S T A T E   O F   N E W   Y O R K
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                                  1247

                       2013-2014 Regular Sessions

                          I N  A S S E M B L Y

                               (PREFILED)

                             January 9, 2013
                               ___________

Introduced  by  M.  of A. CAHILL, ROSENTHAL, HEVESI, SWEENEY, BRENNAN --
  Multi-Sponsored by -- M. of A. FARRELL, GLICK, GOTTFRIED,  SCHIMEL  --
  read once and referred to the Committee on Energy

AN  ACT to amend the public service law, in relation to utility interve-
  nor reimbursement; and to amend the state finance law in  relation  to
  establishing the utility intervenor account

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1.  The public service law is amended by adding a new  section
24-c to read as follows:
  S  24-C.    UTILITY  INTERVENOR  REIMBURSEMENT.  1.    AS USED IN THIS
SECTION, THE FOLLOWING TERMS SHALL HAVE THE FOLLOWING MEANINGS:
  (A) "COMPENSATION" MEANS PAYMENT FROM THE UTILITY  INTERVENOR  ACCOUNT
FUND  ESTABLISHED BY SECTION NINETY-SEVEN-LLLL OF THE STATE FINANCE LAW,
FOR ALL OR PART, AS DETERMINED BY THE DEPARTMENT,  OF  REASONABLE  ADVO-
CATE'S  FEES, REASONABLE EXPERT WITNESS FEES, AND OTHER REASONABLE COSTS
FOR PREPARATION AND PARTICIPATION IN A PROCEEDING.
  (B) "PARTICIPANT" MEANS A GROUP OF PERSONS THAT APPLY JOINTLY  FOR  AN
AWARD OF COMPENSATION UNDER THIS SECTION AND WHO REPRESENT THE INTERESTS
OF A SIGNIFICANT NUMBER OF RESIDENTIAL OR SMALL BUSINESS CUSTOMERS, OR A
NOT-FOR-PROFIT  ORGANIZATION  IN  THIS  STATE AUTHORIZED PURSUANT TO ITS
ARTICLES OF INCORPORATION OR BYLAWS TO REPRESENT THE INTERESTS OF  RESI-
DENTIAL  OR  SMALL  BUSINESS  UTILITY  CUSTOMERS.  FOR  PURPOSES OF THIS
SECTION, A PARTICIPANT DOES NOT INCLUDE  A  NON-PROFIT  ORGANIZATION  OR
OTHER ORGANIZATION WHOSE PRINCIPAL INTERESTS ARE THE WELFARE OF A PUBLIC
UTILITY  OR  ITS  INVESTORS  OR EMPLOYEES, OR THE WELFARE OF ONE OR MORE
BUSINESSES OR INDUSTRIES WHICH RECEIVE UTILITY  SERVICE  ORDINARILY  AND
PRIMARILY  FOR  USE  IN  CONNECTION WITH THE PROFIT-SEEKING MANUFACTURE,
SALE, OR DISTRIBUTION OF GOODS OR SERVICES.

