ADVOCACY AT STATE REGULATORY COMMISSIONS: THE BASICS Theo MacGregor MacGregor Energy Consultancy ...

ADVOCACY AT STATE ADVOCACY AT STATE REGULATORY REGULATORY

COMMISSIONS:COMMISSIONS:THE BASICSTHE BASICS

Theo MacGregorTheo MacGregorMacGregor Energy ConsultancyMacGregor Energy Consultancy

www.DemocracyAndRegulation.comwww.DemocracyAndRegulation.comPresented at thePresented at the

National Community Action FoundationNational Community Action FoundationConferenceConference

October 25, 2006October 25, 2006St. Petersburg, FloridaSt. Petersburg, Florida

NCAF Conference 2006 MacGregor Energy Consultancy 2

ADVOCACY BEFORE STATE ADVOCACY BEFORE STATE REGULATORY REGULATORY

COMMISSIONSCOMMISSIONS• THETHE PROCESSPROCESS• ESSENTIAL PRINCIPLESESSENTIAL PRINCIPLES• HOW ADVOCATES CAN HOW ADVOCATES CAN

PARTICIPATEPARTICIPATE• WHAT YOU NEED TO PRESENTWHAT YOU NEED TO PRESENT• AND WHENAND WHEN• WHAT REGULATORS NEED WHAT REGULATORS NEED

FROM YOUFROM YOU• WHAT YOU CAN WINWHAT YOU CAN WIN


THE PROCESSTHE PROCESS • PUBLIC FILING BY UTILITYPUBLIC FILING BY UTILITY

– RATE CASERATE CASE– FUEL OR POWER COST ADJUSTMENT CASEFUEL OR POWER COST ADJUSTMENT CASE– MERGER/ACQUISITIONMERGER/ACQUISITION– INTEGRATED RESOURCE PLANINTEGRATED RESOURCE PLAN– PERFORMANCE-BASED RATEMAKINGPERFORMANCE-BASED RATEMAKING

(SOMETIMES PETITION FILED BY (SOMETIMES PETITION FILED BY ADVOCATES)ADVOCATES)

• PUBLIC NOTICEPUBLIC NOTICE• INTERVENTIONINTERVENTION• PUBLIC HEARINGS IN SERVICE TERRITORYPUBLIC HEARINGS IN SERVICE TERRITORY• PROCEDURAL MEETING TO SET SCHEDULEPROCEDURAL MEETING TO SET SCHEDULE


THE PROCESS cont.THE PROCESS cont.

• DISCOVERY: DISCOVERY: – FORMAL WRITTEN QUESTIONS TO FORMAL WRITTEN QUESTIONS TO

UTILITY BY ALLUTILITY BY ALL– INDEPENDENT RESEARCHINDEPENDENT RESEARCH– NEGOTIATIONNEGOTIATION– COALITION FORMINGCOALITION FORMING– FOLLOW-UP DISCOVERYFOLLOW-UP DISCOVERY– ANSWERS SUPPLIED TO PUC AND ALL ANSWERS SUPPLIED TO PUC AND ALL

PARTIES BY UTILITYPARTIES BY UTILITY

• FILINGS BY PARTIES (TESTIMONY, FILINGS BY PARTIES (TESTIMONY, ALTERNATIVE PROPOSALS)ALTERNATIVE PROPOSALS)



• DISCOVERY ON PARTIES’ FILINGS DISCOVERY ON PARTIES’ FILINGS BY ALLBY ALL

• ANSWERS BY PARTIES TO PUC, ANSWERS BY PARTIES TO PUC, UTILITY AND OTHERSUTILITY AND OTHERS

• PUBLIC HEARINGS FOR CROSS-PUBLIC HEARINGS FOR CROSS-EXAMINATION ON TESTIMONY EXAMINATION ON TESTIMONY AND DISCOVERY RESPONSESAND DISCOVERY RESPONSES

