RULES OF PRACTICE AND PROCEDURE
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Code of Colorado Regulations › 700 Department of Regulatory Agencies › 723 Public Utilities Commission › 4 CCR 723-1
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DEPARTMENT OF REGULATORY AGENCIES
Public Utilities Commission
RULES OF PRACTICE AND PROCEDURE
4 CCR 723-1
[Editor’s Notes follow the text of the rules at the end of this CCR Document.]
_________________________________________________________________________
BASIS, PURPOSE, AND STATUTORY AUTHORITY.
The basis and purpose of these rules is to advise the public, regulated entities, attorneys, and any other
person of the Commission's rules of practice and procedure. These rules of practice and procedure are
promulgated in order to properly administer and enforce the provisions of Title 40 of the Colorado
Revised Statutes and in order to regulate proceedings before the Commission.
The statutory authority for these rules is found in §§ 40-2-108, 40-6-101(1), 40-6-108(2), 40-6-109(5), 40
6-109.5, 40-6-114(1), and 40-6-122(4), C.R.S.
GENERAL PROVISIONS
1000.
Citation.
The Commission's rules, when referred to generically, may be cited as the “Public Utilities Commission
Rules.” This Part 1, rules 1000 – 1999, may be cited as the “Rules of Practice and Procedure.”
1001.
Scope and Applicability.
The Rules of Practice and Procedure and Title 40 of the Colorado Revised Statutes shall apply to all
Commission proceedings, to all regulated entities, to any person transacting business with the
Commission, practicing as an attorney before the Commission, or participating in Commission
proceedings as a party or otherwise and to any person over whom the Commission has jurisdiction,
unless a specific statute or rule provides otherwise. Where not otherwise inconsistent with Title 40 or
these rules, the Commission, a hearing Commissioner, or an Administrative Law Judge may seek
guidance from or may employ the Colorado Rules of Civil Procedure.
1002.
Construction.
All rules and decisions of the Commission shall be construed in accordance with the principles set forth in
§§ 2-4-101 through 114, C.R.S., inclusive.
1003.
Waivers and Variances.
otherwise inconsistent with Title 40 or
these rules, the Commission, a hearing Commissioner, or an Administrative Law Judge may seek
guidance from or may employ the Colorado Rules of Civil Procedure.
1002.
Construction.
All rules and decisions of the Commission shall be construed in accordance with the principles set forth in
§§ 2-4-101 through 114, C.R.S., inclusive.
1003.
Waivers and Variances.
(a)
The Commission has promulgated these rules to ensure orderly and fair treatment of all persons.
The Commission may, for good cause shown, grant waivers or variances from tariffs,
Commission rules, and substantive requirements contained in Commission decisions. In making
its determination the Commission may take into account, but is not limited to, considerations of
hardship, equity, or more effective implementation of overall policy on an individual basis. The
Commission may subject any waiver or variance granted to such terms and conditions as it may
deem appropriate.
Code of Colorado Regulations
Secretary of State
State of Colorado
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(b)
Waiver or variance requests made in an existing proceeding shall be by motion. Waiver or
variance requests made outside an active proceeding shall be by petition. If a petition requests a
waiver or variance to be effective less than 40 days after the date of filing, the petition must
include a request to waive or shorten the Commission notice and intervention period found in
paragraph (d) of rule 1206. If such request is not included, the Commission notice and
intervention period found in paragraph (d) of rule 1206 apply.
ve proceeding shall be by petition. If a petition requests a
waiver or variance to be effective less than 40 days after the date of filing, the petition must
include a request to waive or shorten the Commission notice and intervention period found in
paragraph (d) of rule 1206. If such request is not included, the Commission notice and
intervention period found in paragraph (d) of rule 1206 apply.
(c)
All waiver or variance requests shall include:
(I)
citation to the specific paragraph of the rule or decision from which the waiver or variance
is sought;
(II)
a statement of the waiver or variance requested;
(III)
a statement of facts and circumstances relied upon to demonstrate why the Commission
should grant the request.
(IV)
a statement regarding the duration of the requested waiver or variance, explaining the
specific date or event that will terminate it;
(V)
a statement whether the waiver or variance, if granted, would be full or partial; and
(VI)
any other information required by rule.
1004.
Definitions.
The following definitions apply to all Commission rules, except where a specific rule or statute provides
otherwise:
(a)
“Accelerated telecommunications interconnection complaint” means a formal complaint that is
filed to resolve a dispute arising out of a telecommunications interconnection agreement, and that
meets the requirements of paragraph (d) of rule 1302.
(b)
“Administrative proceeding” means a non-adjudicatory proceeding regarding any matter the
Commission wishes to investigate, any matter concerning the administration of programs or
functions committed to the Commission, any matter concerning general Commission policy, any
miscellaneous matter, advice letter proceedings prior to suspension of the effective date by
Commission decision, any petition requesting a rulemaking proceeding, or any proceeding
designated by the Commission as an administrative proceeding.
estigate, any matter concerning the administration of programs or
functions committed to the Commission, any matter concerning general Commission policy, any
miscellaneous matter, advice letter proceedings prior to suspension of the effective date by
Commission decision, any petition requesting a rulemaking proceeding, or any proceeding
designated by the Commission as an administrative proceeding.
(c)
“Adjudicatory proceeding” means the following types of proceedings: applications, petitions, other
than petitions for rulemaking, formal complaints, show cause proceedings, advice letter
proceedings after suspension of the effective date by the Commission, or any other proceeding
designated by the Commission as an adjudicatory proceeding.
(d)
“Advice letter” means the introductory letter to a formal proposal by a utility to establish new tariffs
or to revise existing tariffs, through which the utility submits proposed new or revised tariff pages
to the Commission for inclusion in its effective tariff and provides the information required by
paragraph 1210(c).
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(e)
“Advisory staff” means Commission staff designated as advisory staff in a particular adjudicatory
proceeding by operation of rule 1007; Commission staff in an administrative proceeding, or
Commission staff in an adjudicatory proceeding in which Commission staff does not intervene; or
any assistant attorney general advising the Commissioners, Administrative Law Judges, or
advisory staff. Advisory staff directly supports the Commissioners and the Administrative Law
Judges. Advisors provide technical analysis and policy advice; manage cases; and assist the
Commissioners and Administrative Law Judges in reaching their decision in formal proceedings.
on staff does not intervene; or
any assistant attorney general advising the Commissioners, Administrative Law Judges, or
advisory staff. Advisory staff directly supports the Commissioners and the Administrative Law
Judges. Advisors provide technical analysis and policy advice; manage cases; and assist the
Commissioners and Administrative Law Judges in reaching their decision in formal proceedings.
(f)
“Affiliate” of a regulated entity means a subsidiary of a regulated entity, a parent corporation of a
regulated entity, a joint venture organized as a separate corporation or a partnership to the extent
of the regulated entity's involvement with the joint venture, or a fellow subsidiary of a parent
corporation of a regulated entity.
(g)
“Business day” means Monday through Friday from 8:00 a.m. to 5:00 p.m. Mountain Time,
excluding legal holidays and any other day when the Commission’s office is lawfully closed.
(h)
“Colorado Rules of Civil Procedure” means the Colorado Rules of Civil Procedure, as published
in the 2012 edition of the Colorado Revised Statutes.1 No later amendments to or editions of the
incorporated material are incorporated into these rules. Any person seeking information regarding
how the incorporated material may be obtained or examined may contact the Chief Administrative
Law Judge, Colorado Public Utilities Commission, 1560 Broadway, Suite 250, Denver, Colorado
80202. The material incorporated by reference may be examined at any state publications
depository library.
(i)
“Commission” means the Public Utilities Commission of the state of Colorado, two or more
commissioners acting on behalf of the Public Utilities Commission, a hearing Commissioner, or
an Administrative Law Judge, as the context requires.
(j)
“Colorado Open Records Act” means the Colorado Open Records Act, §§ 24-72-201, et seq.,
C.R.S.
(k)
“Commission staff” means individuals employed by the Commission, including individuals
appointed or hired by the Director pursuant to § 40-2-104, C.R.S.
missioners acting on behalf of the Public Utilities Commission, a hearing Commissioner, or
an Administrative Law Judge, as the context requires.
(j)
“Colorado Open Records Act” means the Colorado Open Records Act, §§ 24-72-201, et seq.,
C.R.S.
(k)
“Commission staff” means individuals employed by the Commission, including individuals
appointed or hired by the Director pursuant to § 40-2-104, C.R.S.
(l)
"Contracted agent" means any person or entity that has contracted with a regulated entity to
assist in the provision of the regulated entity’s services (e.g., an affiliate or vendor).
(m)
"Customer" means any person who has applied for, been accepted for, or is receiving regulated
service in Colorado from a regulated entity subject to Commission jurisdiction.
(n)
"Day" means a calendar day.
(o)
"Director" means the Director of the Commission appointed pursuant to § 40-2-103, C.R.S.
(p)
“E-Filings System” means the Internet-based process available through the Commission’s
website that is authorized by the Commission for, among other uses, the electronic submission of
filings, pleadings, and other papers and service of process in Commission proceedings.
(q)
"List of witnesses" means a list of the names, titles, addresses, and telephone numbers of the
persons a party intends to call as a witness in a hearing.
(r)
"Motor carrier" means a motor carrier as defined in § 40-10.1-101(10), C.R.S.
1 All or a portion of the incorporated Colorado Rules of Civil Procedure may be available through the Commission’s website.
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(s)
"Newspaper of general circulation" means a newspaper having a paid Colorado circulation of at
least 100,000, or a newspaper having a paid circulation of at least 1,000 in the area where the
members of the public affected by the matter of which notice is given are located.
(t)
"Office of Utility Consumer Advocate” or “UCA" means the Colorado Office of Utility Consumer
Advocate, pursuant to § 40-6.5-102(1), C.R.S.
eneral circulation" means a newspaper having a paid Colorado circulation of at
least 100,000, or a newspaper having a paid circulation of at least 1,000 in the area where the
members of the public affected by the matter of which notice is given are located.
(t)
"Office of Utility Consumer Advocate” or “UCA" means the Colorado Office of Utility Consumer
Advocate, pursuant to § 40-6.5-102(1), C.R.S.
(u)
"Party" means "party" as that term is defined in rule 1200.
(v)
"Person" means Commission staff or any individual, firm, partnership, corporation, company,
association, cooperative association, joint stock association, joint venture, governmental entity, or
other legal entity.
(w)
"Personal information" means the following:
(I)
social security or tax identification number;
(II)
driver's license number or identification card number;
(III)
credit card, debit card, other account number used for payment;
(IV)
any required security code, access code, or password that would permit access to the
customer's account;
(V)
customer's name only in combination with any one or more other enumerated data
elements that relate to such customer; and
(VI)
other individually identifiable information in the regulated entity's possession or control
when not publicly or lawfully available to the general public from federal, state or local
government records, the North American Industry Classification System (NAICS)
information used for the purpose of telephone directory publishing or widely distributed
media.
(x)
"Pleading" means applications, petitions, complaints, answers, notices, interventions, motions,
statements of position, briefs, exceptions, applications for rehearing, reargument, or
reconsideration, responses, and proposed decisions requested by the Commission to be filed by
a party in a proceeding.
(y)
"Presiding officer" means an Administrative Law Judge, the chairman of the Commission, or a
hearing Commissioner conducting a Commission hearing, as applicable.
ices, interventions, motions,
statements of position, briefs, exceptions, applications for rehearing, reargument, or
reconsideration, responses, and proposed decisions requested by the Commission to be filed by
a party in a proceeding.
(y)
"Presiding officer" means an Administrative Law Judge, the chairman of the Commission, or a
hearing Commissioner conducting a Commission hearing, as applicable.
(z)
"Price list" means a publication showing rates or classifications collected or enforced, or to be
collected or enforced. A price list typically does not contain information duplicated in a tariff.
(aa)
"Rate" includes any fare, toll, rental, or charge. Rate also includes any rule, regulation,
classification, or practice relating to a fare, toll, rental, or charge.
(bb)
"Refund" means any money, other than a deposit, collected by a utility in its rates and charges
that is required to be returned to customers.
(cc)
"Regulated entity" means any entity subject to Commission regulation pursuant to Title 40, C.R.S.
(dd)
"Regulated intrastate carrier" means a common carrier as defined in § 40-10.1-101(4), C.R.S. or
a contract carrier as defined in § 40-10.1-101(6), C.R.S., except as may be exempted from
regulation under § 40-10.1-105, C.R.S.
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(ee)
"RRR" means an application for rehearing, reargument, or reconsideration, as that phrase is used
in § 40-6-114, C.R.S.
(ff)
"Rulemaking proceeding" means a proceeding initiated by a Notice of Proposed Rulemaking or
any other proceeding designated by the Commission as a rulemaking proceeding. All rulemaking
proceedings are conducted in compliance with § 24-4-101 et seq., C.R.S; but where there is a
specific statutory provision in title 40 C.R.S. applying to the commission, such specific statutory
provision shall control as to the Commission.
(gg)
"Signed" means an original signature or an electronic signature created through the process of
submitting a filing through the Commission's E-Filings System
proceedings are conducted in compliance with § 24-4-101 et seq., C.R.S; but where there is a
specific statutory provision in title 40 C.R.S. applying to the commission, such specific statutory
provision shall control as to the Commission.
(gg)
"Signed" means an original signature or an electronic signature created through the process of
submitting a filing through the Commission's E-Filings System.
(hh)
"Tariff" means a schedule that is filed with the Commission pursuant to § 40-3-103, C.R.S.
showing all rates and classifications collected or enforced, or to be collected or enforced, and/or
rules, regulations, terms, and conditions, that in any manner affect or relate to rates,
classifications, or service.
(ii)
"Third party" means a person who is not the customer, a regulated entity, or a contracted agent.
(jj)
"Time schedule" means a document that is submitted to the Commission by a common carrier, as
defined in § 40-10.1-101(4), C.R.S., showing the carrier's pick-up and drop-off times and
locations, including flagstops.
(kk)
"Trial staff" means Commission staff designated as trial staff in a proceeding pursuant to rule
1007. Trial staff provides expert testimony, participates in settlement conferences and
agreements, and otherwise participates as full parties in proceedings in which they have
intervened or otherwise filed notice of participation.
(ll)
"Utility" means a public utility as defined in § 40-1-103, C.R.S.
1005.
Meetings.
(a)
The Commission may designate a day and time for its regular weekly meetings and may hold
other meetings from time to time. The Commission shall comply with the requirements of the
Colorado Open Meetings Law, §§ 24-6-401 and 402, C.R.S.
(b)
The Commission shall prepare an agenda for each upcoming meeting. The agenda shall be
posted in the E-Filings System and shall be available in paper copy at its offices at a reasonable
time prior to the meeting.
regular weekly meetings and may hold
other meetings from time to time. The Commission shall comply with the requirements of the
Colorado Open Meetings Law, §§ 24-6-401 and 402, C.R.S.
(b)
The Commission shall prepare an agenda for each upcoming meeting. The agenda shall be
posted in the E-Filings System and shall be available in paper copy at its offices at a reasonable
time prior to the meeting.
