designated by the assigned Commissioner as the principal hearing officer for that proceeding. 5050, 14.3. Rulemaking proceedings shall be designated as Orders Instituting Rulemaking (OIR). 1.4. 22, 1.10. 9.5. If you are uncertain whether an issue is procedural for purposes of the ex parte rules, contact the assigned Administrative Law Judge for guidance. Note: Authority cited: Section 1701, Public Utilities Code. (e) The requirements of subsections (b) and (c) of this rule, and any reporting requirements under Rule 7.1, shall cease to apply, and ex parte communications shall be permitted, in any proceeding in which (1) no timely answer, response, protest, or request for hearing is filed after the pleading initiating the proceeding, (2) all such responsive pleadings are withdrawn, or (3) there has been a final determination that a hearing is not needed in the proceeding. Electronically filed documents so endorsed carry the same force and effect as a manually affixed endorsement stamp. (a) Rulemaking may be instituted either by the Commission proposing rules, regulations, guidelines, or rates or by the Commission instituting a proceeding for the express purpose of receiving proposals. RULES OF PRACTICE AND PROCEDURE ARTICLE 1. 22, 1.6. (Rule 12.4) Rejection of Settlement. If a transmittal letter is submitted (see Rule 1.13(a)), it must not be bound to the tendered document. (d) Any Commissioner may request review of the decision of the presiding officer in an adjudicatory proceeding by filing and serving a request for review within 30 days of the date the decision is served on the parties in a proceeding. If the time for filing a reply, response, protest, or answer to the original document has passed, the Administrative Law Judge may limit or prohibit any further reply, response, protest, or answer to the amended document. The Order Instituting Rulemaking shall be served by the Executive Director on all respondents and known interested parties. The assigned Commissioner has discretion to rule on any or all of these matters on the record at the prehearing conference. 3636, 9.5. 3232, 8.3. (2) Electronic: The Docket Office will electronically transmit to the person tendering the document a Notice of Rejection setting forth the ground for rejecting the document. (c) If a tendered document does not comply with applicable requirements, the Docket Office may reject the document for filing. The first day of the prohibition on communications will be the day of the Ratesetting Deliberative Meeting at which the proposed decision is scheduled to be discussed and will continue through the conclusion of the Business Meeting at which a vote on the proposed decision is scheduled. The Commission may seek appropriate disciplinary action against an attorney for a willful violation of subsections (b) or (d) of this rule. 3030, ARTICLE 8. Where the rules and procedures of this Article apply to a proceeding by virtue of Rule4(b)(2), the ruling or order that determines a hearing should be held shall also preliminarily determine the category for the proceeding, and shall set a prehearing conference. 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. 3.10. (Rule 16.2) Parties Eligible to File Applications for Rehearing. 1212, 2.6. Such document must be maintained at that URL until the date of the final decision in the proceeding. 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. 1919, 3.6. RULES OF PRACTICE AND PROCEDURE 11, 1.4. The decision of the presiding officer shall constitute the proposed decision where one is required by law, and shall become the decision of the Commission if no appeal or request for review is filed within 30 days after the date the decision is served on the parties in the proceeding. (Rule 1.10) Electronic Mail Service. Communications limited to inquiries regarding the schedule, location, or format for hearings, filing dates, identity of parties, and other such nonsubstantive information are procedural inquiries not subject to any restriction or reporting requirement in this Article. (Rule 17.4) Request for Compensation; Reply to Responses. Communications regarding particular ALJ or Commissioner assignments are prohibited. 22-Z on May 29, 2020. (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. (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. 1111, 2.3. (2) Electronic: Upon the filing of any document tendered electronically, the document will be stamped with the electronic filing stamp and, it the case of an initiating document, a docket number and the Docket Office shall electronically transmit to the person tendering the document a Confirmation of Acceptance and a link to the filed stamped copy of the document on the Commission's website. 1212, 2.7. 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. PUBLIC UTILITIES AND ENERGY DIVISION 1. (Rule 1.12) Amendments and Corrections. (b) Proceedings to consider the adoption, repeal, or amendment of General Orders. References: Sections 311.5 and 1704, Public Utilities Code. (a) Form and Size of Tendered Documents - Rule 2, (b) Caption, Title, and Docket Number - Rule 2.1. At or after the prehearing conference if one is held, the assigned Commissioner shall rule on the scoping memo. (3) A Notice of Acknowledgment of Receipt of the document is immediately available to the person tendering the document confirming the date and time of receipt of the document by the Docket Office for review. 