• WRITTEN BRIEFS AND REPLY WRITTEN BRIEFS AND REPLY BRIEFS SUMMARIZING POSITIONSBRIEFS SUMMARIZING POSITIONS

• IN SOME STATES, DRAFT DECISION IN SOME STATES, DRAFT DECISION BASED ON RECORDBASED ON RECORD



• MORE BRIEFS OR COMMENTS ON MORE BRIEFS OR COMMENTS ON DRAFTDRAFT

• SOMETIMES, ORAL ARGUMENTS ON SOMETIMES, ORAL ARGUMENTS ON DRAFT DECISIONDRAFT DECISION

• COMMISSION DECISION, OR ORDERCOMMISSION DECISION, OR ORDER• MOTIONS TO CLARIFY OR MOTIONS TO CLARIFY OR

RECONSIDERRECONSIDER• FILING BY UTILITY TO COMPLY WITH FILING BY UTILITY TO COMPLY WITH

ORDERORDER• APPEAL (IF ANY)APPEAL (IF ANY)


ESSENTIAL PRINCIPLES OF ESSENTIAL PRINCIPLES OF RATEMAKINGRATEMAKING

1)1) DUE PROCESS: RIGHTS OF DUE PROCESS: RIGHTS OF TRANSPARENCY AND PARTICIPATIONTRANSPARENCY AND PARTICIPATION

2)2) PRICES MUST BE “JUST AND PRICES MUST BE “JUST AND REASONABLE”REASONABLE”

3)3) UTILITY INVESTMENTS MUST UTILITY INVESTMENTS MUST NOT BE NOT BE ARBITRARILY CONFISCATEDARBITRARILY CONFISCATED

4)4) CONFLICTING INTERESTS MUST CONFLICTING INTERESTS MUST BE BE BALANCEDBALANCED

5)5) PRICES MUST BE RELATED TO PRICES MUST BE RELATED TO COSTSCOSTS


HOW ADVOCATES CAN HOW ADVOCATES CAN PARTICIPATEPARTICIPATE

• BECOME INFORMED BECOME INFORMED ABOUT THE PROCESSABOUT THE PROCESSABOUT THE COMMISSIONABOUT THE COMMISSIONABOUT THE ISSUES THAT ABOUT THE ISSUES THAT

AFFECT AFFECT YOUR CONSTITUENCYYOUR CONSTITUENCY• MEET AND DEVELOP MEET AND DEVELOP

RELATIONSHIPS WITH THE UTILITY RELATIONSHIPS WITH THE UTILITY PEOPLE WHO AFFECT YOUR CLIENTSPEOPLE WHO AFFECT YOUR CLIENTS

COMMUNITY RELATIONSCOMMUNITY RELATIONSCREDIT AND COLLECTIONSCREDIT AND COLLECTIONS



• LIHEAPLIHEAP• WEATHERIZATION AND ENERGY WEATHERIZATION AND ENERGY

EFFICIENCYEFFICIENCY• DEVELOP RELATIONSHIPS WITH PUC DEVELOP RELATIONSHIPS WITH PUC

COMMISSIONERS AND STAFFCOMMISSIONERS AND STAFFDIVISION DIRECTORSDIVISION DIRECTORSCONSUMER STAFFCONSUMER STAFFLEGAL STAFF/HEARING LEGAL STAFF/HEARING

OFFICERS/ALJsOFFICERS/ALJs• GET ON NOTIFICATION LIST – ASK TO GET ON NOTIFICATION LIST – ASK TO

BE NOTIFIED BY STAFFBE NOTIFIED BY STAFF



• FIND OUT IF THERE IS FUNDING FIND OUT IF THERE IS FUNDING AVAILABLE AVAILABLE

DEMOCRACY AND JUSTICE DEMOCRACY AND JUSTICE REQUIRE REQUIRE RESOURCESRESOURCES

• BE READY TO INTERVENE ANYTIME A BE READY TO INTERVENE ANYTIME A UTILITY PETITIONS FOR ANYTHING UTILITY PETITIONS FOR ANYTHING AND INTERVENE! AND INTERVENE! USE LEVERAGEUSE LEVERAGE

