Rules of Practice and Procedure - California

1 State of California California Public Utilities Commission Rules of Practice and Procedure California Code of Regulations Title 20, Division 1, Chapter 1. TABLE OF CONTENTS. (Continued). Title Page TABLE OF CONTENTS. Title Page TABLE OF CONTENTS .. ii ARTICLE 1. GENERAL PROVISIONS .. 1. (Rule ) Ethics.. 1. (Rule ) Construction.. 1. (Rule ) Definitions.. 1. (Rule ) Participation in Proceedings.. 2. (Rule ) Form and Size of Tendered Documents.. 3. (Rule ) Title Page Requirements.. 3. (Rule ) Scope of Filing.. 4. (Rule ) 5. (Rule ) Service Generally.. 6. (Rule ) Electronic Mail Service.. 9. (Rule ) 10. (Rule ) Amendments and Corrections.. 11. (Rule ) Tendering of Document for Filing.. 11. (Rule ) Review and Filing of Tendered Documents .. 13. (Rule ) Computation of Time.. 15.

2 (Rule ) Filing Fees.. 15. (Rule ) Daily Calendar.. 15. ARTICLE 2. APPLICATIONS GENERALLY .. 16. (Rule ) Contents.. 16. (Rule ) Organization and Qualification to Transact Business.. 16. (Rule ) Financial Statement.. 17. (Rule ) CEQA Compliance.. 18. (Rule ) Fees for Recovery of Costs in Preparing EIR.. 18. (Rule ) Protests, Responses, and Replies.. 19. (Rule ) Copy of Document on Request.. 20. ARTICLE 3. PARTICULAR APPLICATIONS .. 20. (Rule ) Construction or Extension of Facilities.. 20. (Rule ) Authority to Increase Rates.. 25. (Rule ) Certificate to Operate.. 28. (Rule ) Abandon Passenger Stage Service.. 30. (Rule ) Debt and Equity.. 31. (Rule ) Transfers and Acquisitions.. 33. (Rule ) Public Road Across 34. -i- 7/1/2016. TABLE OF CONTENTS. (Continued). Title Page (Rule ) Alter or Relocate Existing Railroad Crossing.

3 35. (Rule ) Railroad Across Public 36. (Rule ) Railroad Across Railroad.. 36. (Rule ) Light-Rail Transit System Crossings.. 37. (Rule ) Exemption from Underground Rules .. 38. ARTICLE 4. COMPLAINTS .. 40. (Rule ) Who May Complain.. 40. (Rule ) Form and Contents of 40. (Rule ) Service of Complaints and Instructions to Answer.. 41. (Rule ) Answers.. 41. (Rule ) Expedited Complaint Procedure .. 42. ARTICLE 5. INVESTIGATIONS .. 43. (Rule ) Investigations.. 43. (Rule ) Responses to Investigations.. 43. ARTICLE 6. RULEMAKING .. 44. (Rule ) Rulemaking.. 44. (Rule ) Comments.. 44. (Rule ) Petition for Rulemaking.. 44. ARTICLE 7. CATEGORIZING AND SCOPING 46. (Rule ) Categorization, Need for Hearing.. 46. (Rule ) Prehearing Conference.. 47. (Rule ) Scoping Memos.. 47. (Rule ) Consolidation.

4 48. (Rule ) Changes to Preliminary Determinations.. 48. (Rule ) Appeals of Categorization.. 48. ARTICLE 8. COMMUNICATIONS WITH DECISIONMAKERS AND ADVISORS.. 49. (Rule ) Definitions.. 49. (Rule ) Communications with Advisors.. 50. (Rule ) Ex Parte Requirements.. 50. (Rule ) Reporting Ex Parte Communications.. 53. (Rule ) Ex Parte Requirements Prior to Final Categorization.. 53. (Rule ) Requirements in Proceedings Filed Before January 1, 1998.. 54. ARTICLE 9. ADMINISTRATIVE LAW JUDGES .. 55. (Rule ) Authority.. 55. (Rule ) Motion for Reassignment on Peremptory Challenge.. 55. (Rule ) Motion for Reassignment for Prior Service.. 56. (Rule ) Motion for Reassignment for Cause.. 57. (Rule ) Circumstances Not Constituting Cause.. 58. -i- 7/1/2016. TABLE OF CONTENTS. (Continued).

