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The Oregon Administrative Rules contain OARs filed through June 15, 2014
 
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PUBLIC UTILITY COMMISSION

 

DIVISION 1

GENERAL

860-001-0000

Applicability and Waiver

(1) These rules govern practice and procedure before the Public Utility Commission of Oregon (Commission). The Commission will liberally construe these rules to ensure just, speedy, and inexpensive resolution of the issues presented. The Oregon Rules of Civil Procedure (ORCP) also apply in contested case and declaratory ruling proceedings unless inconsistent with these rules, a Commission order, or an Administrative Law Judge (ALJ) ruling.

(2) For limited purposes in specific proceedings, the Commission or ALJ may modify or waive any of the rules in this division for good cause shown. A request for exemption must be made in writing, unless otherwise allowed by the Commission or ALJ.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0010

Definitions

As used in this division:

(1) “Applicant” means a person requesting or applying for a right, privilege, power, or other authority, or seeking permission to exercise a right or privilege under a statute requiring the filing of an application.

(2) “Authorized representative” means a member of a partnership; an authorized officer or regular employee of a corporation, association, or organized group; an officer or regular employee of an organization affiliated with the party if the officer or employee is authorized to represent the party; or an authorized officer or employee of a governmental authority.

(3) “Complainant” means a person, including the Commission, who files a complaint under a statute providing for the filing of complaints before the Commission.

(4) “Contested case” has the meaning provided in ORS 183.310(2) and does not include rulemaking proceedings.

(5) “Days” means calendar days unless otherwise noted.

(6) “Intervenor” means a person who has intervened in the proceedings under OAR 860-001-0300.

(7) “Party” means a person entitled as a matter of right to a hearing before the Commission, an intervenor, or Commission Staff.

(8) “Person” has the meaning provided in ORS 756.010(5) as supplemented to include governmental entities.

(9) “Petitioner” means a person applying for permission to exercise a right, privilege, power, or other authority, or requesting a declaratory ruling under ORS 756.450.

(10) “Rulemaking” means proceedings to adopt, amend, or repeal a rule as set forth in ORS 183.335.

(11) “Staff” means an employee of the Commission except a Commissioner or an ALJ.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0020

Location, Contact Information, Hours of Operation

(1) The Commission’s location and contact information is:

(a) Physical Location: Public Utility Commission of Oregon 550 Capitol St N.E. Suite 215 Salem OR 97301-2567

(b) Consumer Services Section/Consumer Complaints: Salem: (503) 378-6600 Oregon outside Salem: (800) 522-2404 Fax: (503) 378-5743 Consumer Complaint Procedure on the website: http://www.puc.state.or.us/PUC/consumer/comppro.shtml

(c) Telephone/Fax (for other than consumer issues): Commission Reception: (503) 373-7394 Administrative Hearings Division: (503) 378-4372 or (503) 378-2849 Fax: (503) 378-6163 TTY (Oregon Relay Service): (800) 735-2900 TTY RSPF Programs (OTAP, TDAP, OTRS): (800) 648-3458

(d) Website homepage: http://www.puc.state.or.us/

(e) Filing Center: Electronic mail: PUC.FilingCenter@state.or.us Phone: (503) 373-0886 Fax: (503) 378-5505

(f) Mailing Address:

Public Utility Commission of Oregon Attn: Filing Center PO Box 2148 Salem OR 97308-2148

(g) Delivery Address:

Public Utility Commission of Oregon Attn: Filing Center 550 Capitol St NE Suite 215 Salem OR 97301-2567

(2) Office Hours: Commission offices are open to the public between 8:00 a.m. and 5:00 p.m., Monday through Friday, except on legal holidays as defined in ORS 187.010 or when the Commission’s office is closed by a Department of Administrative Services directive.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0030

Notice of Commission Proceedings

(1) A person may request to receive electronic notice of:

(a) Commission public meetings;

(b) Permanent rulemaking proceedings that involve electric, natural gas, telecommunications, water, wastewater, or procedural matters; and

(c) Contested case proceedings that concern particular regulated industries.

(2) A person without access to electronic mail may request that the Commission provide notice by first-class mail. The Commission may establish a fee for providing notice by mail.

(3) The Commission will not delete a name from a notice list without prior notification.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.335, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0040

Commission Publications

The Commission will charge fees reasonably calculated to reimburse the agency for the costs of annual subscriptions, agency publications, and materials related to agency proceedings. These fees, which include mailing costs, are:

(1) Subscriptions to Commission orders: $100 (annually).

(2) Subscription to notices of hearings: $50 (annually).

(3) Administrative rules update service: $75 (annually).

(4) Bound volume of Oregon laws relating to the Commission: At cost.

(5) Maps of specific area boundaries: $20.

(6) Statistical reports: $15.

(7) Hearing transcripts: At cost. A copy of a public hearing transcript must be supplied to a party without cost if the party files with the Commission a satisfactory affidavit of indigency under ORS 756.521.

(8) Notice by mail of Commission proceedings under OAR 860-001-0030(2): $25 annually.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 192.420-192.505, 756.040 & 756.325
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0050

Late Fees and Penalties

(1) The Commission will impose the following late fees and penalties when applicable:

(a) Check returned for non-sufficient funds: $25.

(b) Costs incurred by the Commission to collect past-due amounts: At cost.

(2) The Commission will impose the following interest and penalties for the untimely payment of fees required by statute or rule:

(a) Annual Fees: No interest; 2 percent of fee as penalty per month.

(b) Residential Service Protection Fund (RSPF) payments: 9 percent interest per annum; 9 percent penalty of unpaid fee up to $500 maximum per reporting period.

(3) The Commission will impose the following fees for late-filed statements and reports:

(a) Electric company Annual Fee Statement: $100.

(b) Gas utility Annual Fee Statement: $100.

(c) Telecommunications providers Annual Fee Statement: $100.

(d) Water utility Annual Fee Statement: $40.

(e) RSPF Remittance Report: $100.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.305 – 756.320
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Public Records and Confidential Information

860-001-0060

Public Records Requests

(1) This rule governs requests for access to the Commission’s public records under the Public Records Law, ORS 192.410 through 192.505.

(2) A person may request access to the Commission’s public records. After receiving a request, the Commission will make public records available for inspection during regular business hours unless the records are exempt from disclosure by law.

(a) The Commission may condition the time and manner of inspection of public records as necessary to protect the records and to prevent interference with the regular discharge of the duties of the Commission and its employees.

(b) The request must be sufficiently specific to allow the Commission to readily identify the document or other material that contains the requested information. The Commission may require that a request for public records be made in writing.

(c) The request must specify the format requested for copies and the date, if any, by which the records are needed. The Commission may provide the information in a format different than requested or provide the information after the requested date if it is impractical to comply with the requests.

(3) The Commission will charge the following fees reasonably calculated to recover the costs of providing access to and copying public records:

(a) Employee time: The Commission will charge for employee time over 15 minutes spent preparing documents for inspection or supervising the inspection. Employee time will be charged in 15-minute increments at the following rates:

(A) Assistant Attorney General: $137 per hour, excluding time spent determining the application of ORS 192.410 through 192.505.

(B) Administrative Law Judge: $53 per hour.

(C) Manager: $43 per hour.

(D) Utility Analyst: $41 per hour.

(E) Information Services: $43 per hour.

(F) Law Clerk: $15 per hour.

(G) General Clerical: $24 per hour.

(b) Photocopies: The Commission will charge $0.15 per page to recover the costs of photocopying requested documents. Page refers to one side of a piece of paper. A double-sided copy is two pages. The Commission may waive fees for photocopies provided in response to routine requests for a single copy of a Commission order or other public document.

(c) Certification of true copies of public documents must be specifically requested, and the Commission charges $10 per document certification.

(d) Facsimile: The Commission charges $0.75 per page for faxing records. The Commission will not fax more than 30 pages.

(e) Electronic Media: If the request seeks electronic reproduction of public records, then the Commission will provide reproduction media at the following rates:

(A) CD or DVD: $1.50 each.

(B) Audio Cassettes: $2.50 each.

(f) Mailing: When sending voluminous records, the Commission will charge the actual costs of sending the public records.

(4) Upon request, the Commission will provide notice of the estimated costs of making records available for inspection or providing copies of records. If the estimated costs exceed $25, then the Commission will provide written notice and not act further to respond to the request until it receives written authorization to proceed. The Commission may require that all estimated fees and charges be paid before public records are made available for inspection or copies provided.

(5) If a public records request seeks the disclosure of information that has been designated as confidential under a protective order or under the Public Records Law, then prior to the release of the information the Commission will provide written notice to the person asserting confidentiality and allow an opportunity for the person to provide a written response to the request.

(a) The person asserting confidentiality must demonstrate that the information is exempt from disclosure.

(b) If the Commission concludes that the information designated as confidential is not protected from disclosure, then the Commission will provide notice of the decision and delay the release of the information to permit the person asserting confidentiality to seek a court order to protect the records from disclosure.