• IF NOT FORMAL CASE, BE PREPARED IF NOT FORMAL CASE, BE PREPARED TO PARTICIPATE IN TECHNICAL OR TO PARTICIPATE IN TECHNICAL OR INFORMAL PROCEEDINGSINFORMAL PROCEEDINGS



• FORM COALITIONS WITH LIKELY FORM COALITIONS WITH LIKELY (AND UNLIKELY) PARTNERS(AND UNLIKELY) PARTNERS

• ASK FOR FUNDING IF IT IS ASK FOR FUNDING IF IT IS AVAILABLEAVAILABLE

• MARSHAL YOUR CLIENTS AS MARSHAL YOUR CLIENTS AS WITNESSES IN PUBLIC HEARINGSWITNESSES IN PUBLIC HEARINGS

• CALL THE PRESS – GIVE INTERVIEWSCALL THE PRESS – GIVE INTERVIEWS

BE THERE! ALL THE TIME BE THERE! ALL THE TIME

EVERY TIMEEVERY TIME


WHAT YOU NEED TO WHAT YOU NEED TO PRESENTPRESENT

AND WHENAND WHEN • PETITION TO INTERVENE AT PETITION TO INTERVENE AT

OUTSETOUTSET• DESCRIBE INTEREST IN CASEDESCRIBE INTEREST IN CASE• SHOW THAT YOU REPRESENT SHOW THAT YOU REPRESENT

UNIQUE GROUPUNIQUE GROUP• NOT OTHERWISE REPRESENTED NOT OTHERWISE REPRESENTED

BY CONSUMER ADVOCATEBY CONSUMER ADVOCATE• OUTLINE POSITION YOU WILL OUTLINE POSITION YOU WILL

TAKE IN CASETAKE IN CASE



AND WHENAND WHEN• ATTEND PUBLIC HEARINGS IN ATTEND PUBLIC HEARINGS IN

FORCE WITH CLIENT STORIESFORCE WITH CLIENT STORIES• PARTICIPATE IN PROCEDURAL PARTICIPATE IN PROCEDURAL

CONFERENCE TO SET SCHEDULECONFERENCE TO SET SCHEDULE• IF GRANTED STATUS, ISSUE IF GRANTED STATUS, ISSUE

DISCOVERY TO UTILITYDISCOVERY TO UTILITY• FORM COALITIONS – BEGIN FORM COALITIONS – BEGIN

NEGOTIATIONSNEGOTIATIONS• SUBMIT TESTIMONY AND EXHIBITS SUBMIT TESTIMONY AND EXHIBITS

SUPPORTING YOUR POSITIONSUPPORTING YOUR POSITION



AND WHEN cont.AND WHEN cont.

• CROSS EXAMINE UTILITY CROSS EXAMINE UTILITY WITNESSESWITNESSES

• BE CROSS EXAMINEDBE CROSS EXAMINED• SUBMIT BRIEFS AND REPLY SUBMIT BRIEFS AND REPLY

BRIEFSBRIEFS• AWAIT COMMISSION ORDERAWAIT COMMISSION ORDER• START AGAINSTART AGAIN


WHAT REGULATORS NEED WHAT REGULATORS NEED FROM YOUFROM YOU

• YOUR EXPERTISEYOUR EXPERTISE• RESEARCH FINDINGSRESEARCH FINDINGS• DATA ON LOW-INCOME UTILITY DATA ON LOW-INCOME UTILITY

CUSTOMERSCUSTOMERS• INCOME LEVELS – HOW MANY INCOME LEVELS – HOW MANY

POOR PEOPLE? HOW POOR?POOR PEOPLE? HOW POOR?• LEVELS OF ARREARAGESLEVELS OF ARREARAGES• NUMBER OF DISCONNECTIONSNUMBER OF DISCONNECTIONS