(c)
The Commission's regular weekly meetings are for the purpose of Commissioners' discussions
and decisions on particular matters as noticed on the agenda. The Commissioners will allow for
public comment at each regular weekly meeting. However, party, stakeholder or other public
comments concerning a particular matter on the agenda or any matter pending before the
Commission are not permitted at regular weekly meetings.
(d)
The Commission has discretion regarding the order of business at each meeting and may
consider emergency matters not shown on the agenda when appropriate. Any matter tabled or
not considered shall be continued for a future meeting.
(e)
Absent any technical difficulties, all regular weekly meetings will be broadcast via webcasting and
audio recordings will be archived on the Commission’s website.
(f)
Upon affirmative vote of two commissioners, the Commission may hold an executive session as
provided in § 24-6-402, C.R.S.
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1006.
Director.
The Director shall be the appointing authority for the Commission staff; shall be responsible for all
Commission staff functions, including providing and receiving all notices and service required of or by the
Commission; and shall serve as custodian of the Commission’s records.
1007.
Commission Staff.
(a)
When Commission staff intervenes in any adjudicatory proceeding the entry of appearance by
Commission staff’s counsel shall specify those Commission staff members assigned by the
Director or the Director’s designee to serve as trial staff and as advisory staff.
otices and service required of or by the
Commission; and shall serve as custodian of the Commission’s records.
1007.
Commission Staff.
(a)
When Commission staff intervenes in any adjudicatory proceeding the entry of appearance by
Commission staff’s counsel shall specify those Commission staff members assigned by the
Director or the Director’s designee to serve as trial staff and as advisory staff.
(b)
Trial staff, for purposes of the particular proceeding, shall be considered a party for purposes of
the standards of conduct. Once a member of Commission staff has been designated as trial staff
in a proceeding, that staff member shall not function in any advisory capacity with respect to that
proceeding.
(c)
Advisory staff is available to provide advice, consultation, summaries and recommendations to
the Commission regarding policy and technical issues, and shall be considered the Commission
for purposes of the standards of conduct. Certain communications between advisory staff and
Commissioners or Administrative Law Judges are covered by the deliberative process doctrine
and privilege.
(d)
The Commission staff may provide informal assistance to the general public and to prospective
applicants for Commission authorizations. Opinions expressed by Commission staff do not
represent the official views of the Commission, but are designed to aid the public and to facilitate
the accomplishment of the Commission's functions. Nothing communicated by the Commission
staff constitutes legal advice.
1008. – 1099.
[Reserved].
STANDARDS OF CONDUCT
These rules apply to all persons filing information with, or seeking information from, the Commission.
They also apply to the Commission, the Director, and a presiding officer to the extent they govern the
Commission's responses to claims of confidentiality in proceedings, requests to restrict public inspection
of information outside of a proceeding, and requests for information under the Colorado Open Records
Act
to all persons filing information with, or seeking information from, the Commission.
They also apply to the Commission, the Director, and a presiding officer to the extent they govern the
Commission's responses to claims of confidentiality in proceedings, requests to restrict public inspection
of information outside of a proceeding, and requests for information under the Colorado Open Records
Act. Information filed with or provided to the Commission is public record and is presumed to be open for
inspection by any person at any reasonable time, subject to restrictions specifically provided by law.
1100.
Confidentiality.
(a)
All documents, data, information, studies, computer programs, and other matters filed with the
Commission in any form in a proceeding, or produced in response to any interrogatories or
requests for information, subpoenas, depositions, or other modes of discovery, or produced in
response to audit conducted by the Commission or Commission staff, and all notes taken or
copies made thereof, that are claimed to be a trade secret or confidential in nature (herein
referred to as “confidential information”) shall be furnished under the terms of these standards of
conduct. All persons afforded access to confidential information shall treat such information as
confidential and shall neither use nor disclose such information except in accordance with these
standards of conduct.
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ure (herein
referred to as “confidential information”) shall be furnished under the terms of these standards of
conduct. All persons afforded access to confidential information shall treat such information as
confidential and shall neither use nor disclose such information except in accordance with these
standards of conduct.
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(b)
In accordance with the Colorado Open Records Act, information filed with or provided to the
Commission is public record and is presumed to be open for inspection by any person at any
reasonable time, subject to restrictions specifically provided by law. In particular, subject to
restrictions specifically provided by law, the following documents shall be presumed to be
available for public inspection:
(I)
annual reports required under the Commission's rules;
(II)
rates, terms and conditions for regulated services;
(III)
tariffs and price lists;
(IV)
advice letters but not necessarily information filed in support of advice letters;
(V)
aggregate data regarding informal consumer complaint information;
(VI)
all compliance filings that the Commission has ordered to be filed as public record;
(VII)
insurance filings of motor carriers;
(VIII)
unless otherwise specified by the Commission, performance reports required pursuant to
either Commission rule or decision to demonstrate compliance or lack of compliance with
Commission rules or decisions
data regarding informal consumer complaint information;
(VI)
all compliance filings that the Commission has ordered to be filed as public record;
(VII)
insurance filings of motor carriers;
(VIII)
unless otherwise specified by the Commission, performance reports required pursuant to
either Commission rule or decision to demonstrate compliance or lack of compliance with
Commission rules or decisions. Individual customer names, addresses and telephone
numbers shall be presumed to be confidential;
(IX)
to the extent ordered to be filed as public documents by the Commission, service quality
performance reports required by the Commission from utilities regulated under an
alternative form of regulation or performance based regulation, with the exception of
individual customer names, addresses, and telephone numbers;
(X)
safety inspection reports or information filed with the Commission or compiled by
Commission staff pursuant to Commission decision or rule; and
(XI)
any document or information that has been previously made public.
(c)
A claim of confidentiality constitutes a representation to the Commission that the claiming party
has a reasonable and good faith belief that the subject document or information is not presumed
to be open for inspection, and is, in fact, confidential under applicable law, including the Colorado
Open Records Act. If a claim of confidentiality is made in violation of this paragraph (c), the
Commission may impose an appropriate sanction upon the claiming party, including an order to
pay to other parties the amount of reasonable expenses incurred because of the claim of
confidentiality, including reasonable attorney's fees.
(d)
The Commission's acceptance of information pursuant to a claim of confidentiality is not, and
shall not be construed to be, an agreement or a determination by the Commission that the subject
information is, in fact, confidential.
, including an order to
pay to other parties the amount of reasonable expenses incurred because of the claim of
confidentiality, including reasonable attorney's fees.
(d)
The Commission's acceptance of information pursuant to a claim of confidentiality is not, and
shall not be construed to be, an agreement or a determination by the Commission that the subject
information is, in fact, confidential.
(e)
At any time, the Commission may issue a decision on its own motion stating that a determination
will be made whether information provided subject to a claim of confidentiality is confidential. In
that event, the provisions of the Commission decision shall govern the procedure.
(f)
Persons shall make only general references to information claimed to be confidential or highly
confidential in their public testimony, including attachments, in other public filings, and in oral
presentations other than those made on a confidential or highly confidential record.
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(g)
Until otherwise ordered by the Commission or the information subsequently becomes publicly
available, a Commission determination regarding confidentiality of information shall apply in all
future proceedings before the Commission as to the specific information for which confidentiality
or highly confidential protection was asserted.
(I)
In the event the Commission rules that any information previously filed or provided
subject to a request for highly confidential protections should no longer be protected in
accordance with such request, all persons afforded access to such information shall not
disclose the information or use it in any manner for seven days. During this period, any
person claiming highly confidential or confidential protections may seek a stay, request
that it be permitted to remove the subject information from the record, or other relief
l protections should no longer be protected in
accordance with such request, all persons afforded access to such information shall not
disclose the information or use it in any manner for seven days. During this period, any
person claiming highly confidential or confidential protections may seek a stay, request
that it be permitted to remove the subject information from the record, or other relief. If a
motion is filed to continue protection, pending the ruling on the motion, all persons
afforded access to the information shall continue to treat the information as subject to the
protection requested by the provider of the information.
(II)
In the event the Commission rules that information previously filed or provided subject to
a claim of confidentiality is not confidential and should be removed from the protective
requirements of these standards of conduct, all persons afforded access shall not
disclose such information or use it in the public record for seven days. During this period,
any person claiming confidential protections may seek a stay, request that it be permitted
to remove the subject information from the record, or other relief. If a motion is filed to
continue protection, pending the ruling on the motion, all persons afforded access to such
information shall continue to treat the information as confidential pursuant to these
standards of conduct.
(III)
In the absence of new information or a change in circumstances, as determined by the
Director in responding to a request for Commission records under the Colorado Open
Records Act, a Commission ruling regarding confidentiality of specific material shall be a
ruling on the confidentiality of such material for purposes of a request under the Colorado
Open Records Act.
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standards of conduct.
(III)
In the absence of new information or a change in circumstances, as determined by the
Director in responding to a request for Commission records under the Colorado Open
Records Act, a Commission ruling regarding confidentiality of specific material shall be a
ruling on the confidentiality of such material for purposes of a request under the Colorado
Open Records Act.
(h)
When filed with the Commission, or otherwise provided, confidential and highly confidential
information will be sealed by the Director, designated as confidential or highly confidential, as
applicable, in the E-Filings System, and withheld from inspection by any person not bound by the
terms of these standards of conduct or Commission decision, as applicable. This treatment shall
prevail unless the confidential or highly confidential information is released from the restrictions of
these standards of conduct either through agreement of the interested persons and publication,
or, after opportunity for comment, pursuant to a decision of the Commission or final order of a
court having jurisdiction. Nothing in these standards of conduct shall require the Commission to
provide information filed under seal to any person other than Commission staff and the UCA.
Persons seeking access to information filed under seal must comply with the terms of these
standards of conduct and must acquire the information filed under seal from the filer. Service of
confidential or highly confidential information shall not be accomplished through the E-Filings
System, except for service to the Commission’s assigned trial staff and advisory staff. The UCA
will provide written notification to a filer if it obtains access to the filer’s confidential information
from the Commission. Service of a signed non-disclosure agreement by the UCA upon the filer
shall be deemed as such written notification.
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pt for service to the Commission’s assigned trial staff and advisory staff. The UCA
will provide written notification to a filer if it obtains access to the filer’s confidential information
from the Commission. Service of a signed non-disclosure agreement by the UCA upon the filer
shall be deemed as such written notification.
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(i)
The Commission, Commission staff, Commission advisory counsel, and Commission staff
counsel shall have access to all information filed under these standards of conduct by virtue of
the annual nondisclosure agreement executed in accordance with this rule. Notwithstanding
anything in these standards of conduct to the contrary, each member of the Commission,
Commission counsel, and Commission staff need only sign one nondisclosure agreement
annually. The annual nondisclosure agreement that each Commissioner, Commission counsel,
and Commission staff member executes shall include a provision that requires the individual to
maintain and to treat information to which the Commission has granted highly confidential
protection pursuant to paragraph 1101(b) in accordance with the decision granting highly
confidential protection. Signing such an annual nondisclosure agreement shall permit a
Commissioner, Commission counsel, and Commission staff members to have access to all
confidential information filed with or provided to the Commission and to have access to all
information to which the Commission has granted highly confidential protection pursuant to
paragraph 1101(b). The Commission shall maintain in its files the annual nondisclosure
agreements and shall make such agreements available for public inspection.
sel, and Commission staff members to have access to all
confidential information filed with or provided to the Commission and to have access to all
information to which the Commission has granted highly confidential protection pursuant to
paragraph 1101(b). The Commission shall maintain in its files the annual nondisclosure
agreements and shall make such agreements available for public inspection.
(j)
All persons afforded access to any information filed subject to a claim of confidentiality shall take
all reasonable precautions to keep the confidential information secure in accordance with the
purpose and intent of these standards of conduct. All persons, including Commission staff, who
are afforded access to information to which the Commission has granted highly confidential
protection shall maintain and shall treat that information in accordance with the protections for
confidential information specified in these standards of conduct and the decision granting highly
confidential protection.
(k)
Parties to a proceeding retain the right to question, challenge, and object to the admissibility of
any and all data, information, studies, and other matters furnished under the terms of these
standards of conduct on the grounds of relevancy or materiality.
(l)
Acceptance of information claimed to be confidential or highly confidential by any party shall in no
way constitute a waiver of the rights of that party to contest any assertion or finding of trade
secret, confidentiality, or privilege; to make a request under the Colorado Open Records Act; or to
appeal any determination of the Commission.
(m)
Any person or party to the proceeding retains all remedies existing at civil or criminal law for
breach of these standards of conduct, and compliance with these standards of conduct shall not
be construed to be a waiver of those rights.
inding of trade
secret, confidentiality, or privilege; to make a request under the Colorado Open Records Act; or to
appeal any determination of the Commission.
(m)
Any person or party to the proceeding retains all remedies existing at civil or criminal law for
breach of these standards of conduct, and compliance with these standards of conduct shall not
be construed to be a waiver of those rights.
(n)
The UCA may submit a written request for access to Commission records containing information
claimed to be confidential by the person providing the information. In such instances, the Director
shall forthwith notify the person who provided the subject information of the UCA's request. The
person who provided the subject information may, within seven days of the Director's notification,
submit a written objection to disclosure of the information to the UCA. The Director shall disclose
the requested information to the UCA if the Director determines that the request is reasonably
related to the UCA's statutory purpose as set forth in §§ 40-6.5-101, et seq. However, if the
person who provided the subject information notifies the Director, in writing submitted within the
seven-day period referenced in this paragraph, that judicial action will be commenced to prevent
disclosure to the UCA, the Director shall not disclose the information to the UCA for an additional
seven days. During this additional seven-day period, the person objecting to disclosure may
commence judicial action to prevent such disclosure or may take other appropriate action.
(I)
In the event the Director denies an UCA request for access to Commission records, the
UCA may file a petition for access to such records with the Commission. The UCA shall
serve such a petition on the person who provided the subject information to the
Commission.
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prevent such disclosure or may take other appropriate action.
(I)
In the event the Director denies an UCA request for access to Commission records, the
UCA may file a petition for access to such records with the Commission. The UCA shall
serve such a petition on the person who provided the subject information to the
Commission.
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(II)
Disclosure to the UCA of information claimed to be confidential shall be conditioned upon
the UCA’s compliance with the provisions of these rules, including the requirement in
paragraph (j) of rule 1100 that it take all reasonable precautions to keep the confidential
information secure. Employees and representatives of the UCA shall sign a
nondisclosure agreement in substantially the same form as required by paragraph (j) of
rule 1101, and shall deliver such agreement to the Director and the provider of the
information claimed to be confidential, prior to review of the information claimed to be
confidential. Employees and representatives of the UCA shall not disclose information
obtained under these standards of conduct absent a ruling by the Director, the
Commission or a court of appropriate jurisdiction authorizing such disclosure.
(III)
The UCA shall not use the procedure specified in this paragraph (n) as a substitute for
discovery in Commission proceedings.
(IV)
This paragraph (n) shall not authorize the UCA to obtain access to Commission staff
work papers or work product.