(c) If the person asserting confidentiality consents in writing to the release of the information or does not commence court proceedings to limit disclosure within 10 days following notice of the decision, then the Commission will remove the confidential designation from the requested information and release the information to the requester.

(6) A person denied the right to inspect or to receive a copy of a public record may appeal the Commission’s decision to the Attorney General under ORS 192.450.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 192.420-192.505
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0070

Confidential Information

(1) This rule applies to information submitted under a claim of confidentiality under the Public Records Law, but does not apply to information designated as confidential under a protective order in a contested case proceeding.

(2) At the time of submission, a person may designate a document or portion of a document as containing confidential information. A designation must be made in good faith and be limited to information that qualifies for protection. The person asserting confidentiality must state the legal basis for the claim of confidentiality.

(3) Unless otherwise provided by Commission order, confidential information submitted under this rule must be printed on yellow paper, separately bound, and placed in a sealed container. To the extent practicable, the provider must place only the portions of the document that contain confidential information in the container. The confidential information on each page must be clearly marked by inserting [Confidential] before and after the portion of information that is confidential. The container must be marked “CONFIDENTIAL.” Multiple sealed containers may be mailed in one package.

(4) Confidential information submitted to the Commission is exempt from public disclosure to the extent provided under the Public Records Law, ORS 192.410 through 192.505.

(5) Any failure to comply with the requirements in this rule may result in the submission not being treated as including confidential information or being returned to the provider for correction and resubmission.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 192.420-192.505, & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0080

Protective Orders

(1) Upon request by a party and for good cause shown, an ALJ may issue protective orders to limit disclosure of confidential information in specific Commission proceedings. Decisions by the ALJ regarding protective orders may be appealed to the Commission under OAR 860-001-0720.

(2) General Protective Order. The Commission’s general protective order adopts a process for parties to resolve discovery disputes that include confidential information. The order allows the broadest possible discovery consistent with the need to protect confidential information; it does not determine whether a particular document is exempt from disclosure.

(a) Under the terms of a general protective order, a party may designate information that it reasonably believes falls within the scope of ORCP 36(C)(7) or is exempt from public disclosure under the Public Records Law. Information designated as confidential may be disclosed only to a “qualified person” as defined in the general protective order.

(b) A confidential designation must be made in good faith and be limited to the portions of the document that qualify as a protected trade secret or other confidential research, development, or commercial information.

(c) Except for Commission Staff, a party must sign the “consent to be bound” section of the protective order to receive confidential information. By signing the “consent to be bound,” the party certifies that it has an interest in the proceedings that is not adequately represented by other parties to the proceedings, that the party will not use or disclose the information for any purpose other than to participate in the proceedings unless the designating party gives written consent, and that the party will take all reasonable precautions to keep the confidential information secure.

(d) A party may challenge the designation of information as confidential by notifying the designating party. Once notified, the designating party must show that the challenged information is covered by ORCP 36(C)(7) or exempt from disclosure under the Public Records Law.

(e) If the parties are unable to resolve a dispute about a confidential designation informally, then any party may request that the ALJ conduct a conference to facilitate the resolution of discovery disputes. A challenging party may also file an objection to the confidential designation. The objection must identify the information in dispute and include a certification that the parties have made reasonable efforts to achieve a resolution, but have been unable to resolve the controversy without the ALJ’s assistance. Within 7 days of the objection, the designating party must either remove the confidential designation or file a written response identifying the legal basis for the claim of confidentiality. The challenging party may file a written reply to the response within 7 days.

(3) Motion for Additional Protection. A party may request that the ALJ issue a modified protective order that provides additional protection beyond that provided by the general protective order.

(a) A motion for additional protection must include:

(A) The parties involved;

(B) A detailed description of the information to be protected;

(C) Legal authority for the claim that the information is protected under the ORCP 36(C)(7) or the Public Records Law;

(D) The reasons the general protective order is inadequate to protect the information at issue;

(E) A description of the intermediate measures, including selected redaction, explored by the parties and why these measures are insufficient; and

(F) A description of the measures of additional protection sought, why they are necessary, and how they are narrowly tailored to address the circumstances presented in the docket.

(b) In determining whether to issue a modified protective order to provide additional protection of designated information, the ALJ will, at minimum, consider the following as applicable:

(A) The extent to which the information is known outside of the moving party’s business;

(B) The extent to which the information is known by employees and others involved in the moving party’s business;

(C) The extent of measures taken by the moving party to guard the secrecy of the information;

(D) The value of the information to the moving party and its competitors;

(E) The amount of effort or money expended by the moving party in developing the information;

(F) The ease or difficulty with which the information could be properly acquired or duplicated by others;

(G) The extent, kind, and likelihood of harm that may occur should the information be disclosed;

(H) Whether the additional protection sought would unreasonably restrict the intervenors from fully participating in the proceeding, recognizing that the tax information of an unregulated nonutility business in a regulated utility’s affiliated group is sensitive;

(I) Whether the additional protection sought would unreasonably restrict the ability of the Commission to develop a full and complete record of all facts relevant to the proceeding; and

(J) Other considerations the Commission deems relevant.

(c) To receive access to confidential information that has been given additional protection beyond that of the general protective order, a party may be required to certify that it intends to fully participate in the proceedings. Fully participating means being actively involved in the docket, as appropriate, by filing testimony; participating in settlement negotiations, participating in workshops, participating in conferences, participating in hearings; and filing other pleadings as required. If a certifying party fails to fully participate in the proceedings, the party may decertify itself or, upon the request of a party or the ALJ’s own motion, be decertified as eligible to receive information under a modified protective order.

(d) Challenges to the designation of information as warranting additional protection under a modified protective order are to be handled as described in section (2) above, unless the modified protective order provides otherwise.

(e) If, during the course of the subject proceedings, a dispute arises regarding the application of a modified protective order, any of the affected parties may ask the ALJ to conduct a conference to facilitate resolution of the dispute. The ALJ will schedule a conference to take place within three business days, or as soon as practicable, to expedite the resolution of the dispute. The ALJ may require in camera inspection of the documents for which a party seeks additional protection.

(4) The Commission may expel from the subject proceedings any person who fails to comply with the terms of a protective order, prohibit the person from appearing in future proceedings, and impose penalties under ORS 756.990(2)(c). If an attorney violates a protective order, the Commission will report the violation to the bar associations in all states where the attorney is admitted to practice law.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORCP(36), ORS 756.040, 756.055 & 756.990
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10; PUC 4-2012, f. & cert. ef. 4-17-12

Administrative Law Judge

860-001-0090

Delegation of Authority to Administrative Law Judge

(1) The Commission delegates to the ALJ authority to:

(a) Regulate the course of rulemaking, contested case, and declaratory ruling proceedings, including scheduling, recessing, reconvening, and adjourning hearings;

(b) Administer oaths;

(c) Issue subpoenas;

(d) Make evidentiary rulings;

(e) Supervise and control discovery;

(f) Hold appropriate conferences before, during, or after hearings;

(g) Decide procedural matters, but not to grant contested motions to dismiss or other contested motions that involve final determination of the proceedings;

(h) Change filing deadlines;

(i) Grant waivers of rules;

(j) Certify a question to the Commission for consideration and disposition;

(k) Determine the order in which evidence will be presented;

(l) Issue a protective order to limit disclosure of confidential information; and

(m) Take any other action consistent with the duties of an ALJ.

(2) The ALJ must conduct proceedings in a fair and impartial manner and maintain order. If a person engages in conduct that interferes with this duty, then the ALJ may suspend the proceeding or exclude the person from the proceeding.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040, 756.055 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0100

Impartiality

(1) An ALJ may be disqualified from presiding over specific proceedings for the same reasons and under the same circumstances as specified in JR 2-106 of the Oregon Code of Judicial Conduct.

(2) A party may move for disqualification of an ALJ if the ALJ’s impartiality may reasonably be questioned. The motion must be filed within 15 days after the party learns of the facts supporting the disqualification and contain grounds for supporting the motion. Written responses to the motion for disqualification must be filed within 7 days of receipt of the motion. An ALJ other than the presiding ALJ will rule on the motion.

(3) The parties may waive any ground for disqualification after it is fully disclosed on the record, either expressly in writing or orally on the record, or by failing to move for disqualification within the time limits in section (2) of this rule.

(4) An ALJ’s disqualification does not automatically affect the validity of rulings or orders issued prior to the filing of the motion for disqualification.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040, 756.055 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0110

Appeal to the Commission from Ruling of Administrative Law Judge

(1) A party may request that the ALJ certify an ALJ’s written or oral ruling for the Commission’s consideration. A party must request certification of a ruling within 15 days of the date of service of the ruling or date of the oral ruling.