5 Title Page (Rule ) Administrative Law Judge's Request for Reassignment.. 59. (Rule ) Waiver.. 59. (Rule ) Prior Rulings.. 59. ARTICLE 10. DISCOVERY .. 59. (Rule ) Discovery from Parties.. 59. (Rule ) Subpoenas.. 60. (Rule ) Computer Model Documentation.. 61. (Rule ) Computer Model and Data Base Access.. 62. ARTICLE 11. LAW AND 63. (Rule ) Motions.. 63. (Rule ) Motion to Dismiss.. 64. (Rule ) Motion to Compel or Limit Discovery.. 64. (Rule ) Motion for Leave to File Under Seal.. 64. (Rule ) Motion to Seal the Evidentiary Record.. 65. (Rule ) Motion for Extension of Time.. 65. (Rule ) Referral to Law and Motion Judge.. 66. ARTICLE 12. SETTLEMENTS .. 66. (Rule ) Proposal of Settlements.. 66. (Rule ) Comments.. 67. (Rule ) Hearing Where Contested.. 68. (Rule ) Rejection of Settlement.

6 68. (Rule ) Adoption Binding, Not Precedential.. 68. (Rule ) Confidentiality and Inadmissibility.. 69. (Rule ) Applicability.. 69. ARTICLE 13. HEARINGS, EVIDENCE, BRIEFS AND SUBMISSION .. 69. (Rule ) Notice.. 69. (Rule ) Presiding Officer.. 70. (Rule ) Assigned Commissioner Presence.. 70. (Rule ) Order of Procedure .. 71. (Rule ) Limiting Number of Witnesses.. 71. (Rule ) Evidence.. 72. (Rule ) Exhibits.. 72. (Rule ) Prepared Testimony.. 73. (Rule ) Official Notice of Facts.. 74. (Rule ) Additional Evidence.. 74. (Rule ) Closing 74. (Rule ) Oral Argument in Adjudicatory Proceeding.. 74. (Rule ) Oral Argument Before Commission.. 75. (Rule ) Submission and Reopening of Record.. 75. -i- 7/1/2016. TABLE OF CONTENTS. (Continued). Title Page ARTICLE 14. RECOMMENDED DECISIONS.

7 76. (Rule ) Definitions.. 76. (Rule ) Issuance of Recommended Decision.. 77. (Rule ) Comments on Proposed or Alternate Decision.. 78. (Rule ) Appeal and Review of Presiding Officer's 78. (Rule ) Comment on Draft or Alternate Draft Resolution.. 79. (Rule ) Reduction or Waiver of 79. (Rule ) Exemptions.. 81. ARTICLE 15. COMMISSION DECISIONS .. 82. (Rule ) Commission Meetings.. 82. (Rule ) Meeting Agenda.. 83. (Rule ) Agenda Item Documents.. 84. (Rule ) Decision in Ratesetting or Quasi-Legislative Proceeding.. 84. (Rule ) Decision in Adjudicatory Proceeding.. 84. (Rule ) Service of Decisions and Orders.. 85. ARTICLE 16. REHEARING, MODIFICATION AND TIME TO COMPLY .. 85. (Rule ) Application for Rehearing.. 85. (Rule ) Parties Eligible to File Applications for Rehearing and Responses.

8 86. (Rule ) Oral Arguments on Application for Rehearing.. 86. (Rule ) Petition for Modification.. 88. (Rule ) Correction of Obvious Errors.. 89. (Rule ) Extension of Time to Comply.. 89. ARTICLE 17. COMPENSATING INTERVENORS .. 90. (Rule ) Notice of Intent to Claim Compensation.. 90. (Rule ) Eligibility in Phased Proceedings.. 91. (Rule ) Request for 91. (Rule ) Request for Compensation; Reply to Responses.. 92. ARTICLE 18. 93. (Rule ) Forms.. 93. -i- 7/1/2016. TITLE 20. PUBLIC UTILITIES AND ENERGY. DIVISION 1. PUBLIC UTILITIES COMMISSION. CHAPTER 1. Rules OF Practice AND Procedure . ARTICLE 1. GENERAL PROVISIONS. (Rule ) Ethics. Any person who signs a pleading or brief, enters an appearance, offers testimony at a hearing, or transacts business with the Commission, by such act represents that he or she is authorized to do so and agrees to comply with the laws of this State; to maintain the respect due to the Commission, members of the Commission and its Administrative Law Judges; and never to mislead the Commission or its staff by an artifice or false statement of fact or law.

9 Note: Authority cited: Section 1701, Public Utilities Code. Reference: Section 1701, Public Utilities Code. (Rule ) Construction. These Rules shall be liberally construed to secure just, speedy, and inexpensive determination of the issues presented. In special cases and for good cause shown, and within the extent permitted by statute, the Commission may permit deviations from the Rules . Note: Authority cited: Section 1701, Public Utilities Code. Reference: Section 1701, Public Utilities Code. (Rule ) Definitions. (a) "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.

10 (b) "Category," "categorization," or "categorized" refers to the Procedure whereby a proceeding is determined to be an "adjudicatory," "ratesetting,". or "quasi-legislative" proceeding. -1- 7/1/2016. (c) "Person" means a natural person or organization. (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. (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).