S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                  3034--A
     Cal. No. 906
 
                        2021-2022 Regular Sessions
 
                             I N  S E N A T E
 
                             January 27, 2021
                                ___________
 
 Introduced  by  Sens. PARKER, HINCHEY, HOYLMAN -- read twice and ordered
   printed, and when printed to be committed to the Committee  on  Energy
   and  Telecommunications  -- reported favorably from said committee and
   committed to the Committee on Finance -- reported favorably from  said
   committee,  ordered  to  first  and  second report, ordered to a third
   reading, amended and ordered reprinted, retaining  its  place  in  the
   order of third reading
 
 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-UUUU 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
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
              

                       [ ] is old law to be omitted.
                                                            LBD01303-02-1

 S. 3034--A                          2
 
 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
 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 EXCEPT THOSE
 DESCRIBED IN SUBPARAGRAPH (II) OF PARAGRAPH (C) OF SUBDIVISION TWELVE OF
 SECTION SIXTY-SIX OF THIS CHAPTER; (2) THE REGULATION OF  THE  PRICE  OF
 STEAM,  PURSUANT TO ARTICLE FOUR-A OF THIS CHAPTER; (3) THE SUBMETERING,
 REMETERING OR RESALE OF ELECTRICITY TO RESIDENTIAL PREMISES, PURSUANT TO
 SECTIONS SIXTY-FIVE AND SIXTY-SIX OF THIS CHAPTER, AND PURSUANT TO REGU-
 LATIONS REGARDING THE SUBMETERING, REMETERING, 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 UTILI-
 TY 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

 S. 3034--A                          3
 
 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
 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-uuuu
 to read as follows:

 S. 3034--A                          4
 
   § 97-UUUU. 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.
   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.