S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   3605
 
                        2019-2020 Regular Sessions
 
                             I N  S E N A T E
 
                             February 11, 2019
                                ___________
 
 Introduced  by  Sen.  PARKER -- read twice and ordered printed, and when
   printed to be committed to the Committee on  Energy  and  Telecommuni-
   cations
 
 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-SSSS 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.
   (C) "OTHER REASONABLE COSTS" MEANS REASONABLE  OUT-OF-POCKET  EXPENSES
 DIRECTLY  INCURRED  BY  A  PARTICIPANT  THAT ARE DIRECTLY RELATED TO THE
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
              

                                                            LBD00030-01-9

 S. 3605                             2
 
 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.
   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

 S. 3605                             3
 
 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-ssss
 to read as follows:
   § 97-SSSS. UTILITY INTERVENOR ACCOUNT. 1. THERE IS HEREBY  ESTABLISHED
 IN  THE  JOINT  CUSTODY OF THE STATE COMPTROLLER AND THE COMMISSIONER OF
 TAXATION AND FINANCE A FUND  TO  BE  KNOWN  AS  THE  UTILITY  INTERVENOR
 ACCOUNT.

 S. 3605                             4
 
   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.