(2) The ALJ must certify the ruling to the Commission under OAR 860-001-0090 if the ALJ finds that:

(a) The ruling may result in substantial detriment to the public interest or undue prejudice to a party;

(b) The ruling denies or terminates a person’s participation; or

(c) Good cause exists for certification.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Intervenor Funding

860-001-0120

Grant Eligibility (Precertification and Case Certification)

(1) Under ORS 757.072, a utility providing electricity or natural gas may enter into a written agreement to provide financial assistance to an organization that represents broad customer interests in Commission proceedings.

(2) Upon Commission approval of an agreement, the Commission will apply the qualifications in this rule to determine whether an organization is eligible for a grant of financial assistance. Only parties that are precertified or parties that become case certified for particular proceedings are eligible to receive grants under an agreement. The terms of an agreement are binding on all organizations seeking a grant under that agreement and will be followed by the Commission in administering the agreement. Once precertified, an organization remains precertified unless the Commission decertifies the organization under OAR 860-001-0130.

(3) An agreement may allow organizations to seek precertification as eligible to receive grants. The Commission will precertify only organizations meeting the following criteria:

(a) The Citizens' Utility Board of Oregon (CUB), as a representative of residential customers; or

(b) Nonprofit organizations that meet the following criteria:

(A) A primary purpose of the organization is to represent utility customers' interests on an ongoing basis;

(B) The organization represents the interests of a broad class of customers and those interests are primarily directed at public utility rates or terms and conditions of service affecting those customers, and not narrow interests or issues that are ancillary to the representation of those customers as consumers of utility services;

(C) The organization demonstrates that it is able to effectively represent the particular class of customers it seeks to represent;

(D) The organization’s members are customers of one or more of the utilities that are parties to the applicable agreement and contribute a significant portion of the overall support and funding of the organization's activities in the state; and

(E) The organization has demonstrated in past Commission proceedings the ability to substantively contribute to the record on behalf of customer interests.

(4) An agreement may allow organizations to seek certification on a case-by-case basis as eligible to receive a grant. The Commission will case certify only those organizations meeting the following criteria:

(a) The organization is a nonprofit organization, demonstrates that it is in the process of becoming a nonprofit organization, or is comprised of multiple customers of one or more of the utilities that are parties to the agreement and demonstrates that a primary purpose of the organization is to represent broad utility customer interests;

(b) The organization represents the interests of a broad class of customers and its participation in the proceedings will be primarily directed at public utility rates or terms and conditions of service affecting those customers, and not narrow interests or issues that are ancillary to the effect of the rates and terms and conditions of service on those customers;

(c) The organization demonstrates that it is able to effectively represent the particular class of customers it seeks to represent;

(d) Those members of the organization who are customers of one or more of the utilities that are affected by the proceedings and are parties to the agreement contribute a significant percentage of the overall support and funding of the organization;

(e) The organization demonstrates or has demonstrated in past Commission proceedings the ability to substantively contribute to the record on behalf of customer interests related to rates and the terms and conditions of service, including in proceedings in which the organization was case certified and received a grant;

(f) The organization demonstrates that:

(A) No precertified intervenor participating in the proceedings adequately represents the specific interests of the class of customers represented by the organization; or

(B) The specific interests of a class of customers will benefit from the organization's participation; and

(g) The organization demonstrates that its request for case certification will not unduly delay the proceedings.

Stat. Auth.: ORS 756.040, 756.060, & 757.072
Stats. Implemented: ORS 756.040, 756.055 & 757.072
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0130

Termination of Eligibility; Decertification

(1) Upon the filing of a complaint under ORS 756.500 or upon a Commission investigation or motion under 756.515, the Commission may terminate the precertification or case certification of an organization if it finds that:

(a) The organization has committed fraud, misrepresentation, or misappropriation related to a grant made available under the terms of a Commission-approved agreement;

(b) The organization received a grant in Commission proceedings, but during those proceedings failed to represent the interests of the broad class of customers that the organization purported to represent in its application for precertification or case certification;

(c) The organization has failed to comply with Commission orders or rules in a material way;

(d) The organization violated the terms and conditions of a protective order governing the use and disclosure of confidential information;

(e) For CUB, there has been a substantial change in or repeal of ORS 774.010 through 774.990; or

(f) A precertified organization other than CUB no longer meets the criteria of OAR 860-001-0120(3).

(2) An intervenor that is decertified under paragraph (1)(d) is ineligible for future precertification or case certification under the agreement.

(3) Termination of the precertification or case certification of an organization is prospective only.

Stat. Auth.: ORS 756.040, 756.060, & 757.072
Stats. Implemented: ORS 756.040, 756.055 & 757.072
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Filing Requirements

860-001-0140

General

(1) Documents submitted to the Commission must include the name of the person submitting the document, the person’s physical and electronic mail addresses, and the person’s telephone number. If applicable, the name of the business or organization that person represents must also be included.

(2) If possible, documents should fit on an 8-1/2-by-11-inch page and have at least 1 inch margins when printed.

(3) Documents should be printed on both sides if possible. The Commission encourages the use of recycled paper.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 - 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0150

Filing Dates

(1) Except as modified by statute or by these rules, a document is filed on the date received by the Commission at Salem, Oregon, between the hours of 8 a.m. and 5 p.m., Pacific Time.

(2) The period of time for doing an act governed by these rules is determined by excluding the first day and including the last day. For example, if a motion is served on September 18, then any response (due 15 days after service of the motion) must be filed by October 3. If the due date falls on a Saturday, Sunday, legal holiday as defined in ORS 187.010, or when the Commission office is closed by a Department of Administrative Services directive, then the filing is due on the next business day.

(3) Filings that are incomplete or not in substantial compliance with these rules, Commission orders, ALJ rulings, or statutes may be declined or conditionally accepted. The Commission must provide the reason for declining or conditionally accepting a filing to the filer.

(4) Documents required to be filed within a specified time but that fail to substantially comply with these rules may be accepted as conditionally received to meet the filing deadline.

(5) Conditionally received filings are not considered officially filed until brought into substantial compliance with these rules, the Commission’s orders, ALJ rulings, and statutes. Conditionally received filings may be rejected unless brought into compliance within one business day of notice of the deficiency.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0160

Filing Requirements in Rulemaking Proceedings

(1) Written comments on proposed rules and other documents submitted in rulemaking proceedings must be filed with the Commission’s Filing Center at the address listed in OAR 860-001-0020.

(a) Documents may be filed by mail, personal delivery, electronic mail, or any other means of delivery.

(b) To be considered by the Commission, a document must be received by the deadline for the submission of written comments specified in the notice of proposed rulemaking.

(c) Documents must include the docket number assigned by the Commission to the rulemaking proceedings.

(2) Written comments on a proposed rule must comply with OAR 860-001-0210(3).

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 - 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0170

Filing Requirements in Contested Case and Declaratory Ruling Proceedings

(1) Every pleading or other document submitted to the Commission in contested case or declaratory ruling proceedings must be filed electronically with the Commission’s Filing Center on or before the date due. The filing must include an electronic copy of the signed certificate of service described in OAR 860-001-0180(5). All filings must be labeled with the applicable docket number, a description of the filing, and the date filed. Electronic copies of non-confidential documents must not be password protected.

(a) Documents may be electronically filed by sending the filing as an attachment to an electronic mail message addressed to the Commission’s Filing Center, by personally delivering or mailing a compact disk (CD) or DVD to the Filing Center, or by uploading the filing on the Commission’s website. If a CD or DVD is delivered or mailed to the Filing Center, it must be received on or before the date due to be considered timely filed.

(b) Electric copies of documents must be in text-searchable format and provided in either Microsoft Word, Microsoft Excel, or .pdf (Adobe Acrobat) format, unless otherwise permitted by the ALJ. A party must provide a Microsoft Word version of any document, if possible, upon the ALJ’s request.

(c) A filing submitted as an attachment to an electronic mail message must be less than 20 megabytes in size and include the docket number, party name, and title of the filing in the subject line of the electronic mail message.

(d) Filings larger than 20 megabytes may be divided into multiple electronic mail messages. Each message must be numbered sequentially, and the subject line of the message must include “E-mail x of y,” where x equals the message number and y equals the total number of messages. Filings larger than 20 megabytes must also be provided to the Filing Center on CD or DVD. The CD or DVD must be sent to the Filing Center with the original filing as described in section (2).

(e) If a document relates to multiple dockets that are officially consolidated, then the document should be filed in the lead docket only. If a document relates to multiple dockets that are not officially consolidated, then the document must be filed electronically in each docket, even if all dockets are following the same procedural schedule.

(f) If a document contains confidential information, then a redacted version will be accepted for electronic filing, but only if the original confidential document is personally delivered or sent by first-class mail, postage prepaid, to the Filing Center on the date the redacted document was electronically filed.

(g) If an entire filing is confidential, then a cover letter will be accepted for electronic filing, but only if the original confidential document is personally delivered or sent by first-class mail, postage prepaid, to the Filing Center on the date the cover letter was electronically filed.