(V)
All information obtained under this rule shall be returned to the Commission within sixty
days after the UCA was provided access to such information. However, upon written
request approved by the Director or the Commission, the UCA may retain the subject
information for an additional specified period of time. The UCA shall serve a copy of the
written request for additional time upon the person who provided the subject information
to the Commission, and that person may submit an objection to the UCA's request
provided access to such information. However, upon written
request approved by the Director or the Commission, the UCA may retain the subject
information for an additional specified period of time. The UCA shall serve a copy of the
written request for additional time upon the person who provided the subject information
to the Commission, and that person may submit an objection to the UCA's request.
(VI)
An UCA request for access to Commission records containing confidential information
shall be considered in as expeditious a manner as possible given other duties of the
Director and the Commission. The time periods set forth in the Colorado Open Records
Act shall not apply to requests under this paragraph (n).
1101.
Procedures Relating to Confidential Information Filed with the Commission in a
Proceeding.
(a)
Procedure for filing information claimed to be confidential or highly confidential in a proceeding.
(I)
A party submitting to the Commission information claimed to be confidential or highly
confidential shall file, as part of the public record (i.e., not under seal), the required
number of copies of its filing, according to these rules and without including the
information claimed to be confidential or highly confidential. The first page of each of
these copies shall be labeled: “NOTICE OF CONFIDENTIALITY: A PORTION OF THIS
DOCUMENT HAS BEEN FILED UNDER SEAL.” The first page shall list each document
filed under seal, shall list each page number of each document on which confidential or
highly confidential material is found, and shall indicate the nature of the documents that
are filed under seal. Failure to make a public filing that excludes information claimed to
be confidential or highly confidential along with the information claimed to be confidential
or highly confidential will result in administrative rejection of the filing by Commission
staff
ent on which confidential or
highly confidential material is found, and shall indicate the nature of the documents that
are filed under seal. Failure to make a public filing that excludes information claimed to
be confidential or highly confidential along with the information claimed to be confidential
or highly confidential will result in administrative rejection of the filing by Commission
staff.
(II)
Unless filed through the E-Filings System, in addition to the copies available for public
inspection, the person filing shall file under seal an original and three copies of the pages
on which the information is claimed to be confidential or highly confidential. All pages and
copies of the information claimed to be confidential or highly confidential shall be clearly
marked as “confidential” or “highly confidential” as applicable and shall be filed on lightly
colored paper. Each page of the document containing information claimed to be
confidential or highly confidential shall be clearly marked so that, should the pages of the
document be separated from the envelope, it will be clear that the information on the
page of the document is claimed to be confidential or highly confidential.
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(III)
Unless filed through the E-Filings System, the original and three copies of the pages
containing confidential or highly confidential information shall be filed under seal in
separate, sealed envelopes numbered serially. The envelopes shall be no smaller than 9”
by 12” and no larger than 10” by 13”. The following information shall be written on the
outside of each sealed envelope:
(A)
the caption and proceeding number of the associated proceeding and the
notation “CONFIDENTIAL -- SUBMITTED IN PROCEEDING NO. ________” or
“HIGHLY CONFIDENTIAL – SUBMITTED IN PROCEEDING NO
separate, sealed envelopes numbered serially. The envelopes shall be no smaller than 9”
by 12” and no larger than 10” by 13”. The following information shall be written on the
outside of each sealed envelope:
(A)
the caption and proceeding number of the associated proceeding and the
notation “CONFIDENTIAL -- SUBMITTED IN PROCEEDING NO. ________” or
“HIGHLY CONFIDENTIAL – SUBMITTED IN PROCEEDING NO. ___________”,
as applicable;
(B)
the name of the filing party;
(C)
the date of filing;
(D)
a description of the information (e.g., testimony, including attachments of ______
(name of witness), statement of position, motion);
(E)
the filing party's statement as to whether it prefers to retrieve the information
following conclusion of Commission proceedings and any related court actions or
it prefers to have the Commission and/or parties served destroy the information
by shredding following conclusion of Commission proceedings and any related
court actions; and
(F)
if the party chooses to retrieve the information in accordance with the statement
contained in subparagraph (III)(E), the name and phone number of the person
who will retrieve such information.
(b)
If a person believes that information requires extraordinary protection beyond that otherwise
provided for information furnished subject to a claim of confidentiality, then the person must file a
motion requesting highly confidential protection. The motion:
(I)
shall include a detailed description and/or representative sample of the information for
which highly confidential protection is sought;
(II)
shall state the specific relief requested and the grounds for seeking the relief;
(III)
shall advise all other parties of the request and the subject matter of the information at
issue;
(IV)
shall include a showing that the information for which highly confidential protection is
sought is highly confidential; that the protection afforded by the Commission's rules for
furnishing confidential information provides insufficient protection for the highly
confidential informa
relief;
(III)
shall advise all other parties of the request and the subject matter of the information at
issue;
(IV)
shall include a showing that the information for which highly confidential protection is
sought is highly confidential; that the protection afforded by the Commission's rules for
furnishing confidential information provides insufficient protection for the highly
confidential information; and that, if adopted, the highly confidential protections proposed
by the movant will afford sufficient protection for the highly confidential information;
(V)
shall be accompanied by a specific form of nondisclosure agreement requested;
(VI)
shall be accompanied by an affidavit containing the names of all persons with access to
the information and the period of time for which the information must remain subject to
highly confidential protection, if known; and
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(VII)
shall include an exhibit, filed in accordance with the procedures established in paragraph
(a), containing the information for which highly confidential protection is requested.
Alternatively, the movant may show why providing the subject information would be
overly burdensome, impractical, or too sensitive for disclosure.
(c)
If a person believes that information presumed to be open for public inspection as contained in
paragraph (n) of rule 1100 should not be open for public inspections, then the person may file a
motion requesting highly confidential protection in accordance with paragraph (b) above. The
appropriate treatment for such information must be determined by the Commission. A claim of
confidentiality does not overcome the presumption of public availability.
e open for public inspection as contained in
paragraph (n) of rule 1100 should not be open for public inspections, then the person may file a
motion requesting highly confidential protection in accordance with paragraph (b) above. The
appropriate treatment for such information must be determined by the Commission. A claim of
confidentiality does not overcome the presumption of public availability.
(d)
The person seeking highly confidential protection for information shall comply with paragraph
1204(a) in filing the motion. Prior to deciding the motion and as it deems necessary, the
Commission may enter a decision requiring the filing of additional information, including the filing
of a complete version of the information for which highly confidential protection is sought. The
person seeking highly confidential protection for information shall bear the burden of proof to
establish the need for highly confidential protection. The Commission will consider in camera the
motion and, as applicable, the description of the information, the representative sample of the
information, or the complete information. After considering the motion and the circumstances, the
Commission may enter a decision granting the motion and ordering the highly confidential
protection which the Commission, in the exercise of its discretion, deems appropriate; may enter
a decision denying the motion; or may enter any other appropriate decision.
mation, the representative sample of the
information, or the complete information. After considering the motion and the circumstances, the
Commission may enter a decision granting the motion and ordering the highly confidential
protection which the Commission, in the exercise of its discretion, deems appropriate; may enter
a decision denying the motion; or may enter any other appropriate decision.
(e)
Information which is subject to highly confidential protection and that is provided in response to
discovery or in response to Commission staff audit shall not be filed with the Commission. Unless
the Commission orders otherwise, a complete version of the document that contains the
information which is subject to highly confidential protection shall be filed with the Commission as
soon as any one of the following applies:
(I)
the information is used to support a motion;
(II)
the information is filed as an attachment included in prefiled testimony;
(III)
the information is prefiled as an exhibit to be offered at hearing; or
(IV)
the information is offered as an exhibit at hearing.
(f)
This rule establishes the procedure for the expeditious handling of a challenge to the claim by a
person that information is confidential. Compliance with this rule shall not be construed as an
agreement or ruling regarding the confidentiality of any document.
(I)
A person seeking to challenge a claim of confidentiality shall first contact counsel for the
providing person and attempt to resolve any differences by stipulation.
(II)
In the event the parties cannot agree as to the character of the information challenged,
any person challenging a claim of confidentiality shall do so by advising all parties and
the Commission, in writing, that it deems information non-confidential. This notice shall
designate the information challenged in a manner that specifically isolates the challenged
information from other information claimed as confidential.
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any person challenging a claim of confidentiality shall do so by advising all parties and
the Commission, in writing, that it deems information non-confidential. This notice shall
designate the information challenged in a manner that specifically isolates the challenged
information from other information claimed as confidential.
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(III)
The person claiming confidentiality shall, within ten days of the notice required by
subparagraph (II) of this paragraph, file an appropriate pleading stating grounds upon
which the challenged information is claimed to be confidential. The challenging person
shall have ten days to respond to the pleading. In the event the claiming person fails to
file the required pleading stating grounds for treating the challenged information as
confidential within ten days, the Commission may enter a decision that the challenged
information may be included in the public record or subject to modified protections.
(g)
Where feasible, confidential information will be marked as such and delivered to counsel for the
parties. Where the material is too voluminous to copy and deliver to counsel, the confidential
information shall be made available for inspection and review by counsel and experts, as
provided for in paragraphs (h) and (i) of this rule, at a place and time mutually agreed on by the
parties, or at the premises of the providing party, or as directed by the Commission. During the
inspection, unless the Commission orders otherwise, the parties may take notes about the
information or may request and receive copies of the documents, or both. All notes taken and
copies received of such documents shall be treated as constituting confidential information in
accordance with these standards of conduct.
e premises of the providing party, or as directed by the Commission. During the
inspection, unless the Commission orders otherwise, the parties may take notes about the
information or may request and receive copies of the documents, or both. All notes taken and
copies received of such documents shall be treated as constituting confidential information in
accordance with these standards of conduct.
(h)
All confidential information made available by a party shall be given solely to the Commission,
Commission staff, and counsel for the parties, and, shall not be used or disclosed for purposes of
business or competition, or for any purpose other than for purposes of the proceeding in which
the information is produced. With the exception of Commission staff, any disclosure of such
information to a party's experts or advisors must be authorized by that party's counsel, and must
be permitted solely for the purpose of the proceeding in which the information is produced. No
expert or advisor may be an officer, director, or employee concerned with marketing or strategic
planning of competitive products and services of the party or of any subsidiary or affiliate of the
party. Information claimed to be confidential shall not be disclosed to individual members of a
trade association to the extent these individuals are concerned with marketing or strategic
planning of products or services competitive to the party producing such information. Any
member of the Commission staff may have access to any confidential information made available
under the terms of these standards of conduct. Commission staff is not limited to using
confidential information only in the specific proceeding in which it was obtained. However, except
as provided in these standards of conduct or other Commission rule or decision, Commission
staff shall be subject to all other requirements of standards of conduct
ss to any confidential information made available
under the terms of these standards of conduct. Commission staff is not limited to using
confidential information only in the specific proceeding in which it was obtained. However, except
as provided in these standards of conduct or other Commission rule or decision, Commission
staff shall be subject to all other requirements of standards of conduct. Upon motion approved by
the Commission, the UCA may be permitted to use information subject to this rule in a proceeding
or for a purpose unrelated to the specific proceeding in which the information was obtained.
(i)
No person shall have access to information under seal until the person, who is either a party or
an authorized agent of a party and who is seeking such access, signs a nondisclosure agreement
on a form approved by the Commission, serves the nondisclosure agreement on the party filing
the confidential information, and files the nondisclosure agreement with the Commission. The
nondisclosure agreement form shall require the person to whom disclosure is to be made (the
signatory) to certify in writing that the signatory has read the protective provisions contained in
rules 1100 - 1103 and agrees to be bound by the terms of those provisions. The agreement shall
contain (1) the caption and number of the associated proceeding; (2) the signatory's full name,
title, employer or firm, and business address; (3) the name of the party with whom the signatory is
associated; (4) the signatory's signature and the date of execution of the nondisclosure
agreement; and (5) the signature of the associated party's counsel of record for the proceeding.
The agreement shall be delivered to counsel for the filing person and shall be filed with the
Commission at or before the time of review of the documents.
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) the signatory's signature and the date of execution of the nondisclosure
agreement; and (5) the signature of the associated party's counsel of record for the proceeding.
The agreement shall be delivered to counsel for the filing person and shall be filed with the
Commission at or before the time of review of the documents.
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(j)
Where reference to information subject to this rule is made in pleadings, it shall be by citation of
title or exhibit number, or by some other description that will not disclose the information. Any
further use of or substantive references to such information shall be placed in a separate section
of the pleading and shall be submitted to the Commission under seal in accordance with these
rules.
(k)
Sealed portions of a record in any proceeding may be forwarded under seal to any court of
competent jurisdiction on appeal in accordance with applicable rules and regulations.
(l)
Retention of documents.
(I)
At the conclusion of the proceedings, all documents and information subject to this rule,
except the original and copies retained by Commission staff shall be retrieved by the
party or person producing them unless the filer states on the outside of each sealed
envelope served that its preference is to have the Commission and/or parties served
destroy the information following the conclusion of Commission proceedings and any
related court actions. If the producing party does not retrieve the documents from the
Commission within seven days of notification by the Commission, the documents will be
shredded or destroyed. The original shall be maintained by the Commission as part of its
archival files. Commission staff shall take all reasonable precautions to maintain the
confidentiality of information subject to these standards of conduct
ions. If the producing party does not retrieve the documents from the
Commission within seven days of notification by the Commission, the documents will be
shredded or destroyed. The original shall be maintained by the Commission as part of its
archival files. Commission staff shall take all reasonable precautions to maintain the
confidentiality of information subject to these standards of conduct.
(II)
Upon motion approved by the Commission, the UCA may be permitted to retain
information subject to this rule for a specified time following conclusion of the proceeding
in which such information was obtained. All other parties shall, within seven days of the
conclusion of the proceeding in which documents and information subject to these
standards of conduct were produced, return such documents and information to the
person providing the information.
(III)
In the event Commission staff intends to use confidential or highly confidential
information in a subsequent proceeding, it shall notify, in writing, the person who
produced such information of such intended use. This notification shall be made at least
ten days prior to submission of the subject information in the subsequent proceeding.
Commission staff's use of confidential or highly confidential information in a subsequent
proceeding shall be in accordance with the provisions of these standards of conduct.
(IV)
Commission staff and UCA shall develop and maintain internal procedures to protect
from disclosure any confidential or highly confidential information permitted to be retained
pursuant to these standards of conduct or order of the Commission.
1102.
Procedures Relating to Confidential Information Submitted To The Commission Outside Of
A Formal Proceeding.
visions of these standards of conduct.
(IV)
Commission staff and UCA shall develop and maintain internal procedures to protect
from disclosure any confidential or highly confidential information permitted to be retained
pursuant to these standards of conduct or order of the Commission.
1102.
Procedures Relating to Confidential Information Submitted To The Commission Outside Of
A Formal Proceeding.
