ADVOCACY AT STATE REGULATORY COMMISSIONS:
VERY BASIC SKILLS
Theo MacGregor
MacGregor Energy Consultancy
www.DemocracyAndRegulation.com
Presented at the
National Community Action Foundation
Conference
October 25, 2006
St. Petersburg, Florida
ADVOCACY BEFORE STATE REGULATORY COMMISSIONS
THE PROCESS
ESSENTIAL PRINCIPLES
HOW ADVOCATES CAN PARTICIPATE
WHAT YOU NEED TO PRESENT
AND WHEN
WHAT REGULATORS NEED FROM YOU
WHAT CAN YOU WIN?
THE PROCESS
1) PUBLIC FILING BY UTILITY
· RATE CASE
· FUEL OR POWER COST ADJUSTMENT CASE
· MERGER/ACQUISITION
· INTEGRATED RESOURCE PLAN
· PERFORMANCE-BASED RATEMAKING
SOMETIMES PETITION FILED BY ADVOCATES
2) PUBLIC NOTICE
3) INTERVENTION
4) PUBLIC HEARINGS IN SERVICE TERRITORY
5) PROCEDURAL MEETING TO SET SCHEDULE
6) DISCOVERY:
· FORMAL WRITTEN QUESTIONS TO UTILITY BY ALL
· INDEPENDENT RESEARCH
· NEGOTIATION
· COALITION FORMING
· FOLLOW-UP DISCOVERY
· ANSWERS SUPPLIED TO PUC AND ALL PARTIES BY UTILITY
7) FILINGS BY PARTIES (TESTIMONY, ALTERNATIVE PROPOSALS)
THE PROCESS cont.
8) DISCOVERY ON PARTIES FILINGS BY ALL
9) ANSWERS BY PARTIES TO PUC, UTILITY AND OTHERS
10) PUBLIC HEARINGS FOR CROSS-EXAMINATION ON TESTIMONY AND DISCOVERY RESPONSES
11) WRITTEN BRIEFS AND REPLY BRIEFS SUMMARIZING POSITIONS
12) IN SOME STATES, DRAFT DECISION BASED ON RECORD; MORE BRIEFS OR COMMENTS ON DRAFT
13) SOMETIMES, ORAL ARGUMENTS ON DRAFT DECISION
14) COMMISSION DECISION, OR ORDER
15) MOTIONS TO CLARIFY OR RECONSIDER
16) FILING BY UTILITY TO COMPLY WITH ORDER
17) APPEAL (IF ANY)
ESSENTIAL PRINCIPLES OF RATEMAKING
1) DUE PROCESS: RIGHTS OF TRANSPARENCY AND PARTICIPATION
2) PRICES MUST BE JUST AND REASONABLE
3) UTILITY INVESTMENTS MUST NOT BE ARBITRARILY CONFISCATED
4) CONFLICTING INTERESTS MUST BE BALANCED
5) PRICES MUST BE RELATED TO COSTS
HOW ADVOCATES CAN PARTICIPATE
BECOME INFORMED
· ABOUT THE PROCESS
· ABOUT THE COMMISSION
· ABOUT THE ISSUES THAT AFFECT YOUR CONSTITUENCY
MEET AND DEVELOP RELATIONSHIPS WITH THE UTILITY PEOPLE WHO AFFECT YOUR CLIENTS
· COMMUNITY RELATIONS
· CREDIT AND COLLECTIONS
· LIHEAP
· WEATHERIZATION AND ENERGY EFFICIENCY
DEVELOP RELATIONSHIPS WITH PUC COMMISSIONERS AND STAFF
· DIVISION DIRECTORS
· CONSUMER STAFF
· LEGAL STAFF/HEARING OFFICERS/ALJs
GET ON NOTIFICATION LIST ASK TO BE NOTIFIED BY STAFF
HOW ADVOCATES CAN PARTICIPATE
FIND OUT IF THERE IS FUNDING AVAILABLE
DEMOCRACY AND JUSTICE REQUIRE RESOURCES
BE READY TO INTERVENE ANYTIME A UTILITY PETITIONS FOR ANYTHING AND INTERVENE! USE LEVERAGE
IF NOT FORMAL CASE, BE PREPARED TO PARTICIPATE IN TECHNICAL OR INFORMAL PROCEEDINGS
FORM COALITIONS WITH LIKELY (AND UNLIKELY) PARTNERS