(2) The signed original of any pleading or other document filed in contested case or declaratory ruling proceedings must be sent by first-class mail, postage prepaid, or personal delivery to the Commission’s Filing Center at the address listed in OAR 860-001-0020.

(a) The original document must be personally delivered or mailed on the date the electronic copy of the document is filed.

(b) The original document must be signed and dated and include the original, signed certificate of service as described in OAR 860-001-0180(5).

(c) The original document and the copies required in section (3) must be sent in the same envelope or container if possible. Simultaneous filings in multiple dockets must be sent in separate envelopes or containers for each docket. Multiple envelopes or containers submitted in the same docket may be enclosed in one mailing or delivery package.

(3) For the following documents, the specified number of copies must be sent with the original document:

(a) Initiating and Responsive Pleadings, including Comments: 5 copies.

(b) General rate revisions filed under OAR 860-022-0019:

(A) Utility initial filing: 30 copies; and

(B) Work papers: 3 paper copies if reasonably capable of being reproduced in written format; if not, 3 copies on CD or DVD.

(c) Motions and Replies: 2 copies.

(d) Testimony filed under OAR 860-001-0480: 5 copies.

(e) Briefs filed under OAR 860-001-0650: 5 copies.

(f) Applications for Allocation of Territory filed under OAR 860-025-0000 through 860-025-0050, 860-034-0440 through 860-034-0495, or 860-036-0900 through 860-036-0925: 3 copies.

(g) Financing applications filed under OAR 860-027-0020 through 860-027-0035, 860-036-0715 through 860-036-0725, or 860-037-0515 through 860-037-0525: 3 copies.

(h) Affiliated interest applications filed under OAR 860-027-0040 through 860-027-0044, 860-036-0730 through 860-036-0738, or 860-037-0530 through 860-037-0545: 3 copies.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 - 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0180

Service in Contested Case and Declaratory Ruling Proceedings

(1) The Commission maintains an official service list for each contested case and declaratory ruling proceeding. The service list is posted on the Commission’s website or may be obtained by contacting the Commission.

(a) Each party must identify at least one party representative to receive service, and may identify no more than three party representatives to receive service.

(b) Parties may designate party representatives in an initiating pleading, petition to intervene, or separate document. Parties must notify the Commission and all other parties in writing of any change in contact information.

(2) A party must serve by electronic mail copies of all documents filed in contested case or declaratory ruling proceedings on every party representative included on the official service list. A party must also serve physical copies of a document in person, by first-class mail, or by any other reasonable means of delivery if:

(a) The document contains information that has been designated as confidential under a general protective order. Parties must use electronic service to serve a redacted copy of the document and provide physical copies of the confidential portions of the document. Service must conform with the requirements in the applicable general protective order;

(b) The filing is more than 100 pages, unless the party agrees to receive electronic service of voluminous filings; or

(c) A party has requested and received permission from the ALJ to receive physical service of all documents.

(3) Service is considered timely if the electronic mail is sent on the day the document is filed. Service by electronic mail is complete when the electronic mail message leaves the sender’s electronic mail server. Parties providing service by electronic mail are encouraged to request electronic return receipts and must take all reasonable steps to ensure successful delivery.

(4) Service of physical copies of a document is considered timely if the copy is delivered in person on the date the document is filed with the Commission, or the copy is mailed by first-class mail, postage pre-paid, on the date the document is filed with the Commission.

(5) A certificate of service must be filed with every pleading or other document filed in contested case or declaratory ruling proceedings. The certificate of service must:

(a) Include a signed certification that the document was served on all party representatives included in the official service list for the proceedings;

(b) List the names of the party representatives served;

(c) State the means of service to each party representative and the electronic or physical address served; and

(d) State the date of service.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Rulemaking Proceedings

860-001-0200

Public Participation

The Commission may informally seek public input before giving notice of intent to adopt, amend, or repeal a rule. A person may request to be notified of informal opportunities for public input by requesting to be placed on a notification list described in OAR 860-001-0030(1)(b).

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.335 – 183.355 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0210

Permanent Rulemaking Notice

(1) The Commission will give notice of a proposed permanent rulemaking by:

(a) Publishing notice of the rulemaking in the Secretary of State’s Oregon Bulletin; and

(b) Mailing, electronically mailing, or personally delivering a copy of the proposed rule and a copy of the Secretary of State notice to persons on the Commission’s applicable rulemaking notification lists and legislators specified in ORS 183.335(15). Instead of providing a copy of the proposed rule, the Commission may provide a summary of the rule and explain how to obtain a copy by mail, electronic mail, or from a specified website.

(2) The notice of proposed permanent rulemaking must include:

(a) A statement summarizing the subject matter, purpose, and need for the proposed rule;

(b) The last date for comment on the proposed rule;

(c) The date of or ability to request a hearing; and

(d) A statement of fiscal impact quantifying the economic effect of the proposed rule.

(3) Any person may file written comments on the proposed rule by the date identified in the rulemaking notice.

(a) Written comments must be filed as set forth in OAR 860-001-0160.

(b) Written comments must identify:

(A) The name and address of the person;

(B) The name of any business or organization the person represents;

(C) The docket number assigned to the rulemaking; and

(D) The portion of the proposed rule to which the comments are directed. If applicable, the person should also provide alternative language for the proposed rule to address any concern.

(4) An objection to a fiscal impact statement must be filed in writing and must:

(a) Identify the portion of the fiscal impact statement to which objection is made;

(b) Identify the persons likely to be affected by the proposed rule on whose behalf the objection is filed or, if filed by an association, identify the number of members of the association who are likely to be affected by the proposed rule;

(c) Explain how the persons identified are likely to be affected by the proposed rule;

(d) Explain the objection to the fiscal impact statement; and

(e) Be filed as set forth in OAR 860-001-0160.

(5) If the Commission determines that the original fiscal impact statement does not adequately reflect the proposed rule's fiscal impact, then the Commission must file an amended fiscal impact statement, extend the comment period as required by ORS 183.333(5), and give notice of the extended comment period to persons identified in subsection (1)(b).

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.335 – 183.355 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0220

Conduct of Rulemaking Hearing

(1) All persons wanting to comment during a rulemaking hearing must provide their name, address, and affiliation. The ALJ may also require that additional information be provided. Additional persons may be heard at the discretion of the ALJ.

(2) The ALJ may question any person commenting at the hearing. The ALJ may also permit other persons to question the person commenting.

(3) A person may present comments once during the hearing unless otherwise requested or permitted by the ALJ.

(4) The hearing may be continued with recesses as determined by the ALJ until all persons have had an opportunity to offer comments.

(5) The ALJ must, when practicable, receive all physical and documentary information presented by persons offering comments.

(6) The ALJ may set reasonable time limits for oral presentation and may exclude or limit cumulative, repetitious, or immaterial comments.

(7) The ALJ must make a record of the proceeding by audio or video tape recording, stenographic reporting, or minutes.

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.335 – 183.355 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0230

Rulemaking Record

(1) The Commission must maintain a record of comments it receives in response to a notice of intent to adopt, amend, or repeal a rule filed under OAR 860-001-0210.

(2) The rulemaking record is maintained by the rules coordinator. The Commission must make the rulemaking record available to members of the public upon request.

(3) The rulemaking record must include:

(a) Any written and oral comments received in response to the notice of proposed rulemaking;

(b) The required rulemaking documents filed with the Secretary of State; and

(c) A copy of the proposed rule.

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.335 – 183.355 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0240

Rulemaking Action

(1) At the conclusion of the hearing or after the last date for submitting comments, the Commission may adopt, amend, or repeal rules covered by the notice of proposed rulemaking. The Commission must fully consider all written and oral comments.

(2) The Commission must file a certified copy of each adopted or amended rule and each order repealing a rule with the Secretary of State.

(3) The rule is effective upon filing with the Secretary of State unless a different effective date is specified in the rule.

(4) Within 10 days of filing with Secretary of State, the Commission must submit a copy of each adopted or amended rule or order appealing a rule to the Legislative Counsel as set forth in ORS 183.715.

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.335 – 183.355 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0250

Petition to Promulgate, Amend, or Repeal Rule

A person may petition the Commission to promulgate, amend, or repeal a rule. A petition to promulgate, amend, or repeal a rule must comply with OAR 137-001-0070.

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.390 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0260

Temporary Rulemaking

(1) Under ORS 183.335(5), the Commission may temporarily adopt, amend, or suspend a rule without prior notice of hearing or on abbreviated notice of hearing. If no notice is provided before adoption of a temporary rule, then the Commission must give notice of its temporary rulemaking as specified in ORS 183.335(1) by mailing, electronically mailing, or personally delivering a copy of the rule as adopted and a copy of the statements required under ORS 183.335(5). Instead of providing a copy of the temporary rule, the Commission may provide a summary of the temporary rule and explain how to obtain a copy by mail, electronic mail, or from a specified website.