1313, 3.2. A special service list may be established, for example, for one phase of a multi-phase proceeding or for documents related to issues that are of interest only to certain persons. (a) An amendment is a document that makes a substantive change to a previously filed document. (ii) A single transmission may not exceed 20.0 megabytes in size. (b) "Adjudicatory" proceedings are: (1) enforcement investigations into possible violations of any provision of statutory law or order or rule of the Commission; and (2) complaints against regulated entities, including those complaints that challenge the accuracy of a bill, but excluding those complaints that challenge the reasonableness of rates or charges, past, present, or future. (Rule 16.6) Extension of Time to Comply. (a) If there is no timely appeal under Rule 6.4, but the assigned Commissioner, pursuant to Rules 6(a)(3), 6(c)(2), or 6(d), changes the preliminary determination on category, the assigned Commissioner's ruling shall be placed on the Commission's Agenda for approval of that change. The Daily Calendar shall indicate the time and place of the next three regularly scheduled Commission meetings. "Failure of e-mail service" occurs when the serving person receives notification, in any manner, of non-receipt of an e-mail message, or of the receiving person's inability to open or download an attached document, or of any other inability of the receiving person to access the document to be served. (Rule 10.1) Discovery from Parties. (g) Specific types of documents may be subject to additional requirements stated in other articles of these rules. Reforms to the California Public Utilities Commissions (CPUCs) Rules of Practice and Procedure (Rules) aim to achieve greater transparency, accessibility, and efficiency in CPUC proceedings. Written communications must be concurrently served on all parties, and do not need to be reported. (e) Except as otherwise required in these rules or applicable statute, either the original signature page or a copy of the original signature page is acceptable for tendering for filing. If the last day falls on a Saturday, Sunday, holiday or other day when the Commission officers are closed, the time limit is extended to include the first day thereafter. (Rule 2.7) Copy of Document on Request. 15.6. As described in Rule 6.1(a), the Commission shall issue a resolution that preliminarily categorizes and preliminarily determines the need for hearing in the proceeding. (a) Hard copy: (1) Documents must be tendered for filing at the Commission's Docket Office at the State Building, 505 Van Ness Avenue, San Francisco, California 94102, or at the Commission's Offices in the State Building, 320 West 4th Street, Suite 500, Los Angeles. (Rule 9.3) Motion for Reassignment for Prior Service. 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. (k) "Presiding officer" means, for purposes of this Article, one of the following, as appropriate: (1) In an adjudicatory proceeding, either the assigned Commissioner or the assigned Administrative Law Judge, depending on which of them is designated, in the scoping memo, to preside in the proceeding; (2) In a ratesetting proceeding, the principal hearing officer designated as such by the assigned Commissioner prior to the first hearing in the proceeding, except that, where the assigned Commissioner is acting as principal hearing officer, the assigned Administrative Law Judge shall act as presiding officer in the assigned Commissioner's absence; or. (c) "Person" means a natural person or organization. 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. (Rule 3.11) Light-Rail Transit System Crossings. (b) A person seeking party status by motion pursuant to subsection (a)(3) or (a)(4) of this rule shall: (1) fully disclose the persons or entities in whose behalf the filing, appearance or motion is made, and the interest of such persons or entities in the proceeding; and. REHEARING, MODIFICATION AND TIME TO COMPLY 5555, 16.1. 16.4. Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. [Effective April 1, 2006] All Rules of Practice and Procedure were re-enacted in Proceeding No. (d) If a document is tendered for filing on behalf of more than one person, only one person (or oneperson's attorney or representative) need sign the document unless otherwise required by these rules. (Rule 9.6) Administrative Law Judge's Request for Reassignment. sample 1sample 2sample 3 sample 4, Address: A person may change its mailing address or e-mail address for service or its designation of a person for service by sending a written notice to the Process Office and serving a copy of the notice on each person on the official service list. (Rule 3.6) Transfers and Acquisitions. 4.) In an adjudicatory proceeding, the scoping memo shall also designate the presiding officer. 12.5. 5454, 15.4. WebCpuc Rules Of Practice And Procedure. Note: Authority Cited: Sections 1701 and 1708.5, Public Utilities Code. (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. After determination of the category, the requirements of subsection (b), (c), or (d) of this rule shall apply, as appropriate.

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