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD03528-01-3
              

A. 1247                             2

  (C) "OTHER REASONABLE COSTS" MEANS REASONABLE  OUT-OF-POCKET  EXPENSES
DIRECTLY  INCURRED  BY  A  PARTICIPANT  THAT ARE DIRECTLY RELATED TO THE
CONTENTIONS OR RECOMMENDATIONS MADE BY THE PARTICIPANT THAT RESULTED  IN
A SUBSTANTIAL CONTRIBUTION.
  (D)  "PARTY" MEANS ANY INTERESTED PARTY, RESPONDENT PUBLIC UTILITY, OR
COMMISSION STAFF IN A HEARING OR PROCEEDING.
  (E) "PROCEEDING" MEANS A COMPLAINT, OR INVESTIGATION,  RULEMAKING,  OR
OTHER  FORMAL  PROCEEDING  BEFORE THE COMMISSION, OR ALTERNATIVE DISPUTE
RESOLUTION PROCEDURES IN LIEU OF FORMAL PROCEEDINGS AS MAY BE  SPONSORED
OR  ENDORSED  BY THE COMMISSION, PROVIDED HOWEVER SUCH PROCEEDINGS SHALL
BE LIMITED TO THOSE ARISING UNDER AND PROCEEDING PURSUANT TO THE FOLLOW-
ING ARTICLES OF THIS CHAPTER: (1) THE REGULATION OF THE PRICE OF GAS AND
ELECTRICITY, PURSUANT TO ARTICLE FOUR OF THIS  CHAPTER;  (2)  THE  REGU-
LATION  OF  THE PRICE OF STEAM, PURSUANT TO ARTICLE FOUR-A OF THIS CHAP-
TER; (3) THE SUBMETERING, REMETERING OR RESALE OF ELECTRICITY  TO  RESI-
DENTIAL  PREMISES,  PURSUANT TO SECTION SIXTY-FIVE AND SIXTY-SIX OF THIS
CHAPTER, AND PURSUANT TO REGULATIONS REGARDING THE SUBMETERING, REMETER-
ING, OR RESALE OF ELECTRICITY ADOPTED BY THE COMMISSION;  AND  (4)  SUCH
SECTIONS  OF THIS CHAPTER AS ARE APPLICABLE TO A PROCEEDING IN WHICH THE
COMMISSION MAKES A FINDING  ON  THE  RECORD  THAT  THE  PUBLIC  INTEREST
REQUIRES  THE  REIMBURSEMENT OF UTILITY INTERVENOR FEES PURSUANT TO THIS
SECTION.
  (F) "SIGNIFICANT FINANCIAL HARDSHIP" MEANS THAT THE  PARTICIPANT  WILL
BE  UNABLE TO AFFORD, WITHOUT UNDUE HARDSHIP, TO PAY THE COSTS OF EFFEC-
TIVE PARTICIPATION, INCLUDING ADVOCATE'S FEES, EXPERT WITNESS FEES,  AND
OTHER REASONABLE COSTS OF PARTICIPATION.
  (G)  "SMALL  BUSINESS" MEANS A BUSINESS WITH A GROSS ANNUAL REVENUE OF
TWO HUNDRED FIFTY THOUSAND DOLLARS OR LESS.
  (H) "SUBSTANTIAL CONTRIBUTION" MEANS THAT,  IN  THE  JUDGMENT  OF  THE
DEPARTMENT,  THE  PARTICIPANT'S APPLICATION MAY SUBSTANTIALLY ASSIST THE
COMMISSION IN MAKING ITS DECISION BECAUSE  THE  DECISION  MAY  ADOPT  IN
WHOLE  OR IN PART ONE OR MORE FACTUAL CONTENTIONS, LEGAL CONTENTIONS, OR
SPECIFIC POLICY OR PROCEDURAL RECOMMENDATIONS THAT WILL BE PRESENTED  BY
THE PARTICIPANT.
  2.  A  PARTICIPANT  MAY  APPLY FOR AN AWARD OF COMPENSATION UNDER THIS
SECTION IN A PROCEEDING IN WHICH  SUCH  PARTICIPANT  HAS  SOUGHT  ACTIVE
PARTY  STATUS  AS DEFINED BY THE DEPARTMENT. THE DEPARTMENT SHALL DETER-
MINE APPROPRIATE PROCEDURES FOR ACCEPTING AND RESPONDING TO SUCH  APPLI-
CATIONS.    AT  THE TIME OF APPLICATION, SUCH PARTICIPANT SHALL SERVE ON
EVERY PARTY TO THE PROCEEDING NOTICE OF INTENT TO APPLY FOR AN AWARD  OF
COMPENSATION.
  AN APPLICATION SHALL INCLUDE:
  (A)  A  STATEMENT  OF  THE NATURE AND EXTENT AND THE FACTUAL AND LEGAL
BASIS OF THE PARTICIPANT'S PLANNED PARTICIPATION IN  THE  PROCEEDING  AS
FAR  AS  IT  IS  POSSIBLE TO DESCRIBE SUCH PARTICIPATION WITH REASONABLE
SPECIFICITY AT THE TIME THE APPLICATION IS FILED.
  (B) AT MINIMUM, A REASONABLY DETAILED DESCRIPTION OF ANTICIPATED ADVO-
CATES AND EXPERT WITNESS FEES AND OTHER COSTS OF PREPARATION AND PARTIC-
IPATION THAT THE PARTICIPANT EXPECTS TO REQUEST AS COMPENSATION.
  (C) IF PARTICIPATION OR INTERVENTION WILL IMPOSE A SIGNIFICANT  FINAN-
CIAL  HARDSHIP  AND THE PARTICIPANT SEEKS PAYMENT IN ADVANCE TO AN AWARD
OF COMPENSATION IN ORDER TO INITIATE, CONTINUE OR COMPLETE PARTICIPATION
IN THE HEARING OR PROCEEDING, SUCH PARTICIPANT MUST INCLUDE EVIDENCE  OF
SUCH SIGNIFICANT FINANCIAL HARDSHIP IN ITS APPLICATION.
  (D) ANY OTHER REQUIREMENTS AS REQUIRED BY THE DEPARTMENT.