(2) The agency must file with the Secretary of State a certified copy of the temporary rule and a copy of the statement required by ORS 183.335(5).

(3) A temporary rule is effective for 180 days unless a shorter period is specified in the temporary rule or the certificate of filing for the temporary rule.

Stat. Auth.: ORS 183.341, 756.040, 756.060
Stats. Implemented: ORS 183.335 – 183.355 & 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Contested Case and Declaratory Ruling Proceedings

Practice Before the Commission

860-001-0300

Participation in Contested Case and Declaratory Ruling Proceedings; Intervention

(1) Under ORS 774.180, the Citizens’ Utility Board has the right to intervene in any Commission proceedings by filing a notice of intervention that includes the names and addresses of the representatives to be included on the service list.

(2) Any other person may file a petition to intervene in contested case proceedings before the Commission. Sample petition to intervene forms may be found at http://www.puc.state.or.us/PUC/admin_hearings/Petition_to_Intervene_Form.shtml. The petition to intervene must contain the following information:

(a) The petitioner’s name and contact information, including telephone number, physical address, and electronic mail address;

(b) The name and contact information of the petitioner’s attorney or authorized representative, including telephone number, physical address, and electronic mail address;

(c) If the petitioner is an organization, the number of members in and the purpose of the organization;

(d) The nature and extent of the petitioner’s interest in the proceedings;

(e) The issues petitioner intends to raise at the proceedings; and

(f) Any special knowledge or expertise of the petitioner that would assist the Commission in resolving the issues in the proceedings.

(3) Staff and parties named in the pleading initiating Commission action are original parties and need not petition to intervene. All original parties must provide the Commission with the names and contact information, including telephone number, physical address, and electronic mail address, of the party representatives to be included on the service list.

(4) Any person may file a petition to intervene in declaratory ruling proceedings before the Commission. In addition to the requirements in section (2) of this rule, the petition to intervene must also state whether the intervenor accepts:

(a) The statement of facts as set forth in and for the purposes of the petition for declaratory ruling; and

(b) The statement of the questions presented in the petition for declaratory ruling.

(5) The petitioner must serve the petition to intervene on the other parties to the proceedings.

(6) A party may object to a petition to intervene. Objections must be filed within 10 days of service of the petition to intervene unless otherwise directed by an ALJ. The petitioner may file a reply to an objection within 7 days of service of the objection.

(7) If the Commission or ALJ finds the petitioner has sufficient interest in the proceedings and the petitioner’s appearance and participation will not unreasonably broaden the issues, burden the record, or delay the proceedings, then the Commission or ALJ must grant the petition. The Commission or ALJ may impose appropriate conditions upon any intervenor’s participation in the proceedings, such as restricted access to confidential information. The ALJ may rule on a petition to intervene at a prehearing conference.

(8) A person may ask to be listed as an “interested person” in particular proceedings. An interested person receives copies of the orders, rulings, notices, or other documents issued by the Commission or ALJ in the proceeding, but does not receive documents filed by Staff or other parties. An interested person is not a party to the proceedings, and is not entitled to file pleadings, present evidence for the record, conduct cross-examination of witnesses, or file briefs.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.417, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0310

Representation and Ethical Conduct

(1) All persons appearing in proceedings in a representative capacity must conform to the standards of ethical conduct required of attorneys appearing before the courts of Oregon. If a person does not conform to these standards, then the Commission may decline to permit the person to appear in a representative capacity in any proceedings.

(2) Except for Staff, a party to contested case proceedings may be represented by an authorized representative who is not an attorney.

(a) A party’s initial pleading in the proceedings must designate the party’s authorized representative.

(b) The ALJ has authority to limit an authorized representative’s presentation of evidence, examination, and cross-examination of witnesses, or presentation of factual arguments to ensure the orderly and timely development of the hearing record. The ALJ may not allow an authorized representative who is not an attorney to present legal argument except to the extent authorized in ORS 183.457.

(c) Changes to the designation of authorized representative must be made by written notice to the Commission with copies served on the other parties to the proceedings.

(3) Staff may represent the Commission in a contested case hearing in the following proceedings:

(a) Actions initiated by the Commission to recover telecommunications assistive devices, the value of devices which the recipients fail to return, or the cost of repairing equipment that the recipient returned in a damaged condition; and

(b) Denial or termination of Oregon Telephone Assistance Program benefits.

(4) Staff acting under the provisions of section (3) may not give legal advice to the Commission and may not present legal argument in contested case hearings, except to the extent authorized by this section.

(a) “Legal Argument” includes arguments on:

(A) The jurisdiction of the Commission to hear the contested case;

(B) The constitutionality of a statute or rule or the application of a constitutional requirement to the Commission

(C) The application of court precedent to the facts of the particular contested case proceeding.

(b) “Legal Argument” does not include presentation of motions, evidence, examination and cross-examination of witnesses or presentation of factual arguments or arguments on:

(A) The application of the statutes or rules to the facts in the contested case;

(B) Comparison of prior actions to the Commission in handling similar situations;

(C) The literal meaning of the statutes or rules directly applicable to the issues in the contested case;

(D) The admissibility of evidence; and

(E) The correctness of procedures being followed in the hearing.

(5) If the ALJ determines that statements or objections made by Staff appearing under section (3) involve legal argument as defined in this rule, the ALJ will provide reasonable opportunity for Staff to consult with the Attorney General and permit the Attorney General to present argument at the hearing or to file written legal argument within a reasonable time after conclusion of the hearing.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.452-183.458, 756.040 & 756.500 - 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10; PUC 1-2014, f. & cert. ef. 1-9-14

860-001-0320

Appearance of Attorneys; Pro Hac Vice

(1) To make legal arguments or sign legal documents in Commission proceedings, an attorney must be in good standing with the Oregon State Bar or appear pro hac vice.

(2) A motion to appear pro hac vice before the Commission must contain the following:

(a) A certificate of compliance for pro hac vice admission, available on the Oregon State Bar website, which includes most of the Uniform Trial Court Rule (UTCR) 3.170(1) requirements;

(b) A certificate of good standing from the bar association in the jurisdiction in which the attorney regularly practices; and

(c) If the attorney’s appearance before the Commission constitutes the private practice of law under ORS 9.160 and related statutes, a certificate of insurance covering the attorney’s activities in this state and providing professional liability insurance substantially equivalent to the Oregon State Bar Professional Liability Fund Plan.

(3) The applying attorney must associate with a member in good standing of the Oregon State Bar who must participate meaningfully in the matter. Applications must be made on a case-by-case basis. Each application is good for one attorney for a single case for one year. For cases continuing for over one year, an attorney appearing pro hac vice must file a new pro hac vice application to continue to participate in the case.

(4) A fee is not required. Additional guidance is provided by UTCR 3.170, which can be found on the Oregon State Bar website.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.457, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0330

Former Employees

(1) A former Commission employee may not appear on behalf of other parties in contested case or declaratory ruling proceedings in which the former employee took an active part on the Commission’s behalf.

(2) Except with the Commission’s written permission, a former Commission employee may not appear as a witness on behalf of other parties in contested case proceedings in which the former employee took an active part on the Commission’s behalf.

(3) Except with the Commission’s written permission, a former employee of a party may not appear as a witness on behalf of the Commission in contested case proceedings in which the person took an active part on the party’s behalf. Prior to giving its written permission to the person, the Commission must notify the affected party and all other parties to the proceedings, and allow the affected party an opportunity to object to the Commission granting permission to the person. Other parties to the proceedings may respond to the affected party’s objection, if any.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.457 – 183.458, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0340

Ex Parte Communications

(1) Ex parte communications are discouraged and, if made, must be disclosed to ensure an open and impartial decision-making process.

(2) Except as provided in this rule, an ex parte communication is any oral or written communication that:

(a) Is made by a person directly to a Commissioner or presiding ALJ outside the presence of any or all parties of record in pending contested case or declaratory ruling proceedings;

(b) Is made without notice to or an opportunity for rebuttal by all parties; and

(c) Relates to the merits of an issue in the proceedings.

(3) For purposes of this rule, a contested case or declaratory ruling proceeding is pending when the Commission or ALJ issues the first scheduling notice.

(4) A person who has an ex parte communication must promptly notify the presiding ALJ that the communication occurred.

(5) Upon notice of or receipt of an ex parte communication, the presiding ALJ must promptly notify the parties of record of the communication and place the following in the record:

(a) The name of each person who made the communication and the person’s relationship, if any, to a party in the case;

(b) The date and time of the communication;

(c) The circumstances under which the communication was made;

(d) A summary of the matters discussed;

(e) A copy of any written communication; and

(f) Other relevant information concerning the communication.

(6) The presiding ALJ may require the person responsible for the ex parte communication to provide the disclosure and notice of the communication required by this rule.

(7) Within 10 days of the service date of the notice, a party may file a written rebuttal of the facts or contentions contained in the ex parte communication, with service on the parties of record in the proceeding.

