IX. Utility Cooperation with Commission Staff
ORA states that Pacific has been slow and uncooperative in responding to data requests, and that the Commission should order Pacific to provide timely responses to ORA's data requests. TD reports that Pacific has at times been slow and uncooperative in providing information needed by TD in its audit of Pacific.
Pacific is reminded that the Order instructed Pacific to provide full and timely responses to staff requests for information regarding service quality.
Pacific is reminded that TD and ORA have broad statutory authority to obtain information from Pacific.11 It is troubling that Pacific may not be fulfilling its statutory obligation to provide information sought by Commission staff.12 The Commission noted at the inception of NRF that utility cooperation with staff was indispensable to the success of NRF:
We direct the utilities to fully cooperate in providing all necessary information. This order provides Pacific and [Verizon] with an unprecedented opportunity to conduct their regulated business in a more flexible manner. This increased freedom does not mean that the Commission will countenance a more restrictive information access policy, however. Indeed, we view the success of the new regulatory framework as inextricably linked to the quality of the Commission's access to utility information. To make this new framework more credible, we will insist on more cooperation, not less, in the sharing of information. We will not tolerate actions which obstruct the audits and investigations of the Commission staff, whichever division is involved. (D.89-10-031, 33 CPUC 2d 43, 196.)
Utility cooperation with Commission staff is an important factor in determining whether, and to what extent, NRF should be revised. Accordingly, parties may present testimony in Phase 2 regarding Pacific's cooperation with Commission staff on matters related to TD's audit of Pacific and service quality.13 In Phase 3, the Commission may make revisions to NRF based on the record developed regarding the level of utility cooperation in this proceeding.
IT IS RULED that:
1. The scope of this proceeding is set forth in the combined Order Instituting Rulemaking 01-09-001 and Order Instituting Investigation 01-09-002, as refined and clarified in the body of this ruling. The assigned Commissioner may issue additional rulings to amend and clarify the scope of this proceeding.
2. The parties' proposals for revising the scope of this proceeding are not adopted except to the extent set forth in the body of this ruling.
3. All parties bear the same burden to demonstrate that their recommendations are reasonable.
4. There is a need for evidentiary hearings in Phases 1 and 2. The need for evidentiary hearings in Phase 3 will be determined after the parties have had an opportunity to submit motions to request evidentiary hearings in Phase 3.
5. Parties shall follow to the instructions regarding evidentiary hearings contained in the body of this ruling and Appendix B of this ruling.
6. Administrative Law Judge (ALJ) Kenney is the principal hearing officer for this proceeding.
7. The schedule for this proceeding is set forth in the Appendix A of this ruling. The assigned Commissioner and the assigned ALJ may revise the schedule for this proceeding.
8. This is a ratesetting proceeding.
9. The rules, procedures, and reporting requirements regarding ex parte communications set forth in Pub. Util. Code § 1701.3(c), Rule 7(c), and Rule 7.1 are applicable to this proceeding.
10. Communications with the assigned ALJ shall be conducted through paper mail or electronic mail (tim@cpuc.ca.gov) and not by telephone.
11. Prior to submitting a request regarding any matter to the assigned ALJ, the requesting party shall first communicate with all other parties and obtain their position on the request. The written or electronic communication to the ALJ shall contain the requesting party's representation regarding the position of the other parties on the request and shall be sent to the parties on the service list.
12. Parties shall provide an electronic copy of all their pleadings to the assigned ALJ via e-mail (tim@cpuc.ca.gov) in Microsoft Word format.
13. Any party that provides an e-mail address in its notice of participation shall serve and receive all pleadings by e-mail in Microsoft Word format. There is no need to serve hard copies of pleadings on parties that have provided an e-mail address.
14. Parties in the Appearance and State Service categories of the service list that have not provided an e-mail address must be served with a hard copy. All documents filed at the Commission must be tendered in paper form as described in Rule 2 et seq.
15. Pacific Bell Telephone Company and Verizon California Incorporated shall cooperate with Commission staff. Dated December 27, 2001, at San Francisco, California.
/s/ LORETTA M. LYNCH
Loretta M. Lynch
Assigned Commissioner
Appendix A
Schedule for the Proceeding
Phase 1 Schedule
Event
Date
Written Testimony.
Concurrent Opening Testimony: January 14, 2002
(Includes issues matrix.)
Concurrent Reply: January 28, 2002
Motions to Strike.
Motions to Strike: January 31, 2002
Replies to Motions: February 5, 2002
Pre-Hearing Conference.
February 5, 2002, at 10 a.m.
Evidentiary Hearings.
February 13, 14, 15, 19, 20, 21, and 22, 2002.
Opening Briefs.
March 8, 2002
Reply Briefs.
March 22, 2002
Draft Decision.
May 2002
A - 1
Phase 2 Schedule
Event
Date
Pacific and Verizon File Service Quality Compliance Reports.
January 15, 2002
TD Files Pacific Audit Report.
January 31, 2002
Pacific Files Response to TD's Audit Report.
March 29, 2002
Parties Submit Surveys on Service Quality.
April 15, 2002
Written Testimony.
Opening Testimony: May 1, 2002
Reply Testimony: June 7, 2002
Motions to Strike.
Motions to Strike: June 14, 2002
Replies to Motions: June 28, 2002
Evidentiary Hearings.
July 8 - July 26, 2002
Briefs re: Phase 2 Issues.