ASK FOR FUNDING IF IT IS AVAILABLE
MARSHAL YOUR CLIENTS AS WITNESSES IN PUBLIC HEARINGS
CALL THE PRESS GIVE INTERVIEWS
BE THERE! ALL THE TIME EVERY TIME
WHAT YOU NEED TO PRESENT
AND WHEN
PETITION TO INTERVENE AT OUTSET
· DESCRIBE INTEREST IN CASE
· SHOW THAT YOU REPRESENT UNIQUE GROUP
· NOT OTHERWISE REPRESENTED BY CONSUMER ADVOCATE
· OUTLINE POSITION YOU WILL TAKE IN CASE
ATTEND PUBLIC HEARINGS IN FORCE WITH CLIENT STORIES
PARTICIPATE IN PROCEDURAL CONFERENCE TO SET SCHEDULE
IF GRANTED STATUS, ISSUE DISCOVERY TO UTILITY
FORM COALITIONS BEGIN NEGOTIATIONS
SUBMIT TESTIMONY AND EXHIBITS SUPPORTING YOUR POSITION
WHAT YOU NEED TO PRESENT
AND WHEN cont.
CROSS EXAMINE UTILITY WITNESSES
BE CROSS EXAMINED
SUBMIT BRIEFS AND REPLY BRIEFS
AWAIT COMMISSION ORDER
START AGAIN
WHAT REGULATORS NEED FROM YOU
YOUR EXPERTISE
RESEARCH FINDINGS
· DATA ON LOW-INCOME UTILITY CUSTOMERS
· INCOME LEVELS HOW MANY POOR PEOPLE? HOW POOR?
· LEVELS OF ARREARAGES
· NUMBER OF DISCONNECTIONS
· NUMBER NEEDING WEATHERIZATION, ENERGY EFFICIENCY
DEVELOP A RECORD BASED ON EVIDENCE
POLITICAL COVER FOR WHAT THEY WANT TO DO
SETTLEMENTS BETWEEN YOU AND THE UTILITY, YOU AND OTHERS
BECOME ESSENTIAL TO THE COMMISSION!
WHAT CAN YOU WIN?
AFFORDABILITY PROGRAMS
· DISCOUNTS
· PIPPs
· ARREARAGE MANAGEMENT WITH BUDGET COUNSELING
CONSUMER PROTECTIONS
· WINTER OR SUMMER MORATORIA
· LOW OR NO DEPOSITS, LATE FEES, OR RECONECT FEES
· INSTALLMENT BILLING REQUIREMENTS
EFFICIENCY AND WEATHERIZATION PROGRAMS
ENERGY USE EDUCATION PROGRAMS
BE PATIENT. BUT BE PERSISTENT!
ABOUT THE SPEAKER
Theo MacGregor has over 20 years' experience in energy issues, with particular emphasis on low-income issues and energy efficiency. She served more than ten years with the Electric Power Division of the Massachusetts Department of Telecommunications and Energy (DTE), the state's utility regulator. She is currently the sole proprietor of MacGregor Energy Consultancy, specializing in electric industry issues in general, low-income, consumer protection, and energy efficiency issues in particular, for government agencies, low-income advocates, attorneys general, utility companies, consumer advocates, and others.
She is co-author with Jerrold Oppenheim of The Economics of Poverty: How Investments to Eliminate Poverty Benefit All Americans and, also with Jerrold Oppenheim together with Greg Palast, of Democracy and Regulation, published in February 2003 by Pluto Press, London, and winner of the Upton Sinclair "Freedom of Expression" award.
More information is available on her website, www.DemocracyAndRegulation.com.