S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                    17
 
                        2017-2018 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                (PREFILED)
 
                              January 4, 2017
                                ___________
 
 Introduced by M. of A. CAHILL -- Multi-Sponsored by -- M. of A. FARRELL,
   GLICK,  GOTTFRIED,  HEVESI, ROSENTHAL -- 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:
   § 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-PPPP 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.
              

                                                            LBD01325-01-7

 A. 17                               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 SECTIONS 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. 17                               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.
   § 2. The state finance law is amended by adding a new section  97-pppp
 to read as follows:
   §  97-PPPP. UTILITY INTERVENOR ACCOUNT. 1. THERE IS HEREBY ESTABLISHED
 IN THE JOINT CUSTODY OF THE STATE COMPTROLLER AND  THE  COMMISSIONER  OF

 A. 17                               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.
   §  3.  This  act shall take effect on the thirtieth day after it shall
 have become a law.