(8) The provisions of this rule do not apply to communications that:

(a) Address procedural issues, such as scheduling or status inquiries, or requests for information having no bearing on the merits of the case;

(b) Are made to a Commissioner or presiding ALJ by a member of Staff who is not a witness in the proceedings;

(c) Are made to a Commissioner or presiding ALJ by an Assistant Attorney General who is not representing Staff in the proceedings;

(d) Are made in rulemaking proceedings conducted under ORS 183.325 through 183.410; or

(e) The presiding ALJ determines are not subject to this rule, including communications from members of the public that are made part of the administrative file or communications that are the subject of in camera proceedings.

(9) To avoid inadvertent ex parte communications, a person planning to meet individually with a Commissioner or ALJ must indicate whether the discussion will relate to pending proceedings and, if so, which proceedings.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.417, 183.462, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0350

Settlements

(1) In all Commission contested case proceedings, some or all of the parties may enter into a settlement of any or all issues at any time during the proceedings.

(2) A settlement discussion is any communication between two or more parties for the purpose of resolving issues pending in contested case proceedings. Examples of communications not constituting settlement discussions for purposes of this rule include communications primarily for the purpose of discovery and communications occurring before initiation of docketed proceedings.

(3) Without the written consent of all parties, any statement, admission, or offer of settlement made during settlement discussions is not admissible in any Commission proceedings, unless independently discoverable or offered for other purposes allowed under ORS 40.190.

(4) Parties may agree in writing that the information exchanged exclusively within the context of any settlement discussion is confidential.

(5) Subject to the signing of an applicable confidentiality agreement, all parties may attend a meeting in which Staff participates to discuss settlement. Staff must provide to all parties to the proceedings reasonable prior notice of any settlement meeting in which Staff intends to participate. The notice must include the time and place of the settlement meeting, the party or parties involved, and the issues to be discussed. Once Staff has given notice of a settlement meeting involving a particular issue, additional notice of continuing settlement meetings involving the same issue need only be provided to parties attending the initial meeting or parties who request continuing notice. Persons who are not associated with a party may not attend a settlement meeting without the consent of all participating parties.

(6) For purposes of ORS 192.502(4), the Commission obligates itself to protect from disclosure any document submitted in confidence during settlement discussions.

(7) Settlements must be memorialized in a written stipulation signed by the settling parties, served on the parties on the service list for the docket, and filed for review by the Commission. With the stipulation, the parties must file:

(a) An explanatory brief or written testimony in support of the stipulation, unless waived by the Commission or ALJ; and

(b) A motion to offer the stipulation and any testimony as evidence in the proceeding, together with witness affidavits in support of the testimony.

(8) Within 15 days of the filing of a stipulation, a party may file written objections to the stipulation or request a hearing. Upon request or its own motion, the Commission or ALJ may set another time period for objections and request for hearing. Objections may be on the merits or based upon failure of Staff or a party to comply with this rule. The Commission or ALJ may hold a hearing to receive testimony and evidence regarding the stipulation. The Commission or ALJ may require evidence of any facts stipulated. The parties must be afforded notice and an opportunity to submit proof if such evidence is requested.

(9) A stipulation is not binding on the Commission. The Commission may adopt or reject a stipulation, or propose that a stipulation be modified prior to approval. If the Commission proposes to modify a stipulation, the Commission must explain its decision and, if necessary, provide the parties sufficient opportunity on the record to present evidence and argument to support the stipulation. No further hearing need be held when a review hearing has already been held under section (8) of this rule and the Commission or ALJ determines that the issues were fully addressed in the prior hearing.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.417, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Pleadings and Motions

860-001-0400

Pleadings Requirements

(1) All pleadings must be signed by the person filing the pleading or an authorized representative. By signing a pleading, the signatory makes the certification in ORCP 17C. For electronic filings, a person may use any identifier that is adopted by the person with the intent to authenticate a document (for example, “/s/John Doe”).

(2) Applications, petitions, complaints, and other initiating pleadings must include:

(a) The filer’s name and contact information, including telephone number, physical address, and electronic mail address;

(b) The name and contact information, including telephone number, physical address, and electronic mail address of any other party named in the filing;

(c) A clear and concise statement of the authorization, action, or relief sought;

(d) Appropriate references to the statutory provision or other authority under which the filing is made; and

(e) Other information as required by the Commission’s rules.

(3) Answers, protests, and other responsive pleadings must be in writing and must include:

(a) The filer’s name and address;

(b) The identification of the initiating pleading to which the response is made, including the docket number if one had been assigned; and

(c) A specific response to the pleading including, if necessary, an answer to material allegations and affirmative defenses.  

(4) Unless otherwise directed by the Commission or ALJ, responses must be filed within the following timeframes:

(a) An answer to a complaint, application, or petition must be filed within 20 days after the pleading is served.

(b) An answer to a consumer complaint under OAR 860-021-0015 must be filed within 15 days after the Commission serves the complaint.

(c) An answer to a petition to intervene must be filed within 10 days after service of the petition.

(d) An answer to a complaint under OAR 860-029-0100 must be filed within 10 days after the Commission serves the complaint.

(e) An answer to any other type of pleading must be filed within 15 days after the pleading is served.

(5) A reply to a responsive pleading is not permitted unless otherwise allowed by the Commission or ALJ.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0410

Default upon Failure to Answer Complaint

(1) If a party fails to answer a complaint or otherwise appear within the time periods specified in OAR 860-001-0400, then the party is deemed in default. All material allegations of the complaint are deemed admitted, and the hearing is waived. The proceedings may be disposed of without further notice to the defaulting party.

(2) A defaulting party may file an application for reconsideration of a Commission order of default under OAR 860-001-0720. The Commission may grant the application for reconsideration if the moving party shows the default resulted from mistake, inadvertence, surprise, excusable neglect, or other good cause.

(3) An application made under this rule must be accompanied by a pleading or motion that contains an assertion of a claim or a defense.

(4) The filing of an application under this rule does not excuse the defaulted party from complying with the order and the enforcement of the order is neither stayed nor postponed except upon Commission order.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0420

Motions, Responses, and Replies

(1) A motion is a request to the Commission or ALJ for a ruling or other action. A motion must be made in writing unless otherwise allowed by the Commission or ALJ.

(2) For purposes of these rules, “substantive motions” address the rights or duties of a party or seek summary determination of any or all issues in the proceedings. Substantive motions include a motion to dismiss. “Procedural motions” address the means by which the Commission regulates its proceedings; for example, a motion to modify a schedule.

(3) Before filing a procedural motion, the moving party must make a good faith effort to confer with other parties to seek agreement about the subject of the motion. A procedural motion must describe the effort to confer and the result of the effort.

(4) A motion against an initiating or responsive pleading under OAR 860-001-0400 must be filed within 10 days after the pleading is served.

(5) A party may file a response to a motion. A response to a substantive motion must be filed within 15 days of service of the motion. A response to a procedural motion must be filed within 7 days of service of the motion.

(6) The moving party may file a reply to a response to a substantive motion within 7 days of service of the response. The moving party is not permitted to file a reply to a response to a procedural motion unless permitted by the ALJ.

(7) If expedited consideration of a motion is requested, the moving party must:

(a) Certify that the moving party has attempted to contact the other parties to the proceedings to discuss the motion and state whether the parties support the motion;

(b) Identify the request for expedited consideration in the document caption; and

(c) Include a request to shorten the time for responses and, if applicable, replies.

(8) Unless granted by the ALJ, a request for an extension or other related motion does not stay a pending due date.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0430

Petition for Declaratory Ruling

(1) A petition for a declaratory ruling under ORS 756.450 must contain:

(a) The rule or statute that may apply to the person, property, or facts;

(b) A detailed statement of the relevant or assumed facts, including sufficient facts to show petitioner's interest;

(c) All propositions of law or arguments asserted by petitioner;

(d) The questions presented;

(e) The specific relief requested; and

(f) The name and contact information, including telephone number, physical address, and electronic mail address of petitioner and of any other person known by petitioner to have legal rights, duties, or privileges that will be affected by the request.

(2) Within 60 days after the petition is properly filed, the Commission must determine whether it will substantively consider the request. The Commission will make the decision at a public meeting and allow public comment on whether it should substantively consider the request. The Commission will notify the petitioner of its decision in writing. If the Commission decides to substantively consider the request for a declaratory ruling, then it will refer the matter to the Administrative Hearings Division to initiate proceedings.

(3) A person may petition to intervene as a party under OAR 860-001-0300(4).

(4) No testimony or other evidence may be submitted. The petition for declaratory ruling will be decided on the facts stated in the petition, except that the presiding ALJ may agree to accept a statement of alternative facts or alternative questions for the Commission’s consideration.