Opening Briefs: August 16, 2002
Reply Briefs: August 30, 2002
Draft Decision re: Phase 2.
October 2002
A - 2
Phase 3 Schedule
Event
Date
Comments re: Phase 3 Issues.
Opening Comments: September 20, 2002
Reply Comments: October 4, 2002
Motions for Evidentiary Hearings re: Phase 3 Issues.
October 11, 2002
Replies to Motions.
October 18, 2002
Ruling re: Phase 3 Scope, Schedule and Need for Hearing.
November, 2002
Written Testimony & Evidentiary Hearings (if necessary)*
Opening Testimony: November 18, 2002
Reply Testimony: December 9, 2002
Evidentiary Hearings: Dec. 16 - 24, 2002
Briefs re: Phase 3 Hearing Issues.
January 2003
Requests for Final Oral Arguments before the Commission.
January 2003
Final Oral Arguments.
Proceeding Submitted.
February 2003
Draft Final Decision.
Spring 2003
Comments on Draft Final Decision
Spring 2003
Final Decision
Spring 2003
* Dates for motions to strike will be established if and when it is determined that there is a need for evidentiary hearings regarding Phase 3 issues.
A - 3
(End of Appendix A)
Appendix B
EXHIBITS
Submission of Exhibits
Prepared written testimony shall not be filed at the Commission's Docket Office, but served in accordance with the requirements set forth in the Order and this ruling.
Marking Exhibits
Exhibits shall be pre-marked for identification on the first page, bottom right-hand corner. The exhibits shall be pre-marked with the offering party's abbreviation (e.g., ORA, Pacific, TURN, Verizon, etc.) and shall be numbered sequentially within an assigned number block. The parties shall meet, confer, and agree upon assigned number blocks (e.g., ORA 1-99, Pacific 100-199, TURN 200-299, Verizon 300-399, etc.). Parties may wish to consider number blocks that are tied to each Phase. For example, ORA's number blocks might be as follows: Phase 1: 1.1 through 1.99; Phase 2: 2.1 through 2.99; and Phase 3: 3.1 through 3.99. Similarly, Pacific's number blocks might be as follows: Phase 1: 1.100 through 1.199; Phase 2: 2.100 through 2.199, and Phase 3: 3.100 through 3.199.
The upper right-hand corner of the first page of the exhibit cover sheet should have a blank space two inches high by four inches wide for the ALJ's exhibit stamp. This directive applies to cross-examination exhibits as well. Exhibits that do not have such a blank space must have a cover page.
The pages in all exhibits must be numbered.
Distribution of Exhibits at the Evidentiary Hearing
At the evidentiary hearing, each party sponsoring an exhibit shall provide two copies to the ALJ and one to the court reporter, and have at least five copies available for distribution in the hearing room.
Cross-examination Exhibits
As a general rule, if a party intends to introduce an exhibit during cross-examination, the party should provide a copy of the exhibit to the witness and the witness' counsel before the witness takes the stand on the day the exhibit is to be introduced. Generally, a party is not required to give the witness an advance copy of the document if it is to be used for impeachment or to obtain the witness' spontaneous reaction. An exception might exist if parties have otherwise agreed to prior disclosure, such as in the case of confidential documents.
Corrections to Exhibits
Generally, exhibit corrections should be made in advance and not orally from the witness stand. Corrections should be made in a timely manner by providing new exhibit pages on which corrections appear. The original text to be deleted should be lined out, and the added text should be shown in bold, underlined font. Each corrected page should be marked with the word "revised" and the revision date.
Exhibit corrections will receive the same number as the original exhibit plus a letter to identify the correction. For example, Exhibit 1.5-3-16-B could indicate the second correction made to page 16 in Chapter 3 of Exhibit 5 in Phase 1.
Deviations and Exemptions
The assigned Commissioner and the assigned Administrative Law Judge may authorize deviations and exemptions from the requirements set forth herein.
(End of Appendix B)
CERTIFICATE OF SERVICE
I certify that I have by mail this day served a true copy of the original attached Assigned Commissioner's Ruling Determining the Category, Scope, Schedule, Need for Hearing, and the Principal Hearing Officer for the Proceeding on all parties of record in this proceeding or their attorneys of record.
Dated December 27, 2001, at San Francisco, California.
/s/ JEANNIE CHANG
Jeannie Chang
NOTICE
Parties should notify the Process Office, Public Utilities Commission, 505 Van Ness Avenue, Room 2000, San Francisco, CA 94102, of any change of address to insure that they continue to receive documents. You must indicate the proceeding number on the service list on which your name appears.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
The Commission's policy is to schedule hearings (meetings, workshops, etc.) in locations that are accessible to people with disabilities. To verify that a particular location is accessible, call: Calendar Clerk (415) 703-1203.
If specialized accommodations for the disabled are needed, e.g., sign language interpreters, those making the arrangements must call the Public Advisor at (415) 703-2074,
TTY 1-866-836-7825 or (415) 703-5282 at least three working days in advance of the event.
11 D.01-08-062.
12 In D.89-10-031, the Commission ordered Pacific to cooperate fully with staff in providing information necessary for NRF monitoring, audits, and investigations. (33 CPUC 2d 43, 234.)
13 Although parties have not raised similar concerns regarding Verizon, parties may also raise issues regarding Verizon's cooperation with staff on matters related to the Verizon audit in Phase 1 and on matters related to service quality in Phase 2.