WHAT REGULATORS NEED WHAT REGULATORS NEED FROM YOUFROM YOU

• NUMBER NEEDING WEATHERIZATION, NUMBER NEEDING WEATHERIZATION, ENERGY EFFICIENCYENERGY EFFICIENCY

• DEVELOP A RECORD BASED ON DEVELOP A RECORD BASED ON EVIDENCEEVIDENCE

• POLITICAL COVER FOR WHAT THEY POLITICAL COVER FOR WHAT THEY WANT TO DOWANT TO DO

• SETTLEMENTS BETWEEN YOU AND THE SETTLEMENTS BETWEEN YOU AND THE UTILITY, YOU AND OTHERSUTILITY, YOU AND OTHERS

BECOME ESSENTIAL TO THE BECOME ESSENTIAL TO THE COMMISSION!COMMISSION!


WHAT YOU CAN WINWHAT YOU CAN WIN

• AFFORDABILITY PROGRAMSAFFORDABILITY PROGRAMS• DISCOUNTSDISCOUNTS• PIPPsPIPPs• ARREARAGE MANAGEMENT ARREARAGE MANAGEMENT

WITH BUDGET COUNSELINGWITH BUDGET COUNSELING• CONSUMER PROTECTIONSCONSUMER PROTECTIONS• WINTER OR SUMMER WINTER OR SUMMER

MORATORIAMORATORIA


WHAT YOU CAN WINWHAT YOU CAN WIN

• LOW OR NO DEPOSITS, LATE FEES, OR LOW OR NO DEPOSITS, LATE FEES, OR RECONECT FEESRECONECT FEES

• INSTALLMENT BILLING INSTALLMENT BILLING REQUIREMENTSREQUIREMENTS

• EFFICIENCY AND WEATHERIZATION EFFICIENCY AND WEATHERIZATION PROGRAMSPROGRAMS

• ENERGY USE EDUCATION PROGRAMSENERGY USE EDUCATION PROGRAMS

BE PATIENT, BUT BE PERSISTENT!BE PATIENT, BUT BE PERSISTENT!


ABOUT THE SPEAKERABOUT THE SPEAKER Theo MacGregor has over 20 years' experience in energy Theo MacGregor has over 20 years' experience in energy issues, with particular emphasis on low-income issues and issues, with particular emphasis on low-income issues and energy efficiency. She served more than ten years with the energy efficiency. She served more than ten years with the Electric Power Division of the Massachusetts Department of Electric Power Division of the Massachusetts Department of Telecommunications and Energy (DTE), the state's utility Telecommunications and Energy (DTE), the state's utility regulator. She is currently the sole proprietor of MacGregor regulator. She is currently the sole proprietor of MacGregor Energy Consultancy, specializing in electric industry issues in Energy Consultancy, specializing in electric industry issues in general, low-income, consumer protection, and energy general, low-income, consumer protection, and energy efficiency issues in particular, for government agencies, low-efficiency issues in particular, for government agencies, low-income advocates, attorneys general, utility companies, income advocates, attorneys general, utility companies, consumer advocates, and others. consumer advocates, and others. She is co-author with Jerrold Oppenheim of “The Economics She is co-author with Jerrold Oppenheim of “The Economics of Poverty: How Investments to Eliminate Poverty Benefit All of Poverty: How Investments to Eliminate Poverty Benefit All Americans” and, also with Jerrold Oppenheim together with Americans” and, also with Jerrold Oppenheim together with Greg Palast, of Greg Palast, of Democracy and RegulationDemocracy and Regulation, published in , published in February 2003 by Pluto Press, London, and winner of the February 2003 by Pluto Press, London, and winner of the Upton Sinclair "Freedom of Expression" award. Upton Sinclair "Freedom of Expression" award.

More information is available on her website, More information is available on her website, www.DemocracyAndRegulation.comwww.DemocracyAndRegulation.com..

ADVOCACY AT STATE REGULATORY COMMISSIONS: THE BASICS Theo MacGregor MacGregor Energy Consultancy ...

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