(5) All parties will have the right to file briefs to present legal argument. Parties may request the opportunity to also present oral argument.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.450
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Evidence

860-001-0450

Evidence

(1) Relevant evidence:

(a) Means evidence tending to make the existence of any fact at issue in the proceedings more or less probable than it would be without the evidence;

(b) Is admissible if it is of a type commonly relied upon by reasonably prudent persons in the conduct of their serious affairs; and

(c) May be excluded if the probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or undue delay.

(2) A party objecting to the introduction of evidence must state the grounds for the objection at the time the evidence is offered.

(3) When an objection is made to the admissibility of evidence, the Commission or ALJ may have the evidence presented and reserve ruling until a later time.

(4) When a party takes exception to a ruling excluding certain evidence, the Commission or ALJ may require that the party make an offer of proof by stating what the evidence would indicate if received. Alternatively, the Commission or ALJ may permit the excluded evidence to be received like other evidence, but it must be marked and designated as evidence offered, excluded, and to which exception has been taken.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.450, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0460

Official Notice

(1) The Commission or ALJ may take official notice of the following:

(a) All matters of which the courts of the State of Oregon take judicial notice;

(b) Rules, regulations, administrative rulings, and reports of the Commission and other governmental agencies;

(c) Permits, certificates, and licenses issued by the Commission;

(d) Documents and records in the files of the Commission that have been made a part of the files in the regular course of performing the Commission’s duties;

(e) General, technical, or scientific facts within the specialized knowledge of the agency;

(f) The results of the Commission’s or ALJ’s inspection of property at issue in the proceedings if advance notice of the inspection was provided to the parties.

(2) The Commission or the ALJ must notify the parties when official notice is taken. The notice may be given on the record during the hearing, in an ALJ ruling, or in a Commission order. A party may object to the fact noticed within 15 days of the hearing during which notice was given, the ALJ ruling, or the Commission order. The objecting party may explain or rebut the noticed fact.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.450, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0470

Resolutions

(1) Properly authenticated resolutions of governing bodies of government, business, agricultural, or civic organizations may be received in evidence if offered at the hearing by the president, secretary, or other person authorized to offer the resolution.

(2) Parties may rebut the authenticity of the resolution or the circumstances surrounding its adoption.

(3) Recitals of fact contained in resolutions are not proof of the facts. The Commission or ALJ may receive a resolution for the limited purpose of showing the official action of the resolving body to the extent relevant in the proceedings.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0480

Testimony and Exhibits

(1) Unless otherwise directed by the ALJ, all written testimony and exhibits must be paginated in the top right corner as follows:

Party Name/Exhibit Number

Witness Last Name/Page Number

(2) Each party must consecutively number its written testimony and exhibits, beginning with 100. Within each round of testimony, each witness or witnesses testifying jointly must be designated with a separate numbering series. For example, Mr. Smith, Staff’s first witness in the first round of testimony, would be assigned Staff/100. Ms. Jones, Staff’s second witness in first round, would be assigned Staff/200. Mr. Smith’s second round of testimony would be assigned Staff/300. Each attachment must be marked as a separate exhibit. For example, the first attachment to Staff/100 would be marked as Staff/101. A separate numbering series must also be used to identify all exhibits marked at hearing.

(3) Each page of a multipage exhibit must be marked with a page number. Pages within each exhibit must be marked consecutively, beginning with page 1.

(4) The ALJ may waive the requirement of marking each page of voluminous photocopied documents.

(5) At the time of filing testimony and exhibits, the filing party must simultaneously serve a copy of all work papers to Staff, the utility named in the initiating pleading, and all other parties that have asked to receive a copy. As used in this rule, work papers consist of documents that show the source, calculations, and details supporting the testimony and other exhibits submitted. Parties must provide electronic copies of work papers if available.

(6) Within the time specified by the ALJ, each party must file a list, in numerical order, of the written testimony and exhibits the party offered during the proceedings. The list must specify the document, witness, number of pages, and whether the exhibit was received into evidence.

(7) When testimony or exhibits are offered in evidence at a hearing and were not previously filed, the offering party must give copies to each party, the Commission, and the ALJ. When practicable, the parties must distribute copies of exhibits before or at the beginning of the hearing.

(8) When relevant evidence offered by a party is included in a book, paper, or document containing irrelevant material, the party offering the exhibit must plainly designate the relevant material offered:

(a) If irrelevant material is included in the exhibit and would encumber the record, then the exhibit may be excluded. The exhibit may be marked for identification and the relevant material may be read into the record if properly authenticated.

(b) If the Commission or ALJ directs, a copy of the relevant portions of the exhibit may be received as evidence. The offering party must offer copies of the document to all other parties appearing at the hearing. The parties must be afforded an opportunity to examine the exhibit and to offer in evidence other relevant portions of the exhibit.

(9) Papers and documents on file with the Commission may be introduced by reference to number, date, or by any other method of identification satisfactory to the Commission or ALJ.

(10) The Commission or ALJ may direct that the testimony of a witness, including supporting exhibits, be submitted in writing prior to hearing. Unless otherwise directed by the Commission or ALJ, written testimony, when sworn to orally or in writing by the witness under oath to be true, will be received in the same manner as an exhibit. The written testimony must be double-spaced, prepared in question and answer or narrative form, and contain a statement of the qualifications of the witness. The written testimony is subject to rules of admissibility and cross-examination.

(11) The Commission or ALJ may direct that demonstrative evidence be reduced to a diagram, map, photograph, or similar representation.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.450, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0490

Records in Other Proceedings

If a party offers in evidence all or part of the record from another Commission proceeding, then the party must provide a copy of the offered record to the ALJ and copies to other parties upon request.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.450, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Discovery

860-001-0500

Discovery in Contested Case Proceedings

(1) Discovery must be commensurate with the needs of the case, the resources available to the parties, and the importance of the issues to which the discovery relates.

(2) Discovery that is unreasonably cumulative, duplicative, burdensome, or overly broad is not allowed. Instructions and definitions included in discovery requests must be consistent with these rules and ORS Chapters 756, 757, and 759.

(3) Privileged material is not discoverable except as provided under the Oregon Rules of Evidence.

(4) A party will not be required to develop information or prepare a study for another party, unless the capability to prepare the study is possessed uniquely by the party from whom discovery is sought, the discovery request is not unduly burdensome, and the information sought has a high degree of relevance to the issues in the proceedings.

(5) Parties must make every effort to engage in cooperative informal discovery and to resolve disputes themselves. If a party receives a data request that is likely to lead to a discovery dispute, then that party must inform the requesting party of the dispute as soon as practicable and attempt to resolve it informally.

(6) If parties are unable to resolve a dispute informally, then any of the parties involved in the dispute may request that the ALJ conduct a conference to facilitate the resolution of discovery disputes. A requesting party must identify the specific discovery sought and describe the efforts of the parties to resolve the dispute informally.

(7) A party may file a motion to compel discovery. The motion must contain a certification that the parties have conferred and been unable to resolve the dispute. A party filing a motion to compel will be allowed the opportunity to file a reply to the response to the motion.

(8) A party’s assertion that information responsive to a discovery request is confidential may not be used to delay the discovery process; provided, however, a party pursing protection will not be required to produce information that it claims is inadequately protected until such time as its claim for the need for a general protective order or a modified protective order is resolved. If an answering party believes that a response to a discovery request involves confidential information that is inadequately protected by the safeguards existing in the docket, the answering party must notify the requesting party of this belief as soon as practicable and, if appropriate, promptly move for an appropriate protective order.

(9) A party may by motion, or the ALJ may on the ALJ’s own motion, propose that sanctions be imposed if a party fails or refuses to comply with an oral or written ruling resolving a discovery dispute. The ALJ may impose sanctions including: default; dismissal; or striking of testimony, evidence, or cross-examination.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.425, 183.450, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10; PUC 4-2012, f. & cert. ef. 4-17-12

860-001-0510

Subpoenas

(1) A subpoena may be issued by an attorney of record for a party and subscribed by the signature of the attorney.

(2) Parties not represented by an attorney may request the issuance of a subpoena by the ALJ. The request must be in writing and identify the general relevance and reasonable scope of the testimonial, documentary, or physical evidence sought.

(3) Requests for subpoenas duces tecum must specify a particular document or part of a document to be produced.

(4) Parties must serve subpoenas as provided in the circuit courts of the State of Oregon under the ORCP.

Stat. Auth.:ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.543
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0520

Depositions

(1) The testimony of a witness may be taken by deposition at any time before the record in a docket is closed.

(2) A party proposing to take a deposition must notify all other parties in writing. Unless notice is waived, a party must provide 10 days’ notice to the parties of a deposition to be taken within the state and 15 days’ notice for a deposition to be taken out of state. The notice must state the witness’s name and address, the subject matter of the deposition, the time and place for taking the deposition, the method by which the deposition will be recorded, any materials to be produced at the deposition, and the reason for the deposition.

(3) Deposition testimony must be taken under oath before a court reporter and must be transcribed or recorded. The court reporter must certify that the witness was sworn in the court reporter’s presence and that the transcript is a true record of the testimony or a correct transcription of a recording.