(a)
A person providing any document or information outside of a proceeding that is claimed to be
confidential, including information submitted in an electronic format on a physical medium such as
CD, DVD or flash disk, shall use the following procedure:
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(I)
Non-confidential portions of a document may not be filed under seal. If a document
contains both confidential and non-confidential information, the filing person shall
specifically identify those portions of the subject document that are not confidential and
shall submit to the Commission the required number of the document or report without
including the information claimed to be confidential. The confidential portions provided
under seal shall be submitted under separate publicly-available cover which cover shall
identify the person providing the information, the documents provided, and the
confidential portions identified by page number. The non-confidential information will be
available to the public immediately. The confidential information shall be filed under seal
in accordance with the procedures set forth below. The Commission's acceptance of this
information under seal is not, and shall not be construed to be, an agreement by or ruling
of the Commission that the subject information is, in fact, confidential.
(II)
All pages and copies of the information claimed to be confidential shall be clearly marked
as “confidential” and shall be filed on lightly-colored paper.
nce with the procedures set forth below. The Commission's acceptance of this
information under seal is not, and shall not be construed to be, an agreement by or ruling
of the Commission that the subject information is, in fact, confidential.
(II)
All pages and copies of the information claimed to be confidential shall be clearly marked
as “confidential” and shall be filed on lightly-colored paper.
(b)
Upon notification from the Commission that the confidential information is no longer needed, the
filer shall make arrangements to retrieve the information unless the filer previously indicated its
preference to have the Commission destroy the information. If the information is not retrieved by
the filer within seven days after notification, the Commission will shred or destroy the information.
The Commission may retain the original of a filed document where necessary or required by law.
1103.
Procedures Concerning Requests For Public Inspection Of Information Claimed To Be
Confidential or Highly Confidential.
(a)
When any person makes a request to inspect Commission records that another person has
claimed are confidential or is subject to highly confidential protection, the Director shall determine
whether the records are subject to public inspection pursuant to the provisions of the Colorado
Open Records Act. The Director shall use procedures that are consistent with the provisions of
the Colorado Open Records Act. In any event, the Director shall give timely notice of the request
for inspection of records to the person who submitted the documents or information subject to the
request and who claims that the records are confidential or are subject to highly confidential
protection. The Director shall also provide the person who submitted the information to the
Commission an opportunity to submit oral or written comments regarding the public records
request.
e of the request
for inspection of records to the person who submitted the documents or information subject to the
request and who claims that the records are confidential or are subject to highly confidential
protection. The Director shall also provide the person who submitted the information to the
Commission an opportunity to submit oral or written comments regarding the public records
request.
(b)
Upon making a determination as to whether the requested records are subject to public
inspection, the Director shall forthwith notify the person objecting to disclosure and the person
requesting public inspection of Commission records of that decision.
(c)
If the Director determines that the Commission's records are subject to public inspection, the
Director, upon written request from the person objecting to such public disclosure, shall refrain
from disclosure of the records for seven days to allow the person objecting to such disclosure to
commence judicial action to prevent public inspection of the subject records.
(d)
The determination as to what level of public inspection should be permitted for specific public
records submitted to the Commission shall be made on a case-by-case basis and shall be based
on the Colorado Open Records Act and all other applicable law.
(e)
In the instance that a person files personal information or information that is otherwise sensitive to
an individual's identity and does not designate the information as confidential, Commission staff
may redact or otherwise designate the information as confidential and inform the filer.
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1104.
Personal Information – Collection.
the instance that a person files personal information or information that is otherwise sensitive to
an individual's identity and does not designate the information as confidential, Commission staff
may redact or otherwise designate the information as confidential and inform the filer.
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1104.
Personal Information – Collection.
(a)
A regulated entity shall collect only that personal information, including information regarding
credit worthiness that is necessary to provide, bill, and collect for services. Information regarding
credit worthiness may include, but is not limited to: the customer’s employer; the employer's
phone number; the customer’s landlord’s name, address, and phone number; and the customer's
previous regulated service supplier. A regulated entity may request, but shall not require, a
customer's Social Security Number as a prerequisite to evaluating credit worthiness or to
providing regulated service.
(b)
If a regulated entity collects personal information concerning a customer, then not later than three
months after first billing the customer, the regulated entity shall notify the customer, in writing of
his or her right to request a copy of any or all personal information that the regulated entity holds
concerning that customer, including a true copy of that information. Upon such request and upon
verification of the customer's identity, the regulated entity shall provide the requested information
and shall take all necessary steps to explain the information to the customer.
stomer, in writing of
his or her right to request a copy of any or all personal information that the regulated entity holds
concerning that customer, including a true copy of that information. Upon such request and upon
verification of the customer's identity, the regulated entity shall provide the requested information
and shall take all necessary steps to explain the information to the customer.
(c)
A customer may request in writing an amendment of the personal information held by a regulated
entity. Within 30 days of the request, the regulated entity shall:
(I)
verify and correct any portion of a record that is not accurate, timely, or complete, and
inform the customer in writing of the corrections; or
(II)
inform the customer in writing of its refusal to amend the record in accordance with the
request, give a reason for the refusal, clearly note any portion of the record that is
disputed, and include in its records the customer's concise statement of disagreement.
The regulated entity shall also inform the customer of his or her right to file a complaint
with the Commission regarding the disputed personal information.
1105.
Personal Information– Disclosure.
(a)
A utility may only disclose personal information as permitted by Commission rule or as compelled
by state or federal law.
(b)
Requests to disclose personal information must specify the identity of the requestor, the
electronic or mail address to which requested information is to be delivered, and the authority or
authorization for the request. With the exception of requests pursuant to paragraph 1105(c) or by
the consumer requesting a copy of his or her personal information as permitted in paragraph
1104(b), all requests must be in writing. Written requests must be on official letterhead or from an
official e-mail address
mail address to which requested information is to be delivered, and the authority or
authorization for the request. With the exception of requests pursuant to paragraph 1105(c) or by
the consumer requesting a copy of his or her personal information as permitted in paragraph
1104(b), all requests must be in writing. Written requests must be on official letterhead or from an
official e-mail address. Permitted disclosure of personal information may be provided in response
to a telephone request; however, the employee of the regulated entity must first verify the caller's
identity by returning the call using a telephone number verified independently of the caller,
including without limitation, prior experience of the authorized representative. Permitted
disclosure of personal information may also be provided in person; however, the person
requesting information in person must demonstrate to the regulated entity that he or she is
authorized to request the personal information.
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(c)
A utility may disclose information regarding monthly gas, steam, and electric customer charges
and general usage for up to thirty-six months (at no more granular level than monthly totals),
payment history, past due amounts, pending deposits, current shut-off due dates or
disconnection, current life support status, payment arrangements, history of energy assistance
payments, number of heating degree days, and other specifically requested information in
response to requests from Energy Outreach Colorado (EOC), the Low-Income Energy Assistance
Program (LEAP), the Weatherization Assistance Program (WAP) and any other affiliated
agencies using the information to provide energy assistance and programs to Colorado
customers, provided that EOC, LEAP, WAP, and any other affiliated agencies receiving
information pursuant to this rule have included as part of their application process notice to the
applicant for assistance that his or her utility may disclose certain informatio
Assistance Program (WAP) and any other affiliated
agencies using the information to provide energy assistance and programs to Colorado
customers, provided that EOC, LEAP, WAP, and any other affiliated agencies receiving
information pursuant to this rule have included as part of their application process notice to the
applicant for assistance that his or her utility may disclose certain information including a notice to
the customer of all personal information that is or may be requested, to facilitate the energy
assistance and program application process.
(d)
A regulated entity may disclose personal information to a contracted agent to assist in the
provision of regulated services, provided, however, that the contract contains the following
minimum requirements:
(I)
The contracted agent shall implement and maintain reasonable data security procedures
and practices appropriate to the private nature of the information to protect the personal
information from unauthorized access, destruction, use, modification, or disclosure.
These data security procedures and practices shall be equal to or greater than the data
privacy and security policies and procedures used by the regulated entity internally to
protect personal information.
(II)
The contracted agent shall use personal information only for the purpose of fulfilling the
terms of the contract. The use of personal information for a secondary commercial
purpose not related to the purpose of the contract without the regulated entity first
obtaining the customer's consent is prohibited.
(III)
The contracted agent shall destroy or return to the regulated entity all personal
information that is no longer necessary for the purpose for which it was transferred.
(IV)
The contracted agent shall execute a non-disclosure agreement with the regulated entity
purpose not related to the purpose of the contract without the regulated entity first
obtaining the customer's consent is prohibited.
(III)
The contracted agent shall destroy or return to the regulated entity all personal
information that is no longer necessary for the purpose for which it was transferred.
(IV)
The contracted agent shall execute a non-disclosure agreement with the regulated entity.
(V)
In the event a contracted agent uses, maintains, or otherwise distributes personal
information in a way that would violate Commission rule if done directly by a regulated
entity, such use, maintenance, or distribution shall be considered a violation of these
rules by the regulated entity that disclosed the person information to the contracted
agent.
(e)
The regulated entity shall maintain records of the disclosure of personal information to the
contracted agent for a minimum of three years. Such records shall include all contracts with the
contracted agent and executed non-disclosure agreements.
1106.
Prohibited Communications – Generally.
Ex parte communications concerning any disputed substantive or procedural issue, or facts or allegations
at issue, are strictly prohibited. Commission staff members shall not act as conduits of communication in
a manner that would violate this rule if the communication had occurred directly. Prohibited
communication includes any oral or written communication that:
(a)
occurs during the pendency of an adjudicatory proceeding or occurs when the persons engaging
in the communication know or reasonably should know that the adjudication will commence within
30 days;
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(b)
occurs between any advisory staff, Commissioner, or Administrative Law Judge, on the one hand,
and, on the other hand, any person, including trial staff, related to, acting as, or acting on behalf
of a party, amicus curiae, or member of the public submitting comments pursuant to rule 1509;
and
ll commence within
30 days;
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(b)
occurs between any advisory staff, Commissioner, or Administrative Law Judge, on the one hand,
and, on the other hand, any person, including trial staff, related to, acting as, or acting on behalf
of a party, amicus curiae, or member of the public submitting comments pursuant to rule 1509;
and
(c)
is made without providing other parties notice and an opportunity to respond.
1107.
Prohibited Communications – Disclosure.
(a)
Any person communicating with any advisory staff, Commissioner, or Administrative Law Judge
concerning a pending adjudicatory proceeding shall state the party with whom he or she is
associated and the number and short title of the proceeding.
(b)
Any person, party, Commissioner, Administrative Law Judge, or member of Commission staff
engaging in prohibited communications shall forthwith serve a notice on all parties describing:
(I)
the name and number of the proceeding;
(II)
a summary of the matters discussed;
(III)
the persons involved and their relationship, if any, to the parties;
(IV)
the date, time, and place of the communication and the circumstances under which it was
made; and
(V)
any other relevant information concerning the communication.
1108.
Prohibited Communications - Remedies.
Upon determining that a party has engaged in prohibited communication, the Commission shall ensure
that all parties have the opportunity to respond; this includes, if necessary, calling and cross-examining
witnesses. In addition, the Commission may, upon its own motion or upon the motion of a party, order any
of the following remedial measures:
(a)
dismissal of the proceeding, in whole or in part;
(b)
striking evidence or pleadings when the evidence or pleading is tainted by the prohibited
communication;
(c)
a public statement of censure; or
(d)
such alternative or additional sanctions as may be appropriate under the circumstances.
1109.
Disqualification of Commissioner or Administrative Law Judge.
any
of the following remedial measures:
(a)
dismissal of the proceeding, in whole or in part;
(b)
striking evidence or pleadings when the evidence or pleading is tainted by the prohibited
communication;
(c)
a public statement of censure; or
(d)
such alternative or additional sanctions as may be appropriate under the circumstances.
1109.
Disqualification of Commissioner or Administrative Law Judge.
(a)
Whenever any party has a good faith belief that a Commissioner or Administrative Law Judge has
engaged in a prohibited communication or may not be impartial, the party may file a motion to
disqualify the Commissioner or Administrative Law Judge. Such a motion shall be supported by
an affidavit describing the nature and extent of the alleged prohibited communication or bias.
Within ten days after any response has been filed, the Commissioner or Administrative Law
Judge shall rule on the motion on the record. If the motion is denied, the movant may file a
request within ten days, requesting the full Commission to review the denial of the motion. All
Commissioners may fully participate in such review.
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(b)
If at any time a Commissioner or Administrative Law Judge believes that his or her impartiality
may reasonably be questioned, the Commissioner or Administrative Law Judge shall withdraw,
as provided in § 40-6-124, C.R.S.
1110.
Commissioner and Administrative Law Judge Communications - Generally.
rticipate in such review.
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(b)
If at any time a Commissioner or Administrative Law Judge believes that his or her impartiality
may reasonably be questioned, the Commissioner or Administrative Law Judge shall withdraw,
as provided in § 40-6-124, C.R.S.
1110.
Commissioner and Administrative Law Judge Communications - Generally.
(a)
Prohibited communications do not include:
(I)
procedural, scheduling, status inquiries, E-Filings System support, or requests for
information that have no bearing on the merits, substance, or outcome of the proceeding;
(II)
protests or comments made by any customer of a utility concerning any proposed tariff,
price list, or time schedule;
(III)
communications that occur in educational programs or conferences, or that occur in
meetings of an association of regulatory agencies, except for substantive issues involving
pending matters;
(IV)
communications relating to pending legislative proposals, appropriations, budget, or
oversight matters, except for substantive issues involving pending matters; or
(V)
communications relating to a pending administrative or rulemaking proceeding.
(b)
Every Commissioner and Administrative Law Judge shall comply with the disclosure
requirements of § 40-6-122, C.R.S.
(I)
All disclosures shall include:
(A)
the date, time, and place of the communication;
(B)
the names of the persons present;
(C)
the interested persons' affiliations;
(D)
the subject matter of the communication;
(E)
a statement that the communication did not relate to any pending adjudicatory
proceeding before the Commission; and
(F)
the signature of the Commissioner or Administrative Law Judge to certify that the
disclosure is complete and accurate.
(II)
The Director shall ensure the completeness of all disclosures.
(III)
All disclosures shall be posted on the Commission's website within three
business days of the receipt by the Director
tion did not relate to any pending adjudicatory
proceeding before the Commission; and
(F)
the signature of the Commissioner or Administrative Law Judge to certify that the
disclosure is complete and accurate.
(II)
The Director shall ensure the completeness of all disclosures.
(III)
All disclosures shall be posted on the Commission's website within three
business days of the receipt by the Director.
(IV)
If a disclosure is required by § 40-6-122, C.R.S., such disclosure shall be
completed for all methods of communications including communications
in person, by phone, and by e-mail exchange.
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1111.
Permit, but Disclose Process.
(a)
In administrative proceedings, the Commission may choose to allow interested persons to
schedule ex parte presentations to a Commissioner in a meeting that may include Commission
Staff. Any such ex parte contacts must relate to matters being reviewed in the specific
administrative proceeding and cannot concern any matter pending before the Commission in
another proceeding. The Commission will attempt to accommodate all reasonable requests for ex
parte meetings, subject to the schedule and availability of each Commissioner. There is no
requirement that an interested person must make the same presentation to each of the three
Commissioners.
(b)
To schedule an ex parte meeting under the permit, but disclose process, the interested person
should contact the Commission's executive assistant and identify the proceeding with which the
presentation is associated.
ubject to the schedule and availability of each Commissioner. There is no
requirement that an interested person must make the same presentation to each of the three
Commissioners.