A. 1247                             3

  3.  (A)  WITHIN  THIRTY  DAYS  AFTER  THE FILING OF AN APPLICATION THE
DEPARTMENT SHALL ISSUE A DECISION THAT DETERMINES  WHETHER  OR  NOT  THE
PARTICIPANT MAY MAKE A SUBSTANTIAL CONTRIBUTION TO THE FINAL DECISION IN
THE  HEARING OR PROCEEDING. IF THE DEPARTMENT FINDS THAT THE PARTICIPANT
REQUESTING COMPENSATION MAY MAKE A SUBSTANTIAL CONTRIBUTION, THE DEPART-
MENT  SHALL  DESCRIBE  THIS  SUBSTANTIAL  CONTRIBUTION AND DETERMINE THE
AMOUNT OF COMPENSATION TO BE PAID PURSUANT TO SUBDIVISION FOUR  OF  THIS
SECTION.
  (B)  NOTWITHSTANDING  SUBDIVISION FOUR OF THIS SECTION, IF THE DEPART-
MENT FINDS THAT THE PARTICIPANT HAS A  SIGNIFICANT  FINANCIAL  HARDSHIP,
THE DEPARTMENT MAY DIRECT THE PUBLIC UTILITY OR UTILITIES SUBJECT TO THE
PROCEEDING  TO  PAY ALL OR PART OF THE COMPENSATION TO THE DEPARTMENT TO
BE PROVIDED TO THE PARTICIPANT PRIOR TO THE END OF  THE  PROCEEDING.  IN
THE  EVENT  THAT  THE  PARTICIPANT DISCONTINUES ITS PARTICIPATION IN THE
PROCEEDING WITHOUT THE CONSENT OF THE DEPARTMENT, THE  DEPARTMENT  SHALL
BE  ENTITLED  TO, IN WHOLE OR IN PART, RECOVER ANY PAYMENTS MADE TO SUCH
PARTICIPANT TO BE REFUNDED TO  THE  PUBLIC  UTILITY  OR  UTILITIES  THAT
PROVIDED SUCH PAYMENT.
  (C)  THE COMPUTATION OF COMPENSATION PURSUANT TO PARAGRAPH (A) OF THIS
SUBDIVISION SHALL TAKE INTO  CONSIDERATION  THE  MARKET  RATES  PAID  TO
PERSONS   OF  COMPARABLE  TRAINING  AND  EXPERIENCE  WHO  OFFER  SIMILAR
SERVICES. THE COMPENSATION AWARDED MAY NOT,  IN  ANY  CASE,  EXCEED  THE
COMPARABLE MARKET RATE FOR SERVICES PAID BY THE DEPARTMENT OR THE PUBLIC
UTILITY,  WHICHEVER  IS  GREATER,  TO PERSONS OF COMPARABLE TRAINING AND
EXPERIENCE WHO ARE OFFERING SIMILAR SERVICES.
  (D) ANY COMPENSATION AWARDED TO A PARTICIPANT AND  NOT  USED  BY  SUCH
PARTICIPANT SHALL BE RETURNED TO THE DEPARTMENT FOR REFUND TO THE PUBLIC
UTILITY OR UTILITIES THAT PROVIDED SUCH PAYMENT.
  (E)  THE  DEPARTMENT  SHALL  REQUIRE THAT PARTICIPANTS SEEKING PAYMENT
