MLC/hl2 2/9/2004
BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA
Order Instituting Rulemaking on policies and practices for advanced metering, demand response, and dynamic pricing.
Rulemaking 02-06-001
(Filed June 6, 2002)
ADMINISTRATIVE LAW JUDGE'S RULING
UPDATING THE SERVICE LIST AND NOTIFYING PARTIES OF
INTENT TO MOVE TO ELECTRONIC SERVICE
In January 2004, the Commission opened a rulemaking designed to amend its Rules of Practice and Procedure to allow for the routine use of electronic mail (e-mail) to serve documents in Commission formal proceedings, in lieu of hard copy service and is eager to test a draft version of the rules before finalizing them. (See Rulemaking (R.) 04-01-005.) The rules proposed in R.04-01-005 mirror quite closely the e-mail service protocols that were adopted for this proceeding, and by this ruling, I signal my intent for us to rely on those protocols, set forth as Attachment A, for service in this proceeding effective with documents served on or after March 8, 2004. Until March 8, 2004, parties should continue to serve documents both electronically and in hard copy form.
In order for these e-mail service protocols to reduce the service burden on participants in this proceeding, we must be confident that the service list for the proceeding is as current as possible. Therefore, if you are currently listed on the service list (see the attached service list in Attachment B), you should verify that the service information listed for you is correct. If you do not have an e-mail address listed, you will not receive documents by e-mail. If you need to make changes to your information or add an e-mail address, please send a letter to the Commission's Process Office, 505 Van Ness Avenue, San Francisco, CA 94102, or e-mail process_office@cpuc.ca.gov, no later than February 20, 2004. A copy (e-mail service is acceptable) should be sent to Administrative Law Judge (ALJ) Michelle Cooke at mlc@cpuc.ca.gov.
In addition, only one representative per organization should be listed as an Appearance/Interested Party on the service list. If more than one representative for your organization is listed as an Appearance/Interested Party, please identify which representative should remain as an Appearance/Interested Party, and which should move to "Information Only" status. Again, this should be done via letter to the Process Office, with a copy to ALJ Cooke. If you do not designate which representative should receive Appearance/Interested Party status, we will move all but the first representative listed alphabetically to Information Only status.
If you have been participating informally in the proceeding, but would like to consider becoming a more formal participant, there are three categories on the service list (Appearance/Interested Party, State Service, and Information Only). Being granted Appearance/Interested Party status carries with it certain rights and obligations and indicates a plan by that party to actively participate in the proceeding. Appearances/Interested Parties are served with all documents parties submit in connection with this proceeding and their filings are considered part of the formal record in the proceeding. However, becoming an Appearance/Interested Party carries with it certain responsibilities regarding service of documents and ex parte rules.
Those who are not already parties, but who wish to participate in this proceeding as full parties, with all the rights and obligations associated with party status, shall send a letter to ALJ Cooke (mlc@cpuc.ca.gov) with a copy to the service list (e-mail service is acceptable). The letter must address your planned level of participation. Persons who demonstrate a plan to actively participate in the proceeding, for example through an intent to comment formally on upcoming Working Group reports or other upcoming filings, will be granted Interested Party status. Those simply interested in monitoring the proceeding without actively participating will be added to the Information Only category. Those interested in being added to the service list should send a letter to ALJ Cooke no later than February 20, 2004.
Effective March 8, 2004, parties who choose to serve documents electronically should abide by the attached draft rules until further notice. Keep in mind that electronic service is an option, not a requirement. For voluminous filings, parties should consider serving these documents by CD rather than electronically.1
As you will see from the attachment, the draft rules generally affect Commission Rules of Practice and Procedure 2.3 and 2.3.1. These draft rules create the option of electronic service in lieu of service by first-class mail, and also describe an electronic "notice of availability" and when that may be used. Section 2.3.1(b) of the rules provides that any party that has provided an e-mail address for the official service list may be served electronically. Electronic service cannot be used if a party has not provided an e-mail address. Further, the rules provide that the serving party must serve documents by another means in the event of any failure of e-mail service, such as notification of non-receipt of an e-mail message, unless the receiving party specifically requests re-service by e-mail. The rules apply to the Commission as well, which means that rulings, proposed decisions, and decisions may also be served electronically.
Please note that the rules still require a paper copy of all documents to the ALJ, so please continue to mail me a hard copy of documents in addition to your electronic service. You should also mail a hard copy to the Assigned Commissioner's Office. Please note that nothing in these draft rules alters any of the Commission's rules governing the filing of documents with the Commission.
If you have any questions or problems with this test of the draft rules, or if you do not wish to receive service of documents by e-mail, please contact ALJ Cooke at (415)-703-2637 or mlc@cpuc.ca.gov.
Therefore, IT IS RULED that:
1. Changes to information on the service list shall be communicated by letter to the Commission's Process Office, 505 Van Ness Avenue, San Francisco, CA 94102, or e-mail process_office@cpuc.ca.gov, no later than February 20, 2004. If more than one representative for your organization is listed as an Appearance/Interested Party, please identify which representative should remain as an Appearance/Interested Party, and which should move to Information Only status. A copy of your letter (e-mail service is acceptable) should be sent to Administrative Law Judge (ALJ) Michelle Cooke at mlc@cpuc.ca.gov.