(b)
To schedule an ex parte meeting under the permit, but disclose process, the interested person
should contact the Commission's executive assistant and identify the proceeding with which the
presentation is associated.
(c)
Within two business days following a permitted ex parte presentation, the person requesting the
meeting shall file with the Commission in the particular proceeding, a letter disclosing the contact.
The letter shall include the following information:
(I)
the date, time, and place of the meeting;
(II)
a list of all individuals in attendance;
(III)
the affiliations of all individuals in attendance;
(IV)
a summary description of the presentation; and
(V)
a statement that the subject matter of the communications did not relate to any pending
adjudicatory proceeding before the Commission.
(VI)
If materials were provided to the Commissioner during the meeting, those materials must
be identified in the letter and attached to the filing.
(d)
The disclosure letter and any materials will become part of the official record of the proceeding.
1112. – 1199.
[Reserved].
FORMALITIES
1200.
Parties, Amicus Curiae, Non-Parties.
(a)
Parties shall include any person who:
(I)
initiates action through the filing of a complaint, application, or petition, except petitions
for rulemaking;
(II)
appeals an emergency decision in a pipeline safety matter concerning public safety,
health, or welfare;
(III)
has filed a tariff, price list, or time schedule, which tariff, price list, or time schedule the
Commission has suspended and set for hearing;
(IV)
is served as a respondent under rule 1302;
(V)
intervenes as of right or is granted permissive intervention under rule 1401; or
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(VI)
is joined as a party to any Commission proceeding by Commission decision.
st, or time schedule, which tariff, price list, or time schedule the
Commission has suspended and set for hearing;
(IV)
is served as a respondent under rule 1302;
(V)
intervenes as of right or is granted permissive intervention under rule 1401; or
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(VI)
is joined as a party to any Commission proceeding by Commission decision.
(b)
Persons participating solely through public, academic, or policy comments are not parties.
(c)
A non-party who desires to present legal argument to assist the Commission in arriving at a just
and reasonable determination of a proceeding may move to participate as an amicus curiae. The
motion shall identify why the non-party has an interest in the proceeding, shall identify the issues
that the non-party will address through argument, and shall explain why the legal argument may
be useful to the Commission. An amicus curiae is not a party, and may present a legal argument
only, as permitted by the Commission. The arguments of amicus curiae shall not be considered
as evidence in the proceeding and shall not become part of the evidentiary record. All requests
for amicus curiae status may be accepted or declined at the Commission's discretion. Unless
ordered otherwise, the filing deadlines governing amicus curiae shall correspond to the deadlines
applicable to the parties' opening statements of position, legal briefs or responses to motions.
(d)
Persons participating in certain non-adjudicatory proceedings, e.g., rulemaking proceedings and
administrative proceedings, are not parties. For ease of reference, such persons shall be referred
to as “participants”. Participants are generally subject to the same rules regulating confidentiality
as are parties.
1201.
Attorneys.
(a)
A party or an amicus curiae shall be represented by an attorney at law, currently in good standing
before the Colorado Supreme Court or the highest tribunal of another state as authorized in rule
205.4, C.R.C.P.
ease of reference, such persons shall be referred
to as “participants”. Participants are generally subject to the same rules regulating confidentiality
as are parties.
1201.
Attorneys.
(a)
A party or an amicus curiae shall be represented by an attorney at law, currently in good standing
before the Colorado Supreme Court or the highest tribunal of another state as authorized in rule
205.4, C.R.C.P.
(b)
Notwithstanding paragraph (a) of this rule, an individual who is not an attorney may represent:
(I)
his or her own interests;
(II)
the interests of a closely held entity, subject to and in accordance with § 13-1-127,
C.R.S., after demonstrating eligibility to do so in the closely held entity's initial application
or petition or its motion for intervention;
(III)
a partnership, corporation, association, or any other entity in order to complete forms that
do not require any knowledge or skill beyond that possessed by the ordinarily
experienced and intelligent layman;
(IV)
a partnership, corporation, association, or any other entity in a proceeding involving the
adoption of a rule of future effect where no vested rights of liberty or property are at
stake; or
(V)
a partnership, corporation, association or any other entity, solely to provide public,
academic or policy comments, pursuant to rule 1509. In no event shall a non-attorney
representative take actions that constitute the practice of law.
(c)
No attorney shall appear before the Commission in any proceeding until the attorney has entered
an appearance by filing an entry of appearance, signing a pleading, or stating the entry of
appearance for the record. An entry of appearance shall state the identity of the party for whom
the appearance is made, the attorney's office address, the attorney's telephone number, e-mail
address, and the attorney's registration number. If the attorney's address, telephone number or e-
mail address changes during a proceeding the attorney shall file in the proceeding a notice that
includes the updated information.
cord. An entry of appearance shall state the identity of the party for whom
the appearance is made, the attorney's office address, the attorney's telephone number, e-mail
address, and the attorney's registration number. If the attorney's address, telephone number or e-
mail address changes during a proceeding the attorney shall file in the proceeding a notice that
includes the updated information.
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(d)
An attorney of record who wishes to withdraw from a proceeding shall file a notice of withdrawal.
The notice of withdrawal shall include a list of all pending hearing and procedural dates and shall
be served in accordance with rule 1205, and on the party represented by the withdrawing
attorney. The withdrawing attorney shall specifically advise the party represented of its right to
object. Objections to withdrawal of an attorney shall be filed within ten days of the filing of the
notice. If any objection is made, no substitution or withdrawal shall occur without a decision of the
Commission.
1202.
Form and Content of Pleadings.
(a)
Unless the Commission orders otherwise, every pleading shall comply with the following
requirements: Pleadings other than pre-printed forms shall be printed or electronically formatted
on 8 1/2” x 11” white pages, with one-inch margins at the top, bottom, and both sides of each
page, excluding page numbering, and shall be bound with removable bindings. Page numbers
shall be in the bottom center of each page excluding the cover page, except that for written
testimony page numbers may be included in a header. The text shall be at least 12-point type and
double spaced, except for indented quotations and footnotes which may be single-spaced. If filed
testimony exceeds 20 pages and deals with more than one subject, the filed testimony shall
contain a table of contents.
be in the bottom center of each page excluding the cover page, except that for written
testimony page numbers may be included in a header. The text shall be at least 12-point type and
double spaced, except for indented quotations and footnotes which may be single-spaced. If filed
testimony exceeds 20 pages and deals with more than one subject, the filed testimony shall
contain a table of contents.
(b)
Captions and titles of pleadings.
(I)
The caption of an application or petition proceeding shall be authored by the filing party
and shall contain the name of the applicant or petitioner, describe the authority or
decision being sought from the Commission with sufficient specificity to distinguish the
application or petition from other proceedings, and briefly describe the subject matter of
the proceeding. If the application or petition relates to a previous proceeding, the caption
of the application or petition proceeding shall identify the previous proceeding by
proceeding number.
(II)
Captions for advice letter and tariff proceedings shall be authored by the Commission’s
administrative staff and shall contain the name of the filer, the advice letter number, the
tariff number or numbers, the proposed effective date and a short description of the
requested change in tariff rates, terms and/or conditions.
(III)
The title of a pleading shall include a heading “Before the Public Utilities Commission of
the State of Colorado” and a short description of the pleading. The first page of every
pleading shall contain the proceeding caption, proceeding number and title.
(c)
Every pleading shall include a clear and concise statement of the authority relied upon, the relief
sought, and the name, including trade name, if any, of the party or the party's attorney.
“Before the Public Utilities Commission of
the State of Colorado” and a short description of the pleading. The first page of every
pleading shall contain the proceeding caption, proceeding number and title.
(c)
Every pleading shall include a clear and concise statement of the authority relied upon, the relief
sought, and the name, including trade name, if any, of the party or the party's attorney.
(d)
No pleading shall be more than 30 pages in length, excluding attachments. Attachments shall not
be used to evade the page limitation in this rule. The cover sheet, table of contents, certificate of
mailing, copies of authorities cited, and copies of a decision that may be the subject matter of the
pleading shall not be included for calculating the length of the pleading.
(e)
Every pleading of a party represented by an attorney shall be signed by the attorney, and shall
state the attorney’s address, telephone number, e-mail address, and attorney registration
number. A pleading of a party not represented by an attorney shall be signed by a person with
authority to bind the party, and shall state the person’s title, address, telephone number, and e-
mail address. The signature of an attorney or party certifies that the signatory has read the filing;
that to the best of the signatory’s knowledge, information, and belief there are good grounds to
support it; and that it is not interposed for any improper purpose, such as to harass, delay, or
increase the cost of the litigation.
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ddress. The signature of an attorney or party certifies that the signatory has read the filing;
that to the best of the signatory’s knowledge, information, and belief there are good grounds to
support it; and that it is not interposed for any improper purpose, such as to harass, delay, or
increase the cost of the litigation.
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(f)
Written testimony is not subject to paragraphs (d) and (e) of this rule. When written testimony is
filed, it shall meet the following requirements.
(I)
Each page shall have a header in the upper right corner of the page. The header shall
include the title of the document and the page number.
(II)
The first page of the document shall be numbered as page 1, with each additional page
numbered in sequence. No page of a filing of written testimony shall be without a page
number and only one set of page numbers shall be used in a filing of written testimony.
(III)
Each line shall be serially numbered in the left margin, beginning with “1” on each page.
(IV)
The cover sheet for written testimony shall contain the proceeding number, the caption of
the proceeding, the name of the witness and the party for whom the witness is testifying,
the date on which the testimony is filed, and whether it is direct, answer, cross-answer,
rebuttal, surrebuttal, or other testimony.
(V)
Each type of a witness’ testimony (e.g., direct, answer, rebuttal and cross-answer)
including any attachments, shall be a single exhibit during hearing and marked using one
hearing exhibit number. Each witness’ attachments to testimony shall be numbered
sequentially using the witness’ initials followed by the number of the attachment. For
example, attachments to the testimony of John Q. Public would be identified as JQP-1,
JQP-2, etc. regardless of whether it is direct, answer, cross-answer, or other testimony.
The first page of each attachment shall be numbered as “page 1” consistent with
subparagraph (f)(II) of this rule
imony shall be numbered
sequentially using the witness’ initials followed by the number of the attachment. For
example, attachments to the testimony of John Q. Public would be identified as JQP-1,
JQP-2, etc. regardless of whether it is direct, answer, cross-answer, or other testimony.
The first page of each attachment shall be numbered as “page 1” consistent with
subparagraph (f)(II) of this rule.
(VI)
Attachments included with written testimony and submitted through the E-Filings System
shall be numbered in sequence and separately uploaded as secondary documents to the
primary written testimony.
(VII)
The Commission may permit minor revisions to written testimony and attachments by a
witness on the witness stand, and may permit more extensive revisions by allowing the
filing of revised testimony and attachments using the same Arabic numeral as the original
with a hyphenated designation that the testimony is revised, such as “Attachment JQP-1,
2d Rev.” All revisions other than those of a minor nature shall be filed promptly with the
Commission and served on all parties. Such filed revisions of testimony and/or
attachments shall include a cover page that contains a list of the revisions made, as well
as a complete copy, not just individual pages, of the testimony and/or attachments
revised.
(VIII)
All written testimony shall include a signed affidavit from the witness.
(g)
When the E-Filings System is used to file multiple documents as a single filing (e.g., an
application with a related motion, a motion with attachments, or an advice letter with related tariff
pages), the primary document and each secondary document must be separately identified and
separately uploaded.
nts
revised.
(VIII)
All written testimony shall include a signed affidavit from the witness.
(g)
When the E-Filings System is used to file multiple documents as a single filing (e.g., an
application with a related motion, a motion with attachments, or an advice letter with related tariff
pages), the primary document and each secondary document must be separately identified and
separately uploaded.
(h)
When multiple documents are filed as a single paper filing (e.g., an application with a related
motion, a motion including attachments, or an advice letter with related tariff pages), the primary
document and each secondary document must be separately identified and separated through
the use of blank slip sheets.
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1203.
Time.
(a)
When the day for the performance of any act under these rules, the effective date of any decision
or order, or the day upon which a document must be filed, falls on a Saturday, Sunday, legal
holiday, or any other day when the Commission's office is lawfully closed, then the day for
performance or the effective date shall be continued until 5:00 p.m. Mountain Time on the next
business day.
(b)
Unless a decision of the Commission or a specific rule provides otherwise, the date shown in the
certificate of service or the mailed date on Commission decisions or notices shall be used in
calculating relevant deadlines.
(c)
Except in the calculation of notice, a calculation of a period of days shall exclude the first day and
include the last day. In calculating the period of notice in days, neither the date on which the
notice is filed with the Commission nor the last day is included. The entire notice period must
expire prior to the proposed effective date of a tariff.2
1204.
Filing.
culating relevant deadlines.
(c)
Except in the calculation of notice, a calculation of a period of days shall exclude the first day and
include the last day. In calculating the period of notice in days, neither the date on which the
notice is filed with the Commission nor the last day is included. The entire notice period must
expire prior to the proposed effective date of a tariff.2
1204.
Filing.
(a)
Unless a decision of the Commission or a specific rule provides otherwise:
(I)
Persons making a filing may file either an electronic document through the E-Filings
System or a paper document. However, paper documents shall not be filed with the
Commission if the documents are filed through the E-Filings System. All documents filed
through the E-Filings System shall be uploaded to the system in a text-searchable format
when possible.
(II)
When filing through the E-Filings System, the filing party must enter the title of a filing in
title case format, i.e., the first letter of each word is capitalized, except for certain small
words such as articles and short prepositions.
(III)
Filings made in paper copy shall include an original and three copies.
(IV)
Unless filing through the E-Filings System, a person filing an annual report shall file an
original and one copy. The filing shall also include one executable, read-only electronic
copy, unless filing an electronic copy would be infeasible. If a person files an annual
report through the E-Filings System, the report shall be uploaded to the system in an
executable format.
nal and three copies.
(IV)
Unless filing through the E-Filings System, a person filing an annual report shall file an
original and one copy. The filing shall also include one executable, read-only electronic
copy, unless filing an electronic copy would be infeasible. If a person files an annual
report through the E-Filings System, the report shall be uploaded to the system in an
executable format.
(b)
All filings must be received at the Commission's office during normal business hours, 8:00 a.m. to
5:00 p.m. Mountain Time, Monday through Friday. Any document received for filing after normal
business hours shall be deemed filed as of 8:00 a.m. Mountain Time, the following business day.
Although the Commission’s E-Filings System is generally available 24 hours a day, seven days a
week, a document transmitted to the E-Filings System shall be deemed filed with the Commission
pursuant to the business hours specified in this paragraph.
(c)
A person wishing to receive a date stamped copy of any paper filing shall file one copy in addition
to the requirements of paragraph (a) of this rule. If the person desires that the Commission mail
the date stamped copy of the paper filing, the person shall also include a self-addressed
envelope with adequate postage affixed.
2 For example, if a tariff has a 30-day notice period requirement, a tariff filed on June 1 could, at the earliest, have an effective date
of July 2. A tariff filed on July 1 could, at the earliest, have an effective date of August 1.