MAINTAIN AN ITEMIZED RECORD OF ALL EXPENDITURES INCURRED AS A RESULT  OF
SUCH PROCEEDING.
  (I)  THE  DEPARTMENT MAY USE THE ITEMIZED RECORD OF EXPENSES TO VERIFY
THE CLAIM OF FINANCIAL HARDSHIP BY A PARTICIPANT SEEKING PAYMENT  PURSU-
ANT TO PARAGRAPH (C) OF SUBDIVISION TWO OF THIS SECTION.
  (II) THE DEPARTMENT MAY USE THE RECORD OF EXPENDITURES IN DETERMINING,
AFTER THE COMPLETION OF A PROCEEDING, IF ANY UNUSED FUNDS REMAIN.
  (III) THE DEPARTMENT SHALL PRESERVE THE CONFIDENTIALITY OF THE PARTIC-
IPANT'S  RECORDS  IN MAKING ANY AUDIT OR DETERMINING THE AVAILABILITY OF
FUNDS AFTER THE COMPLETION OF A PROCEEDING.
  (F) IN THE EVENT THAT THE DEPARTMENT FINDS THAT TWO  OR  MORE  PARTIC-
IPANTS'  APPLICATIONS  HAVE SUBSTANTIALLY SIMILAR INTERESTS, THE DEPART-
MENT MAY REQUIRE SUCH PARTICIPANTS TO APPLY JOINTLY IN ORDER TO  RECEIVE
COMPENSATION.
  4.  ANY  COMPENSATION  PURSUANT  TO  THIS SECTION SHALL BE PAID AT THE
CONCLUSION OF THE PROCEEDING BY THE PUBLIC UTILITY OR UTILITIES  SUBJECT
TO  THE PROCEEDING WITHIN THIRTY DAYS. SUCH COMPENSATION SHALL BE REMIT-
TED TO THE DEPARTMENT WHICH SHALL THEN REMIT SUCH  COMPENSATION  TO  THE
PARTICIPANT.
  5. THE DEPARTMENT SHALL DENY ANY AWARD TO ANY PARTICIPANT WHO ATTEMPTS
TO  DELAY  OR OBSTRUCT THE ORDERLY AND TIMELY FULFILLMENT OF THE DEPART-
MENT'S RESPONSIBILITIES.
  S 2. The state finance law is amended by adding a new section  97-llll
to read as follows:
  S  97-LLLL. UTILITY INTERVENOR ACCOUNT. 1. THERE IS HEREBY ESTABLISHED
IN THE JOINT CUSTODY OF THE STATE COMPTROLLER AND  THE  COMMISSIONER  OF

A. 1247                             4

TAXATION  AND  FINANCE  A  FUND  TO  BE  KNOWN AS THE UTILITY INTERVENOR
ACCOUNT.
  2.  SUCH ACCOUNT SHALL CONSIST OF ALL UTILITY INTERVENOR REIMBURSEMENT
MONIES RECEIVED FROM UTILITIES PURSUANT TO SECTION TWENTY-FOUR-C OF  THE
PUBLIC SERVICE LAW.
  S  3.  This  act shall take effect on the thirtieth day after it shall
have become a law.