2. Those who are not already parties, but who wish to participate in this proceeding as full parties, with all the rights and obligations associated with party status, shall send a letter addressing their planned level of participation to ALJ Cooke (mlc@cpuc.ca.gov) with a copy to the service list (e-mail service is acceptable) no later than February 20, 2004.
3. Effective with documents served on or after March 8, 2004, parties shall use the attached draft rules for electronic service of documents in this proceeding until further notice.
4. Parties shall continue to serve a paper copy of documents on the ALJ and Assigned Commissioner's Office.
Dated February 9, 2004, at San Francisco, California.
/s/ MICHELLE COOKE Michelle Cooke
Administrative Law Judge
ATTACHMENT A
2.3. (Rule 2.3) Service
(a) Except as otherwise provided in these rules or applicable statute, service of a document may be effected by delivering a copy of the document, mailing a copy of the document by first-class mail, or making service by electronic mail as provided in Rule 2.3.1 to each person whose name is on the official service list or applicable special service list, to the assigned administrative law judge, and to any other person required to be served by statute, by Commission rule or order, or by the administrative law judge. Delivery may be made by handing a copy of the document to the person or leaving it in a place where the person may reasonably be expected to obtain actual and timely receipt. Service by mail is complete when the document is deposited in the mail. Service by electronic mail is complete when the electronic mail message is transmitted, subject to Rule 2.3.1(e). The administrative law judge may require more expeditious service or a particular form of service in appropriate circumstances.
(b) In the event that service cannot be completed by any of the methods described in Rule 2.3(a), the administrative law judge may direct or any party may consent to service by other means not listed in Rule 2.3(a) (e.g., facsimile transmission).
(c) A party may serve and file a Notice of Availability in lieu of all or part of the document to be served. A copy of the complete document must, however, be served on any party who has previously informed the serving party of its desire to receive a complete copy. The original document and copies filed with the Commission must be complete (see Rule 2.5). A separate Notice must be provided for each document to be served, unless the assigned commissioner or administrative law judge authorizes a Notice to include reference to more than one document. The Notice must comply with Rule 2.1(a) and, if relevant, 2.3.1 and must state the document's exact title and summarize its contents. The Notice must state that a copy of the document will be served at the request of the party receiving the notice, and must state the name, telephone number, e-mail address, if any, and facsimile transmission number, if any, of the person to whom such requests should be directed. The party sending the Notice must serve any party making such request within one business day after receipt of the request. If a Notice of Availability is served by electronic mail in accordance with Rule 2.3.1, it must contain in its subject line the docket number of the proceeding and the words "notice of availability," followed by a brief identification of the document to be served.
(d) A Notice of Availability may be served and filed in any of the following circumstances:
(1) if a document, including attachments, exceeds 50 pages;
(2) if a document served by sending an e-mail message with the document attached in accordance with Rule 2.3.1(b) has attachments that are not readily reproducible in electronic format, would be too voluminous to attach to the e-mail message, or would be likely to cause e-mail service to fail for any other reason;
(3) if the document is served by making it available at a particular Uniform Resource Locator site (URL) on the World Wide Web. In this case, in addition to the requirements of subd. (c) of this Rule, the Notice must contain a complete and accurate hyperlink to the site at which the document to be served has been made available in a readily readable and downloadable form, and must state the date on which the document was made available at that site. Such a Notice may contain information about how to access or download the document to be served, or any other information required or allowed by the assigned commissioner or administrative law judge; it may not contain any attachments.
(4) with the prior permission of the assigned commissioner or administrative law judge.
(e) A copy of the certificate of service must be attached to each copy of the document (or Notice of Availability) served and to each copy filed with the Commission. If a Notice of Availability is served, a copy of the Notice must also be attached to each copy of the document filed with the Commission. The certificate of service must state: (1) the exact title of the document served, (2) the place, date, and manner of service, and (3) the name of the person making the service. The certificate filed with the original of the document must be signed by the person making the service (see Rule 2.2(e)). The certificate filed with the original of the document must also include a list of the names, addresses, and, where relevant, the e-mail addresses of the persons and entities served and must indicate whether they received the complete document or a Notice of Availability. (See Rule 88, Form No. 6.)
(f) The Process Office shall maintain the official service list for each pending proceeding. It is the responsibility of each person or entity on the service list to provide a current mailing address and, if relevant, current e-mail address, to the Process Office for the official service list. A party may change its mailing address or e-mail address for service or its designation of a person for service by sending a notice to the Process Office and serving a copy of the notice on each party on the official service list.
(g) The administrative law judge may correct and make minor changes to the official service list and may revise the official service list to delete inactive parties. Before establishing a revised service list, the administrative law judge will give each person on the existing service list notice of the proposed revision and an opportunity to respond to the proposal.
(h) The administrative law judge may establish a special service list for documents related to a portion of a proceeding. A special service list allows service to be made on only a portion of the official service list. A special service list may be established, for example, for one phase of a multi-phase proceeding or for documents related to issues that are of interest only to certain parties. Before any special service list is established, the administrative law judge will give each person on the official service list notice of the proposal to establish a special service list and an opportunity to show why that person should be included on the special service list or why a special service list should not be established.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. References: Sections 1704, 3732-3735, Public Utilities Code; Sections 1013, 1013a, Code of Civil Procedure.
1 Parties should refrain from serving documents larger than one megabyte (MB) by e-mail.