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1205.
Service.
shall also include a self-addressed
envelope with adequate postage affixed.
2 For example, if a tariff has a 30-day notice period requirement, a tariff filed on June 1 could, at the earliest, have an effective date
of July 2. A tariff filed on July 1 could, at the earliest, have an effective date of August 1.
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1205.
Service.
(a)
A person filing any pleading or other document shall serve a copy, including all supporting
attachments or exhibits, on every other party and amicus curiae in the proceeding, except that the
Director shall serve a complaint as provided in rule 1302(g). Such service shall include service
upon the Commission's assigned trial staff and advisory staff. Except as provided in rule 1205(c)
and rule 1302(g), service shall be made by hand or through mailing on the same day the
document is filed, unless a party expressly agrees by a signed waiver to accept service via fax, or
is registered in the E-Filings System. Service required by this paragraph (a) may alternatively be
made by e-mail, unless the party or amicus curiae to be served previously files a notice in such
proceeding that service will not be accepted through e-mail.
(b)
All registered filers in the E-Filings System must have expressly agreed, through attestation, to
accept service in all Commission proceedings through the E-Filings System. Filing through the E-
Filings System constitutes service on all assigned trial staff, advisory staff, and registered users
of the system.
(c)
In accelerated complaint proceedings:
(I)
the complainant shall serve the complaint upon the respondent; and
(II)
all pleadings and motions shall be served on the same day they are filed either by e-mail
and by hand; by e-mail and overnight delivery, or through the E-Filings System.
Discovery shall be accomplished pursuant to rule 1405.
taff, advisory staff, and registered users
of the system.
(c)
In accelerated complaint proceedings:
(I)
the complainant shall serve the complaint upon the respondent; and
(II)
all pleadings and motions shall be served on the same day they are filed either by e-mail
and by hand; by e-mail and overnight delivery, or through the E-Filings System.
Discovery shall be accomplished pursuant to rule 1405.
(d)
Service upon a private corporation, partnership, or unincorporated association may be made by
delivering a copy to one or more of the officers, partners, associates, managers, or designated
agents thereof. When an attorney represents a party, service shall also be made upon the
attorney. Where a party is represented by an attorney of record and is not registered in the E-
Filings System, service upon the party is complete upon service to the attorney of record. If more
than one attorney who is not registered in the E-Filings System represents a party, service is
complete upon service to one of those attorneys. Where a party is represented by more than one
attorney, some of whom are registered in the E-Filings System and some of whom are not,
service is complete upon service to those registered users of the E Filings System only.
(e)
Proof of service of a filing shall be demonstrated through one or more certificates of service
identifying the document served and filed with the Commission. Certificates of service may be
filed in paper, filed through the E-Filings System, or they can be systematically created and
attached in the filing process through the E-Filings System. For any filing for which there is no
certificate of service demonstrating service upon an amicus curiae, a pro se party, or a party's
counsel of record in any of the identified forms, the Commission will presume that the document
has not been served on omitted amici, parties or counsel of record. This presumption may be
overcome by evidence of proper service.
process through the E-Filings System. For any filing for which there is no
certificate of service demonstrating service upon an amicus curiae, a pro se party, or a party's
counsel of record in any of the identified forms, the Commission will presume that the document
has not been served on omitted amici, parties or counsel of record. This presumption may be
overcome by evidence of proper service.
(f)
All interrogatories, requests for production, and requests for admission may be served by hand,
through mailing by first class mail, or by fax if a person expressly agrees by a signed waiver to
accept service via fax. Service required by this paragraph (f) may alternatively be made by e-mail,
unless the person to be served previously files a notice in such proceeding that service will not be
accepted through e-mail.
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1206.
Commission Notice – Generally.
(a)
Except as provided in paragraph (c) of this rule, the Commission shall, within 15 days of the date
an application or petition is filed, provide notice of the application or petition to any person who in
the opinion of the Commission may be affected by the grant or denial of the application or
petition. Unless a mailed notice is required by Commission decision or specific rule, the
Commission shall give notice of applications or petitions to all persons through the E-Filings
System.
(b)
The notice required by paragraph (a) of this rule shall state the following:
(I)
the name and address of the applicant or petitioner;
(II)
the caption and proceeding number of the proceeding;
(III)
the date the application or petition was filed;
(IV)
a brief description of the purpose and scope of the application or petition;
(V)
whether the applicant has filed testimony and is seeking a Commission decision within
120 days, or has waived the time limits under § 40-6-109.5, C.R.S.;
(VI)
the date by which any objection, notice of intervention as of right, motion to permissively
intervene, testimony or any other
ation or petition was filed;
(IV)
a brief description of the purpose and scope of the application or petition;
(V)
whether the applicant has filed testimony and is seeking a Commission decision within
120 days, or has waived the time limits under § 40-6-109.5, C.R.S.;
(VI)
the date by which any objection, notice of intervention as of right, motion to permissively
intervene, testimony or any other document must be filed;
(VII)
the date by which Commission staff must file any objection, notice of intervention,
testimony, or any other document, if different from the date(s) fixed in subparagraph
(b)(VI) of this rule;
(VIII)
a statement that the Commission may consider the application or petition without a
hearing if:
(A)
no notice of intervention as of right or motion to permissively intervene is timely
filed, or
(B)
no notice of intervention as of right or motion to permissively intervene requests a
hearing and contests or opposes the application or petition; and
(IX)
a statement that any person who files an objection, notice of intervention as of right,
motion to permissively intervene, testimony, or any other document shall do so in
accordance with the instructions set forth in the notice; and that the Commission may
dismiss or strike any such document not filed in accordance with the instructions set forth
in the notice.
(c)
Nothing in paragraph (a) of this rule shall require the Commission to provide notice of:
(I)
an application or petition that does not reasonably specify the information required by
subparagraph (b)(IV) of this rule;
(II)
a restrictive amendment of any pleading;
(III)
a petition for declaratory order or a petition for rulemaking, until the Commission in its
discretion opens a proceeding regarding such a petition;
(IV)
a regulated intrastate carrier application that does not include the requisite filing fee; or
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(V)
a regulated intrastate carrier application for emergency temporary authority.
petition for declaratory order or a petition for rulemaking, until the Commission in its
discretion opens a proceeding regarding such a petition;
(IV)
a regulated intrastate carrier application that does not include the requisite filing fee; or
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(V)
a regulated intrastate carrier application for emergency temporary authority.
(d)
Unless shortened by Commission decision or rule, the intervention period for notice mailed by the
Commission shall expire 30 days after the mailing date. The Commission shall re-notice any
application or petition that, through amendment or otherwise, is changed in any manner that
broadens the application's or petition's purpose or scope.
(e)
In addition to complying with § 24-4-103, C.R.S., the Commission shall provide a notice of
proposed rulemaking to: each regulated entity that may be affected; each person who previously
notified the Commission in writing that he or she desires notice of proposed rulemaking
proceedings; each person who registered to receive notification of rulemakings though the E
Filings System; and any other person who in the opinion of the Commission may be interested in
or affected by the rulemaking proceedings.
1207.
Utility Notice.
(a)
A utility, other than a rail carrier, motor carrier, or intrastate telecommunications provider, filing to
change, on thirty days’ notice, any rate, fare, toll, rental, charge, classification, or in any rule,
regulation, or contract relating to or affecting any rate, fare, toll, rental, charge, classification, or
service or in any privilege or facility shall provide notice in accordance with the requirements of §
40-3-104(1)(c)(I), C.R.S.
(I)
A utility, other than a rail carrier, motor carrier, or intrastate telecommunications provider
filing to change any rate, fare, toll, rental, charge, classification, or service on less than
statutory notice shall provide notice in accordance with the requirements of § 40-3-
104(2), C.R.S
ivilege or facility shall provide notice in accordance with the requirements of §
40-3-104(1)(c)(I), C.R.S.
(I)
A utility, other than a rail carrier, motor carrier, or intrastate telecommunications provider
filing to change any rate, fare, toll, rental, charge, classification, or service on less than
statutory notice shall provide notice in accordance with the requirements of § 40-3-
104(2), C.R.S.
(II)
A utility that provides regulated intrastate telecommunications services filing to change
any rate, charge, term, or condition for any regulated telecommunications service shall
provide notice in accordance with the requirements of § 40-3-104(1)(c)(V), C.R.S.
(b)
A utility may also file a request for an alternative form of notice pursuant to § 40-3-104(1)(c)(I)(E),
C.R.S. Such request shall be in the form of a motion filed as a separate pleading within the
proceeding in which the utility is proposing a change to its rates or schedules. The utility’s motion
shall address each of the forms of notice set forth in § 40-3-104(1)(c)(I)(A) through (D), C.R.S.,
and explain why the utility seeks an alternative. No responses to such motions shall be allowed,
except if Trial staff or the UCA opposes a motion requesting an alternative form of notice, they
each may file a response within two business days of the filing of the motion.
(c)
A utility that files an application to make a refund shall, within three days of filing the application,
publish notice of the application in a newspaper of general circulation
responses to such motions shall be allowed,
except if Trial staff or the UCA opposes a motion requesting an alternative form of notice, they
each may file a response within two business days of the filing of the motion.
(c)
A utility that files an application to make a refund shall, within three days of filing the application,
publish notice of the application in a newspaper of general circulation. The notice shall include the
following information:
(I)
the name and address of the utility;
(II)
a statement that the utility has filed an application with the Colorado Public Utilities
Commission for approval of its proposed refund plan;
(III)
a statement summarizing the amount of the refund, the date for making the refund, the
date the refund is anticipated to be completed, and the manner in which the refund is
proposed to be made;
(IV)
a statement that the application is available for inspection at each local office of the utility
and at the Colorado Public Utilities Commission;
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(V)
a statement that any person may file with the Commission a written objection to the
application, or may file to intervene to participate as a party, and an explanation that a
mere objection without an intervention shall not be adequate to permit participation as a
party; and
(VI)
a statement that written objections and interventions must be filed by the time listed in the
notice separately given by the Colorado Public Utilities Commission.
(d)
All persons who are required to provide notice shall, within 15 days of providing notice, file an
affidavit with the Commission stating the date notice was completed and the method used to
provide it, accompanied by a copy of the notice or notices provided.
(e)
The Commission may order an applicant or a petitioner to provide such additional notice as the
Commission deems appropriate as provided pursuant to § 40-3-104, C.R.S.
to provide notice shall, within 15 days of providing notice, file an
affidavit with the Commission stating the date notice was completed and the method used to
provide it, accompanied by a copy of the notice or notices provided.
(e)
The Commission may order an applicant or a petitioner to provide such additional notice as the
Commission deems appropriate as provided pursuant to § 40-3-104, C.R.S.
(f)
In all cases, notice shall contain adequate information to enable interested persons to be
reasonably informed of the purpose of the matter noticed.
(g)
Compliance tariff filings.
(I)
Unless the Commission orders otherwise, a utility shall be permitted to file tariffs on not
less than two business days’ notice complying with a decision of the Commission that
establishes a tariff at issue either in a previously suspended advice letter proceeding or
an application filed pursuant to § 40-3-104(2), C.R.S. Proposed tariff filings must include
a proposed effective date when filed in such original proceeding to meet the requirements
of this rule. No additional notice shall be required.
(II)
A compliance tariff filing shall require notice of not less than 30 days for a tariff without a
proposed effective date when filed. Unless the utility demonstrates it provided notice to its
customers when it filed the original proceeding, notice of the compliance tariff filing shall
be in accordance with the requirements of § 40-3-104(1), C.R.S.
(III)
A tariff filing is considered to be a compliance filing when a draft proposed tariff is in the
record of the original proceeding, the tariff is the subject of a Commission decision, and
the tariff agrees in both substance and timing as determined in that decision. All
compliance filings shall be made as a new advice letter proceeding. A notification shall
also be filed on the same date as the compliance filing in the proceeding authorizing the
compliance filing that identifies the compliance filing (e.g., advice letter number and date).
1208.
Adoptions and Adoption Notices.
, and
the tariff agrees in both substance and timing as determined in that decision. All
compliance filings shall be made as a new advice letter proceeding. A notification shall
also be filed on the same date as the compliance filing in the proceeding authorizing the
compliance filing that identifies the compliance filing (e.g., advice letter number and date).
1208.
Adoptions and Adoption Notices.
(a)
When the Commission authorizes the transfer of control of one utility to another utility, or when a
utility's name changes, the utility which will afterwards operate under the certificate shall file with
the Commission an adoption notice, in a form available from the Commission. The adoption
notice shall also adopt tariffs and price lists if applicable. The utility shall also post the adoption
notice in a prominent public place in each business office of the utility, and shall make the
adoption notice available for public inspection at each office.
(b)
Within ten business days following the filing of the adoption notice, the utility shall file a
compliance advice letter and tariff pursuant to subparagraph 1210(c)(III), if applicable.
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1209.
[Reserved].
1210.
Tariffs and Advice Letters.
(a)
General.
(I)
All utilities, unless specifically exempted by the Commission, shall have current tariffs for
all jurisdictional services on file with the Commission.
(II)
The utility shall have its current tariff available for public inspection at its principal place of
business during normal business hours. The utility shall post its tariffs on its website.
(III)
The utility shall file with the Commission an advice letter, the proposed tariff pages, any
supporting documentation, and any supporting testimony, including attachments. Unless
such filing is made through the E-Filings System, the original and three copies must be
filed.
(IV)
Format and required contents
siness during normal business hours. The utility shall post its tariffs on its website.
(III)
The utility shall file with the Commission an advice letter, the proposed tariff pages, any
supporting documentation, and any supporting testimony, including attachments. Unless
such filing is made through the E-Filings System, the original and three copies must be
filed.
(IV)
Format and required contents. Utilities shall file proposed tariffs using the form available
from the Commission or from its website and shall provide the information required by the
form.
(V)
The Commission will provide notice by electronic posting in the E-Filings System within
seven days of the receipt of an advice letter and tariff.
(VI)
Effective date calculation. In calculating the proposed effective date of a tariff, the date on
which the tariff is filed with the Commission shall not be counted. The entire notice period
must expire prior to the proposed effective date of the tariff. See also rule 1203(c).
(VII)
Any person affected by a tariff change proposed under this rule may submit a written
protest to the proposed change. Any protest must be filed sufficiently in advance of the
effective date to permit Commission consideration before the tariff becomes effective,
generally at least ten days before the effective date of the proposed tariff.
(VIII)
Hearing and suspension. When a utility files a proposed tariff, the Commission may
suspend the proposed tariff’s effective date by ordering that a hearing be held. Pending
hearing and decision, the proposed tariff shall not go into effect. The period of
suspension shall not extend more than 120 days beyond the proposed effective date of
the tariff, unless the Commission, by separate decision, extends the period of suspension
for an additional period not to exceed 130 days.
n may
suspend the proposed tariff’s effective date by ordering that a hearing be held. Pending
hearing and decision, the proposed tariff shall not go into effect. The period of
suspension shall not extend more than 120 days beyond the proposed effective date of
the tariff, unless the Commission, by separate decision, extends the period of suspension
for an additional period not to exceed 130 days.
