The purpose of this Article is to establish procedures relating to the use of computer models for developing exhibits or testimony and the access to computer models for cross-examination or rebuttal.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.
When used in this Article , whether in the singular or in the plural, the following terms shall have the following meanings:
(a) "Access" means the ability of a party to examine, use or verify any other party's computer model or data base that is the basis for the other party's testimony or exhibits to the extent necessary for cross-examination or rebuttal, subject to applicable rules of evidence.
(b) "Computer model" means a computer program created to simulate or otherwise represent some physical phenomenon or utility function, by using input data and producing output based on those data.
(c) "Computer program" means a set of instructions which directs a computer to follow a specific processing sequence.
(d) "Input data" means the data to be processed by the computer in a computer run
(e) "Output data" means the data resulting from a computer run.
(f) "Party" means any person who has filed an appearance in the proceeding, or who has indicated an intention to file an appearance at the first opportunity.
(g) "Proceeding" means any application, investigation, rulemaking, or complaint before the Commission.
(h) "Run" means an execution by a computer of a computer program resulting in output.
(i) "Sponsoring party" means a party sponsoring testimony or an exhibit that is based in whole or in part on a computer model.
(j) "Verification" or "verify" means to assess the extent to which a computer model mimics reality, and may include checking or testing:
(1) The reliability of the computer equipment used to input the data, process it, and produce output;
(2) The manner and accuracy of inputting data into the computer model;
(3) The reliability and accuracy of computer model used for processing data; and
(4) The sensitivity of the output of the computer model to changes in its input data.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.
(a) Any party who submits testimony or exhibits in a hearing or proceeding which are based in whole, or in part, on a computer model shall provide to all parties, the following information:
(1) A description of the source of all input data;
(2) The complete set of input data (input file) as used in the sponsoring party's computer run(s);
(3) Documentation sufficient for an experienced professional to understand the basic logical processes linking the input data to the output, including but not limited to a manual which includes:
(i) A complete list of variables (input record types), input record formats, and a description of how input files are created and data entered as used in the sponsoring party's computer model(s).
(ii) A complete description of how the model operates and its logic. This description may make use of equations, algorithms, flow charts, or other descriptive techniques.
(iii) A description of a diagnostics and output report formats as necessary to understand the model's operation.
(4) A complete set of output files relied on to prepare or support the testimony or exhibits; and
(5) A description of post-processing requirements of the model output.
(b) The information specified in subsection (a) shall be submitted either as part of the testimony or exhibit or included in workpapers. Such workpapers shall be available to any party upon request at the time the testimony or exhibit is first served or filed.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.
(a) Each party to a proceeding which intends to seek access to a computer model or data base pursuant to Rule 74.4, when it first requests access, shall serve on the sponsoring party a written explanation of why it requests access to the information and how its request relates to its interest or position in the proceeding.
(b) In addition to the documentation required by Rule 74.3, each party using a computer model or data base which is the basis, in whole or in part, for its testimony or exhibits in a proceeding shall provide reasonable access to, and explanation of, that computer model or data base to all parties complying with Rule 74.4(a). Immediately upon service of any testimony or exhibit, any computer model or data base that is used for the testimony or exhibit shall be reasonably accessible to the Commission staff and other parties complying with Rule 74.4 (a).
(c) If a party requests access to a data base, the sponsoring party may, at its election, either
(i) provide such access on its own computer,
(ii) perform any data sorts requested by the requesting party,
(iii) make the data base available to the requesting party to run on the requesting party's own computer, or
(iv) make the data base available through an external computer service.
(d) If a party requests access to a computer model, the sponsoring party, may at its election, either
(i) make the requested runs on its own computer,
(ii) make the model available to the requesting party to run on that party's own computer, or
(iii) have the requested model run produced for the requesting party by an external computer service.
(e) Requests for access pursuant to subsections (c) and (d) shall be limited to a reasonable number of runs as agreed to by sponsoring and requesting parties. If the parties are unable to agree, the sponsoring party may seek relief pursuant to Rule 74.6 before providing such access.
(f) The sponsoring party, in providing access pursuant to subsections (c) and (d), is not required to modify its computer model or data base in order to accommodate a request, or to install its model on the requesting party's computer, or to provide detailed training on how to operate the model beyond provision of written documentation. The sponsoring party is not required to provide a remote terminal or other direct physical link to its computer for use by the requesting party. The sponsoring party may take reasonable precautions to preclude access to other software or data not applicable to the specific model or data base being used.
(g) Within five business days of receipt of a request from a requesting party pursuant to this Rule, the sponsoring party shall indicate whether the request is clear and complete and shall provide the requesting party a written estimate of the date of completion of the response. If the requesting party deems the time estimate unacceptable, it may make a motion for expedited response pursuant to Rule 74.6.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.
(a) Except as provided in subsection (b), a party shall be required to maintain copies of computer models and data bases in unmodified form throughout the length of a proceeding if they continue to provide the basis, in whole or in part, for that party's showing. For purposes of this Article , the length of a proceeding shall be considered to extend 90 days after the date of issuance of the Commission's last order or decision in the proceeding, including any order or decision on applications for rehearing filed in accordance with Rule 85 of the Commission's Rules of Practice and Procedure.
(b) Where a party's computer model provides the basis, in whole or in part, for its showing in a proceeding, and notwithstanding subsection (a), such party may thereafter modify the computer model or the data, and may introduce the results so produced in the proceeding, on the condition that such party has provided timely access to the modified model or data to any requesting party who has previously requested access to the original model or data. Each party who relies on the modified model or data shall provide the modification to all parties at least 10 calendar days prior to its use in the proceeding.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.
(a) Any party may make a motion seeking relief concerning a dispute regarding access to computer models or data bases under the Commission's current practices governing discovery disputes. Such motion shall be made in writing, shall be served upon all parties to the proceeding, and shall state clearly and concisely the grounds and authority for the requested relief. The grounds and extent of available relief are the same as those that excuse or limit the obligation to respond to other types of discovery requests. The motion shall be accompanied by a declaration stating facts showing a reasonable and good faith attempt at an informal resolution of each presented by the motion.
(b) Responses to a motion under Rule 74.6(a) shall be filed and served within 15 days of the date the motion was served.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.
Each sponsoring party who objects to providing access to any computer model, data base, or other information which is used in a computer model pursuant to this article, on the grounds that the requested material is confidential, proprietary, or subject to a licensing agreement, shall file a motion for a protective order. The motion shall be filed concurrently with the service of the testimony or exhibit which is based in whole, or in part, upon the matters to be protected. Any party may file and serve an answer to the motion for a protective order within 15 days after such motion was served. The assigned administrative law judge, for good cause shown, may make any ruling to protect confidential, proprietary or licensed information from unwarranted disclosure.
Note: Authority cited: Section 1822(d), Public Utilities Code. Reference: Sections 1821-1822, Public Utilities Code.