(4) A party may examine a deponent on any matter not privileged that appears reasonably calculated to lead to the discovery of relevant evidence.

(5) Unless received in evidence by the Commission or ALJ, no portion of a deposition is a part of the record in the docket. A party may object to receiving in evidence any portion of a deposition. Upon request, the deposing party must provide the Commission or ALJ a transcribed copy of the deposition.

(6) The deposing party must pay the deponent and the court reporter the same fees as are paid for like services in the courts of the state where the deposition is taken.

(7) A party may request that an ALJ attend a deposition to address any objections. A party may also request that an ALJ put appropriate conditions or limitations on a deposition.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.450, 756.040 & 756.538
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0530

Admissions

A party may serve a request for admission on any other party under ORCP 45. Responses to each request must be served within 7 days of receipt. Requests not denied within 7 days are deemed admitted.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORCP 45, ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0540

Data Requests

(1) A party may submit data requests to any other party, subject to the discovery rules in the ORCP. Data requests are written interrogatories or requests for production of documents. Data requests must be answered within 14 days from the date of service. Each data request must be answered fully and separately in writing or by production of documents, or objected to in writing.

(2) A party submitting a data request must serve the request on all parties to the proceedings. If the request contains confidential information, then the submitting party must serve a complete copy on all parties eligible to receive confidential information under the terms of a protective order and a redacted copy to all other parties.

(3) The party answering the data request must provide a response to the submitting party and all other parties that filed a written request for a copy of the response. A party must agree to be bound by the applicable protective order to be eligible to receive a response containing confidential information.

(4) A party may offer into evidence data requests and the answers to the data requests. Any objection to substance or form of a data request or answer must be attached to the submitted data request or answer with specific reference and grounds. Every remedy available to a party using deposition procedures is available to a party using data requests.

(5) Except when requested by the Commission or ALJ, or when seeking resolution of a discovery dispute under these rules, data requests are not filed with the Commission’s Filing Center or provided to the ALJ.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Hearings, Meetings, and Conferences

860-001-0550

Joint Hearings with other Entities

(1) In proceedings in which the Commission participates jointly with a federal regulatory agency, the federal agency’s rules of practice and procedure govern.

(2) In proceedings in which the Commission participates jointly with an administrative body of another state, the rules of procedure of the state where the hearing is held govern. Any person entitled to appear in a representative capacity before any of the agencies involved in the joint hearing may appear in the joint hearing.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0560

Public Meetings

Except in cases of emergency, all Commissioners are required to participate in a decision of the Commission at a public meeting that proposes a major rate change for an electric or natural gas utility under ORS 757.205. For purposes of this rule, a major rate change is an increase of two percent or more for any customer class.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 192.610 et seq., 756.040
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0570

Notice of Contested Case Hearing

The Commission or ALJ sets the time and place for contested case hearings. Notice of a hearing must be served on all parties at least 10 days before the hearing date. For good cause, the Commission may hold a hearing on less than 10 days’ notice.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 183.413, 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0580

Postponements and Continuances of Hearings

(1) A party may request a postponement of a hearing. The party must provide the reason why postponement is necessary. The Commission or ALJ may require oral requests for postponement of a hearing to be made in writing.

(2) The Commission or ALJ may postpone a hearing for good cause shown or on the Commission’s or the ALJ’s own motion.

(3) The Commission or ALJ may continue a hearing to receive additional evidence or argument. Additional notice of a continued hearing involving the same issue need only be provided to parties attending the initial hearing and other parties who have requested continuing notice.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0590

Conferences

(1) The ALJ may schedule conferences to facilitate the resolution of contested case and declaratory ruling proceedings.

(2) The purposes of a conference may include:

(a) Establishing a procedural schedule, including dates for discovery, testimony, and exhibits;

(b) Identifying, simplifying, and clarifying issues;

(c) Eliminating irrelevant or immaterial issues;

(d) Facilitating discovery and resolving disagreements about discovery;

(e) Obtaining stipulations, authenticating documents, admitting documents into evidence, adopting witness and cross-examination schedules, and deciding the order of presentation and
other procedural matters;

(f) Considering other matters that may expedite the orderly conduct and disposition of the proceedings; and

(g) Discussing settlement or other resolution or partial resolution of the proceedings.

(3) The record must reflect the results of the conference, and the decisions made at the conference are binding on all parties.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0600

Consolidation of Proceedings

Proceedings may be consolidated for hearing at the discretion of the Commission or ALJ.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0610

Failure to Appear

(1) If a party fails to appear at a conference or hearing, then that party waives its right to participate in the conference or hearing.

(2) Unless allowed by the Commission or ALJ, the party that failed to appear may not reopen any matter decided at the conference or hearing, or recall for further examination witnesses available at the hearing and excused.

(3) Upon motion by any party or upon the Commission’s own motion, the Commission may enter an order dismissing a party that failed to appear at a hearing from the entire proceedings. The order must be served on the party dismissed. If the Commission or ALJ finds there was good cause for the party’s failure to appear or the interests of other parties or the public would be prejudiced, then the Commission or ALJ may reinstate the party.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Legal Argument and Major Proceedings

860-001-0650

Legal Argument

Parties may request the opportunity to file briefs in any proceedings. The Commission or ALJ may require a party to file a brief, or to present oral arguments instead of or in addition to briefs.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0660

Major Proceedings

(1) For purposes of ORS 756.518(2), a “major proceeding” is a proceeding that has or is expected to have a full procedural schedule with written testimony or written comments and:

(a) Has a substantial impact on utility rates or service quality for energy utilities having more than 50,000 customers or telecommunications utilities having more than 50,000 access lines; or

(b) Has a significant impact on utility customers or the operations of a regulated utility for energy utilities having more than 50,000 customers or telecommunications utilities having more than 50,000 access lines.

(2) A party in a proceeding that does not meet the criteria in section (1) of this rule may petition the ALJ for major proceeding status if the case:

(a) Is likely to result in a significant change in regulatory policy; or

(b) Raises novel questions of fact or law.

(3) When a docket is opened, a party may file a motion with the ALJ requesting that the case be classified as a major proceeding.

(a) The motion must:

(A) Specify how the case qualifies as a major proceeding under the criteria listed in section (1) of this rule; or

(B) Argue how the case qualifies as a major proceeding under section (2) of this rule.

(b) Responses to the motion are due within 7 days of filing.

(4) If a case is classified as a major proceeding, the Commission must afford the parties an opportunity to present oral argument to a quorum of Commissioners before a final order is issued. A party must make a request for oral argument at the prehearing conference or as soon thereafter as possible.

(5) The ALJ will determine the length of each party’s oral argument to the Commission, the right of any party to rebuttal of other parties’ oral arguments, and the order of presentation.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

Compliance with and Reconsideration of Orders

860-001-0700

Extension or Postponement of Date to Comply with Rules and Orders

(1) Within 60 days of the date of service of a Commission order, any party may file a petition for extension or postponement of an effective date or of time to comply with the order.

(2) The petition must specify reasons for the requested extension or postponement.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0710

Notice of Acceptance of Terms of Orders

The Commission may require any utility or person affected by any order to notify the Commission within a specified time whether the terms of the order are accepted and the time within which the utility or person will comply with the order.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

860-001-0720

Rehearing or Reconsideration

(1) Within 60 days from the date of service of an order entered by the Commission, a party may file an application for rehearing or reconsideration of the order as provided by ORS 756.561. The application must identify all grounds for rehearing or reconsideration.

(2) The application must specify:

(a) The portion of the challenged order that the applicant contends is erroneous or incomplete;

(b) The portion of the record, laws, rules, or policy relied upon to support the application;

(c) The change in the order that the Commission is requested to make;

(d) How the applicant's requested change in the order will alter the outcome; and

(e) One or more of the grounds for rehearing or reconsideration in section (3) of this rule.

(3) The Commission may grant an application for rehearing or reconsideration if the applicant shows that there is:

(a) New evidence that is essential to the decision and that was unavailable and not reasonably discoverable before issuance of the order;

(b) A change in the law or policy since the date the order was issued relating to an issue essential to the decision;

(c) An error of law or fact in the order that is essential to the decision; or

(d) Good cause for further examination of an issue essential to the decision.

(4) Within 15 days from the date the application is filed, any party may file a response to the application. Replies to a response are not permitted unless requested by the ALJ.

(5) Unless ordered by the Commission under OAR 860-001-0700, compliance with the original order is not stayed or postponed by an order granting an application for rehearing or reconsideration.

(6) The application is deemed denied if the Commission has not issued an order granting the application by the 60th day after filing. If the application is granted, the Commission may affirm, modify, or rescind its prior order or take other appropriate action.

Stat. Auth.: ORS 756.040 & 756.060
Stats. Implemented: ORS 756.040 & 756.500 – 756.575
Hist.: PUC 5-2010, f. & cert. ef. 10-22-10

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