(b)
Tariffs.
(I)
Contents. In addition to the utility’s rates, classifications, rules, regulations, forms of
contracts, terms, conditions, and service offerings, the following shall be included in the
tariff:
(A)
a title page including:
(i)
the utility's name and trade name, address, website address, and
telephone number, including a toll free customer service telephone
number, if applicable; and
(ii)
a general statement of the services to which the tariff applies;
(B)
a table of contents;
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(C)
an explanation of the tariff’s paragraph numbering sequence;
(D)
a list explaining tariff change symbols. At a minimum, the following symbols shall
be used:
Symbol
Signifying
C
Change in text due to a changed regulation, term, or condition, that does not
affect rates.
D
Discontinued service or deleted material.
I
Rate increase.
R
Rate reduction.
M
Material moved from or to another part of the utility’s tariff; a footnote
indicating where the material was moved from and where the material was
moved to shall accompany all “M” classified changes.
N
New material, including new products, services, rates, terms, or conditions.
T
Change in text not related to changes in rates, charges, terms, or conditions.
(E)
a list of all abbreviations and definitions used in the tariff;
(F)
identification of the utility's types of service and service territory, as applicable, to
which the tariff applies;
(G)
provisions regarding the following, as applicable;
New material, including new products, services, rates, terms, or conditions.
T
Change in text not related to changes in rates, charges, terms, or conditions.
(E)
a list of all abbreviations and definitions used in the tariff;
(F)
identification of the utility's types of service and service territory, as applicable, to
which the tariff applies;
(G)
provisions regarding the following, as applicable;
(i)
line extensions;
(ii)
customer deposits;
(iii)
return check charges consistent with § 13-21-109, C.R.S.;
(iv)
disconnection, discontinuance, and restoration of service;
(v)
billing and payments;
(vi)
liability limitations;
(vii)
late payment charges; and
(viii)
customer and utility responsibilities, obligations, duties, and rights; and
(H)
the following information, on each tariff page:
(i)
utility's name;
(ii)
the tariff number (“Colorado PUC No. ___”), running consecutively for
each subsequent tariff filing;
(iii)
if applicable, the number of the tariff being canceled (“Cancels PUC No.
___”);
(iv)
the tariff title, which identifies the types of services included in the tariff;
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(v)
the tariff page numbers (e.g., “Original Sheet No. 34”); or, if the page
cancels another page, a listing of the canceled page number shall be
included (e.g., “First Revised Sheet No. 34”, “Cancels Original Sheet No.
34”);
(vi)
relevant section or heading captions;
(vii)
an identification of the corresponding advice letter number implementing
the tariff or the tariff change and an identification of the corresponding
Commission decision number, if applicable; and
(viii)
the tariff or tariff page’s effective date, and, if applicable, the tariff or tariff
page’s cancellation date.
34”, “Cancels Original Sheet No.
34”);
(vi)
relevant section or heading captions;
(vii)
an identification of the corresponding advice letter number implementing
the tariff or the tariff change and an identification of the corresponding
Commission decision number, if applicable; and
(viii)
the tariff or tariff page’s effective date, and, if applicable, the tariff or tariff
page’s cancellation date.
(c)
Advice letters.
(I)
Filing with tariff. A utility shall file an advice letter with each tariff filing.
(II)
The advice letter shall include:
(A)
the utility's name, trade name, if any, and address;
(B)
the sequentially numbered identification of the advice letter;
(C)
an identification of the corresponding tariff number;
(D)
an identification of the corresponding Commission proceeding number and
decision number, if applicable;
(E)
a brief description of the tariff or tariff changes, which at a minimum shall include:
(i)
affected classes of service;
(ii)
affected classes of customers;
(iii)
whether the tariff contains an increase in rates, a decrease in rates, or
both;
(iv)
whether the tariff changes terms or conditions; and
(v)
whether the tariff makes textual changes;
(F)
an identification of tariff page numbers included in the filing;
(G)
if applicable, a listing of revised page numbers and/or canceled page numbers;
(H)
the tariff's or tariff page’s proposed effective date;
(I)
the name, telephone number, and email address of the person to contact
regarding the filing; and
(J)
the signature of the agent of the utility authorized to file the advice letter.
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(G)
if applicable, a listing of revised page numbers and/or canceled page numbers;
(H)
the tariff's or tariff page’s proposed effective date;
(I)
the name, telephone number, and email address of the person to contact
regarding the filing; and
(J)
the signature of the agent of the utility authorized to file the advice letter.
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(III)
If there is a change in any information contained in the title page of the tariff, the utility
shall file an advice letter with the new information and the new title page. The advice
letter and title page may be filed on not less than five-days' notice, if the only revision to
the tariff is to provide the new information on the title page.
(IV)
The advice letter shall be filed in the prescribed form as available from the Commission.
1211.
E-Filings System.
(a)
Corrections or other modifications primarily affecting Commission recordkeeping and
searchability of information. Upon request or observation, Commission staff will actively monitor
and correct the following information input during the electronic filing process through the E-
Filings System: typographical errors, document title and the document type. When making a
change to a document in the E-Filings System, Commission staff will send an e-mail to registered
filers in the E-Filings System for that proceeding notifying them of the change if, in its estimation,
the change may cause confusion to the parties in the proceeding.
(b)
Other corrections or modifications. To avoid prejudice to recipients of information through the E-
Filings System, the filer must effectuate any other modification to e-filing inputs, including without
limitation, the name of the person on behalf of whom the filing was made, filing date, proceeding
number, claimed confidentiality, and service recipients. Such filer action may be initiated by
motion or in accordance with paragraph (d) below.
prejudice to recipients of information through the E-
Filings System, the filer must effectuate any other modification to e-filing inputs, including without
limitation, the name of the person on behalf of whom the filing was made, filing date, proceeding
number, claimed confidentiality, and service recipients. Such filer action may be initiated by
motion or in accordance with paragraph (d) below.
(c)
Information contained within the documents submitted through the E-Filings System must be
consistent with the information input in the fields required in the E-Filings System. To the extent of
any conflict between information input in the e-filing process and documents electronically
attached or associated with the filing, the information input in the e-filing process shall prevail.
(d)
Procedure for expedited relief. In addition to other relief available, the following expedited relief is
available when a filer experiences technical difficulties while using or attempting to make a filing
through the E-Filings System:
(I)
within one business day after a filer experiences technical difficulty, or e-files an
erroneous filing, the filer may file a statement containing, without limitation:
(A)
a description of the difficulty or error;
(B)
an identification of all proceedings affected by the difficulty or error;
(C)
an identification of all electronic filings affected by the difficulty or error;
(D)
a description of all actions taken to notify those affected by the difficulty or error;
(E)
a verification that the filer undertook reasonable effort to notify those affected by
the difficulty or error; and
(F)
if the e-filing was filed in an unintended proceeding, a statement as to whether
the filing should be administratively stricken from the unintended or improper
proceeding.
(II)
The filer's statement shall be filed both in the proceeding in which the erroneous filing
was submitted and the proceeding originally intended or attempted to be filed
tify those affected by
the difficulty or error; and
(F)
if the e-filing was filed in an unintended proceeding, a statement as to whether
the filing should be administratively stricken from the unintended or improper
proceeding.
(II)
The filer's statement shall be filed both in the proceeding in which the erroneous filing
was submitted and the proceeding originally intended or attempted to be filed.
(III)
A copy of the correct filing shall be filed with the statement in the correct proceeding.
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(IV)
Upon filing of a statement in compliance with this rule, the corrected filing shall be
accepted nunc pro tunc to the date it was first attempted to be filed electronically. The
filing date will be changed administratively to reflect this acceptance.
(V)
Unless requested otherwise and pursuant to the statement filed in compliance with this
rule, Commission staff will administratively strike any original erroneous filing giving rise
to the filing of the statement described in this rule.
1212– 1299.
[Reserved].
PROCEEDINGS
1300.
Commencement of Proceedings.
Proceedings before the Commission may be commenced only through one of the following:
(a)
a complaint, by any interested person, or a show cause proceeding, including a proceeding for
civil penalties, as provided by rule 1302;
(b)
an application, as provided by rule 1303;
(c)
a petition, as provided by rule 1304;
(d)
a decision suspending and setting for hearing a proposed tariff, price list, or time schedule;
(e)
an appeal of an emergency decision in a pipeline safety matter concerning public safety, health,
or welfare;
(f)
a decision opening an administrative proceeding under rule 1307;
(g)
a notice of proposed rulemaking issued by the Commission; or
(h)
a report, in certain circumstances prescribed by statute, Commission decision, or Commission
rule.
1301.
Informal Complaints and Mediation.
schedule;
(e)
an appeal of an emergency decision in a pipeline safety matter concerning public safety, health,
or welfare;
(f)
a decision opening an administrative proceeding under rule 1307;
(g)
a notice of proposed rulemaking issued by the Commission; or
(h)
a report, in certain circumstances prescribed by statute, Commission decision, or Commission
rule.
1301.
Informal Complaints and Mediation.
(a)
An informal complaint is an informal, alternative dispute resolution tool used to avoid the costs
associated with litigation. Any person may register, orally or in writing, an informal complaint with
Commission staff expressing displeasure or dissatisfaction with a regulated entity.
(b)
In responding to or managing an informal complaint, Commission staff may:
(I)
explain to the informal complainant the Commission's jurisdiction or lack thereof;
(II)
forward to the informal complainant relevant informational packets or brochures;
(III)
investigate the informal complaint;
(IV)
refer the informal complaint to the affected regulated entity for a response;
(V)
file a formal complaint against the regulated entity, when specifically permitted by statute;
(VI)
request that the Commission issue an order to show cause;
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(VII)
offer mediation;
(VIII)
provide to the informal complainant information about how to file a formal complaint; or
(IX)
employ any combination of the above responses or techniques, or respond in any other
reasonably appropriate manner.
(c)
If Commission staff refers an informal complaint to a regulated entity for a response, the
regulated entity shall respond in writing within 14 days of the referral, or such lesser period as
Commission staff may require. Commission staff may only require a response period less than
five days if such period is reasonable under the circumstances of the informal complaint.
ably appropriate manner.
(c)
If Commission staff refers an informal complaint to a regulated entity for a response, the
regulated entity shall respond in writing within 14 days of the referral, or such lesser period as
Commission staff may require. Commission staff may only require a response period less than
five days if such period is reasonable under the circumstances of the informal complaint.
(d)
If the informal complainant and the regulated entity agree, Commission staff may refer an
informal complaint for mediation. If Commission staff refers the informal complaint for mediation:
(I)
nothing said or offered during mediation or settlement negotiations may be used in any
formal complaint proceeding against the person making the statement or offer; and
(II)
the mediator shall attempt to resolve the informal complaint within ten days of the
mediator's receipt of the mediation request, although the informal complainant and
regulated entity may consent to additional time.
(e)
A person may withdraw an informal complaint at any time.
1302.
Formal Complaints and Show Cause Proceedings.
(a)
Any person may file a formal complaint at any time. A formal complaint shall set forth sufficient
facts and information to adequately advise the respondent and the Commission of the relief
sought and, if known, how any statute, rule, tariff, price list, time schedule, decision, or agreement
memorialized, accepted, or approved by Commission decision is alleged to have been violated
Proceedings.
(a)
Any person may file a formal complaint at any time. A formal complaint shall set forth sufficient
facts and information to adequately advise the respondent and the Commission of the relief
sought and, if known, how any statute, rule, tariff, price list, time schedule, decision, or agreement
memorialized, accepted, or approved by Commission decision is alleged to have been violated. In
addition, a formal complaint shall meet the following requirements, as applicable:
(I)
a complaint that seeks to modify, limit, suspend, annul, or revoke a certificate, permit,
registration, license or other authority shall be signed and sworn by the complainant;
(II)
a complaint that claims unreasonable rates or charges of any gas, electric, water, or
telephone public utility shall comply with the provisions of § 40-6-108(1)(b), C.R.S.; and
(III)
a complaint against a cooperative electric association shall comply with the provisions of
§ 40-9.5-106, C.R.S., if applicable.
(b)
The Commission may impose a civil penalty, when provided by law. The Commission will
consider any evidence concerning some or all of the following factors:
(I)
the nature, circumstances, and gravity of the violation;
(II)
the degree of the respondent's culpability;
(III)
the respondent's history of prior offenses;
(IV)
the respondent's ability to pay;
(V)
any good faith efforts by the respondent in attempting to achieve compliance and to
prevent future similar violations;
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(VI)
the effect on the respondent's ability to continue in business;
(VII)
the size of the respondent's business; and
(VIII)
such other factors as equity and fairness may require.
ndent's ability to pay;
(V)
any good faith efforts by the respondent in attempting to achieve compliance and to
prevent future similar violations;
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(VI)
the effect on the respondent's ability to continue in business;
(VII)
the size of the respondent's business; and
(VIII)
such other factors as equity and fairness may require.
(c)
The Commission may expedite a formal complaint proceeding on its own motion or upon the
motion of a party if such motion shows good cause or the consent of all the parties, thereby
adjudicating the proceeding as an accelerated complaint. If the Commission expedites a formal
complaint, it shall enter a procedural decision that:
(I)
establishes the expedited schedule, including hearing dates;
(II)
details the limits, if any, that the Commission, in its discretion, places on discovery; and
(III)
requires compliance with the following paragraphs, if applicable: 1205(c); 1308(d);
1308(e); 1400(c); 1405(i); and 1409(b).
(d)
Formal complaints to enforce a telecommunication provider's interconnection duties or
obligations, and formal complaints regarding interconnection service quality matters, shall be
treated as accelerated telecommunication interconnection complaints if:
(I)
at least ten days prior to filing the complaint, the complainant has personally served upon
the respondent written notice of intent to file an accelerated complaint, together with
identification of the provision of any applicable law or agreement that the complainant
contends is not being complied with, and a description of the facts demonstrating any
alleged violation of any applicable law or agreement;
(II)
the complainant has attached to the complaint copies of all relevant non-confidential
documents, including correspondence and work papers;
(III)
the complaint includes a certification that any and all methods of dispute resolution
established in any applicable agreement, including escalation to higher levels of
management within the parties’ org
d violation of any applicable law or agreement;
(II)
the complainant has attached to the complaint copies of all relevant non-confidential
documents, including correspondence and work papers;
(III)
the complaint includes a certification that any and all methods of dispute resolution
established in any applicable agreement, including escalation to higher levels of
management within the parties’ organizations, have been exhausted;
(IV)
the complaint provides specific facts demonstrating that the complainant engaged in
good faith negotiations to resolve the disagreement, and that despite those negotiations
the parties failed to resolve the issue;
(V)
the complaint includes a certification of the complainant’s compliance with subparagraph
(d)(I) above; and
(VI)
on the same day as the complaint is filed with the Commission, the complainant serves a
copy of the complaint by hand-delivery or through the E-Filings System during normal
business hours on the person designated by the respondent to receive service of
process.
(e)
In complaint proceedings where discontinuance of service becomes an issue, the Commission or
an Administrative Law Judge may issue an interim decision to a regulated entity requiring it to
provide service pending a hearing:
(I)
if the customer has posted a deposit or bond with the regulated entity equal to the
amount in dispute or as otherwise prescribed by interim decision, the amount of which
may be increased, or the terms adjusted, by the Commission, Hearing Commissioner or
Administrative Law Judge as needed at any time while the dispute is pending;
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(II)
if the customer has previously made an informal complaint to the Commission, and
Commission staff investigation indicates probable success of the customer; or
(III)
upon such other good cause as the Commission may deem appropriate.
missioner or
Administrative Law Judge as needed at any time while the dispute is pending;
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(II)
if the customer has previously made an informal complaint to the Commission, and
Commission staff investigation indicates probable success of the customer; or
(III)
upon such other good cause as the Commission may deem appropriate.
(f)
Upon the filing of any formal complaint, except as provided in rule 1205(c), the Director shall
promptly serve the respondent with the complaint, an order to satisfy the complaint or file an
answer, and a notice setting the date, time, and location of the hearing. Except in the case of an
accelerated complaint, the order shall require the respondent to satisfy the complaint or file its
answer within 20 days of service of the order. If the complaint is an accelerated complaint the
order shall require the respondent to satisfy or answer within ten days. For accelerated
complaints, the Commission shall set the hearing to occur within 45 days of the filing of the
complaint. Unless all parties agree otherwise or the Commission finds exceptional circumstances
warrant, a hearing on an accelerated complaint may not be continued beyond 60 days after the
filing of the complaint.
(g)
Show cause proceedings. The Commission may issue a decision ordering a regulated entity to
appear before the Commission and explain why the regulated entity allegedly took certain actions
that violate Title 40 of the Colorado Revised Statutes, an effective Commission decision, or an
effective Commission rule, or allegedly failed to take action in contravention of the same, and why
the Commission should or should not grant some form of relief against the regulated entity. The
show cause decision shall issue on the Commission’s own motion or through the following
process.
(I)
Affidavit and proposed order to show cause
do Revised Statutes, an effective Commission decision, or an
effective Commission rule, or allegedly failed to take action in contravention of the same, and why
the Commission should or should not grant some form of relief against the regulated entity. The
show cause decision shall issue on the Commission’s own motion or through the following
process.
(I)
Affidavit and proposed order to show cause.
(A)
When Commission staff intends to request an order to show cause against any
regulated entity, the staff shall file an affidavit supporting a request for issuance
of an order to show cause and a proposed order to show cause with the
Commission and serve the same upon the regulated entity that is the subject of
the proposed order. The proposed order to show cause shall contain the request
being made, or relief sought by the party filing, and an identification of all
proposed parties to the proceeding. A supporting affidavit must accompany the
proposed order to show cause. The affidavit shall contain the following
information, at a minimum:
(i)
the name and address of the party that is the subject of the proposed
order to show cause;
(ii)
the name and address of the party that is proposing the order to show
cause;
(iii)
a clear statement of the facts and law which form the basis alleged for
the issuance of the decision;
(iv)
the relief, remedy, or sanction that may be ordered, including any
reparations, or an order to revoke, limit, or modify any authority granted
by the Commission; and
ect of the proposed
order to show cause;
(ii)
the name and address of the party that is proposing the order to show
cause;
(iii)
a clear statement of the facts and law which form the basis alleged for
the issuance of the decision;
(iv)
the relief, remedy, or sanction that may be ordered, including any
reparations, or an order to revoke, limit, or modify any authority granted
by the Commission; and
(v)
any supporting documents that will support the request for issuance of
an order to show cause.
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(B)
The affidavit, including any supporting documents attached, and a proposed
order to show cause, must be filed though the E-Filings System as a request for
a new proceeding. Upon receipt of the filing, the Director shall promptly serve the
respondent with a notice setting the date, time and location of a hearing before
an Administrative Law Judge.
(C)
The regulated entity may prepare a response or answer to the proposed order to
show cause, stating any objections to the issuance of the order requested. This
response must be e-filed into the proceeding no later than ten business days
after service of the affidavit and proposed order to show cause.
(D)
Staff and all respondents must appear at the hearing to present their cases to the
Administrative Law Judge, who will then render an interim decision either
granting issuance or dismissing the order to show cause. The Administrative Law
Judge must render the decision within ten business days of the hearing.
(E)
A determination to issue an interim decision ordering a regulated entity to show
cause is based on the information then available. The determination is not, and
shall not be taken or assumed to be, a decision on the merits or on any factual
allegation.
(F)
If the decision entered by the Administrative Law Judge grants issuance of the
order to show cause, the show cause proceeding will be returned to the full
Commission for a decision regarding referral on the merits
ty to show
cause is based on the information then available. The determination is not, and
shall not be taken or assumed to be, a decision on the merits or on any factual
allegation.
(F)
If the decision entered by the Administrative Law Judge grants issuance of the
order to show cause, the show cause proceeding will be returned to the full
Commission for a decision regarding referral on the merits. The proceeding shall
be processed pursuant to the procedures in these rules and the applicable
provisions of § 40-6-101, et seq., C.R.S.
1303.
Applications.
(a)
An application may be made as follows:
(I)
telecommunications matters, as provided in rule 2002;
(II)
electric matters, as provided in rule 3002;
(III)
gas matters, as provided in rule 4002;
(IV)
water, including combined water and sewer, matters, as provided in rule 5002;
(V)
motor carrier matters, as provided in rule 6002;
(VI)
rail matters, as provided in rule 7002; or
(VII)
steam matters, as provided in rule 8002.
(b)
All applications must state the relief requested, identify all applicable requirements of Commission
rule and decision(s), and address each of those respective requirements. If an application fails to
meet each of these requirements the application may be deemed incomplete.
(c)
Determination of the completeness of an application for purposes of § 40-6-109.5, C.R.S.
(I)
The Commission shall determine whether an application meets the application
requirements prescribed by Commission rule and decision. This determination is not, and
shall not be taken or assumed to be, a decision on the merits.
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(c)
Determination of the completeness of an application for purposes of § 40-6-109.5, C.R.S.
(I)
The Commission shall determine whether an application meets the application
requirements prescribed by Commission rule and decision. This determination is not, and
shall not be taken or assumed to be, a decision on the merits.
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(II)
Commission staff shall evaluate the application and prepare a recommendation regarding
completeness. Not more than ten days after the filing of an application, Commission staff
may send the applicant and its attorney written notification concerning any specific
deficiencies of the application regarding its completeness. The deficiency notification may
be made by mail or e-mail and shall be filed in the E-Filings System. Upon receiving the
notification, the applicant may file a response either curing all the deficiencies noted by
Commission staff or explaining why it believes no further action is required. The
applicant's response, if any, shall be filed no later than ten days after Commission staff's
written notification was sent. If the applicant does not respond in the time allotted, the
Commission may, after the application's notice period has expired, deem the application
incomplete, dismiss the application without prejudice, and close the proceeding. The
Commission shall not issue a decision granting an application that has been determined
to be incomplete until any deficiencies are cured.
(III)
If the Commission finds that more information is necessary before deeming the
application complete (e.g., to understand fully the implications of an application and the
requested relief), it may issue a decision identifying such information and establishing a
deadline for supplementation
ision granting an application that has been determined
to be incomplete until any deficiencies are cured.
(III)
If the Commission finds that more information is necessary before deeming the
application complete (e.g., to understand fully the implications of an application and the
requested relief), it may issue a decision identifying such information and establishing a
deadline for supplementation. For example, the Commission may identify information to
assist in understanding how the relief requested will affect other current or future
proceedings; how it will affect the applicable state, regional or national markets; or how it
will affect the applicant’s future growth plans. If the applicant does not respond in the time
allotted or within such additional time upon motion, the Commission may dismiss the
application without prejudice and close the proceeding. If the applicant files responsive
information or offers an explanation to the satisfaction of the Commission, the
Commission shall issue a decision deeming the application complete for purposes of §
40-6-109.5, C.R.S.
(IV)
If the Commission does not issue a determination on completeness within 15 days of the
expiration of the application's notice period, and absent a determination that the
application is not complete or that more information is found to be necessary, the
application shall be automatically deemed complete. At any time, the Commission may,
by decision or by minute entry, deem an application complete.
(V)
Nothing in this paragraph (c) shall be construed to prohibit dismissal of an application on
its merits, as provided by law and these rules.
(d)
At any time, an applicant may waive the time limits provided in § 40-6-109.5, C.R.S. If an
application is a joint application, a waiver filed by any one of the applicants shall be effective for
all applicants.
1304.
Petitions.
A petition may be made as follows:
(a)
telecommunications matters, as provided in rule 2003;
(b)
motor carrier matters, as provided in rule 6003;
by law and these rules.
(d)
At any time, an applicant may waive the time limits provided in § 40-6-109.5, C.R.S. If an
application is a joint application, a waiver filed by any one of the applicants shall be effective for
all applicants.
1304.
Petitions.
A petition may be made as follows:
(a)
telecommunications matters, as provided in rule 2003;
(b)
motor carrier matters, as provided in rule 6003;
(c)
rail matters, as provided in rule 7003;
(d)
petition for rulemaking, as provided in rule 1306;
(e)
petition seeking a waiver or variance of any rule, as provided in rule 1003; or
(f)
petition seeking a declaratory order.
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(I)
A person may file a petition for a declaratory order either as an original proceeding or in a
pending proceeding.
(II)
The Commission may issue a declaratory order to terminate a controversy or to remove
an uncertainty affecting a petitioner with regard to any tariff, statutory provision, or
Commission rule, regulation, or order.
(III)
At its discretion and prior to issuing notice, the Commission may dismiss or otherwise not
accept any petition seeking a declaratory order.
1305.
Rejection or Suspension of Proposed Tariffs, Price Lists, or Time Schedules.
(a)
Protests.
(I)
During the initial notice period, any person may file a written protest against a proposed
tariff, price list, or time schedule.
(II)
If the Commission sets a proposed tariff, price list or time schedule for hearing, a person
who registers a protest shall not be permitted to participate as a party unless that person
then intervenes as provided in rule 1401 and paragraph (d) of this rule.
(b)
The Commission may, pursuant to § 40-6-111(3), C.R.S., reject any proposed tariff, price list, or
time schedule that is not submitted in the format required by statute or the Commission's orders
or rules.
dule for hearing, a person
who registers a protest shall not be permitted to participate as a party unless that person
then intervenes as provided in rule 1401 and paragraph (d) of this rule.
(b)
The Commission may, pursuant to § 40-6-111(3), C.R.S., reject any proposed tariff, price list, or
time schedule that is not submitted in the format required by statute or the Commission's orders
or rules.
(c)
The Commission may determine that a hearing is required to investigate and determine the
propriety of any proposed tariff, price list, or time schedule. Such a decision thereby suspends the
effective date of the proposed tariff, price list, or time schedule pending a decision by the
Commission, pursuant to § 40-6-111(1)(a) and (b). Any decision requiring a hearing shall be
served upon the regulated entity proposing the tariff, price list, or time schedule.
(d)
Any person wishing to participate as a party in any hearing the Commission may hold on a
suspended tariff, price list, or time schedule, must file a notice of intervention as of right or motion
to permissively intervene as provided in rule 1401. The regulated entity filing the suspended tariff,
price list, or time schedule is a party and does not need to file an intervention.
(e)
A suspension shall not extend more than 120 days beyond the proposed effective date of the
tariff, price list, or time schedule unless the Commission, by separate decision, extends the
suspension for an additional period of time not to exceed 130 days.
rule 1401. The regulated entity filing the suspended tariff,
price list, or time schedule is a party and does not need to file an intervention.
(e)
A suspension shall not extend more than 120 days beyond the proposed effective date of the
tariff, price list, or time schedule unless the Commission, by separate decision, extends the
suspension for an additional period of time not to exceed 130 days.
(f)
No change sought by a suspended tariff, price list, or time schedule, shall become effective
unless the Commission fails to issue a decision on the merits within the suspension period. If the
Commission orders a change to be made to the suspended tariff, price list, or time schedule and
states the time when the change shall take effect, and states the manner in which it shall be filed
and published, the suspended tariff shall be permanently suspended and the regulated entity
shall make a compliance filing that incorporates the ordered changes.
1306.
Rulemaking Proceedings.
(a)
Rulemaking proceedings generally. Either upon its own motion or upon the petition of any person,
the Commission may issue a notice of proposed rulemaking, in accordance with rule 1206. A
rulemaking proceeding shall be governed by § 24-4-103, C.R.S., and such specific procedures as
the Commission may order.
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(b)
Petition for rulemaking. Upon the filing of a petition for rulemaking, the Commission, at its
discretion, may accept the petition and issue a notice of petition filed in accordance with rule
1206, unless a different notice period is requested and the Commission consents in writing to a
modified notice period. If the Commission accepts the petition, it may set a schedule to receive
comments on the petition from interested participants. The Commission may also allow for the
filing of reply comments
ion, may accept the petition and issue a notice of petition filed in accordance with rule
1206, unless a different notice period is requested and the Commission consents in writing to a
modified notice period. If the Commission accepts the petition, it may set a schedule to receive
comments on the petition from interested participants. The Commission may also allow for the
filing of reply comments. Once all comments are received, the Commission will deliberate and
determine whether good cause exists to proceed to grant the petition, in whole or in part, and
proceed to issue a notice of proposed rulemaking.
1307.
Administrative Proceedings.
The Commission may open an administrative proceeding on its own motion at any time. Administrative
proceedings shall be governed by such specific procedures as the Commission may order.
1308.
Responses: Generally – Complaints.
(a)
A response may only be filed to: an application or petition, to the extent included in a notice of
intervention or motion for permissive intervention; a complaint, or counterclaim or order to show
cause, as provided in this rule and paragraphs 1302(g) and (h); a motion, as provided in rule
1400; or exceptions, as provided in rule 1505.
(b)
No response may be filed to an answer, response, or notice, except upon motion. Any motion for
leave to file a response must demonstrate a material misrepresentation of a fact, an incorrect
statement or error of law, or accident or surprise which ordinary prudence could not have guarded
against. Motions for leave to file a response to applications for RRR are addressed in rule 1506.
(c)
The Commission may shorten or waive response time to a motion upon motion of a party or on its
own motion upon a finding that time is of the essence or that the requested relief is unopposed.
The Commission can act immediately where response time is waived and after the expiration of
the shortened response time.
s for leave to file a response to applications for RRR are addressed in rule 1506.
(c)
The Commission may shorten or waive response time to a motion upon motion of a party or on its
own motion upon a finding that time is of the essence or that the requested relief is unopposed.
The Commission can act immediately where response time is waived and after the expiration of
the shortened response time.
(d)
Except in an accelerated complaint proceeding, a party named as a respondent shall file a
response within 20 days of being served with an order to satisfy or to answer the complaint. In an
accelerated complaint proceeding, the respondent shall file a response within ten days after
service of the order to satisfy or answer the complaint. A response to a complaint shall admit or
deny with particularity each allegation of the complaint and shall separately state and number
each affirmative defense. Where a complaint is filed by a regulated entity, the respondent may
assert a counterclaim in its response. A counterclaim shall be answered within 20 days and is
subject to a motion to dismiss as a comp
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