Report 2016-104 Recommendation 13 Responses

Report 2016-104: California Public Utilities Commission: It Should Reform Its Rules to Increase Transparency and Accountability, and Its Contracting Practices Do Not Align With Requirements or Best Practices (Release Date: September 2016)

Recommendation #13 To: Public Utilities Commission

The CPUC should update its regulations to require parties joining a proceeding by filing a protest or response to an application or petition, or by filing comments in response to a rulemaking proceeding to fully disclose their interests in the proceeding.

Annual Follow-Up Agency Response From October 2018

Will not implement.The CPUC will not implement this recommendation. The CPUC's Rules of Practice and Procedure require each person or entity proposing to participate in a proceeding to disclose their interest in the proceeding, which includes the factual and legal contentions they propose to make as well as their more general interest in the proceeding. "Interest" in the CPUC's Rules is broader than financial interests and serves the Commission's administrative law functions by ensuring that a person or entity has reason to participate in a proceeding. To require more specific disclosure of financial interests would represent a significant policy and administrative change that the CPUC does not presently feel is needed.

California State Auditor's Assessment of Annual Follow-Up Status: Will Not Implement

Our recommendation would address an inconsistency in the CPUC's rules for disclosure of interests in a proceeding. Although we found parties generally self disclosed their interest in proceedings, entities that become a party by filing a protest or response to an application or petition or by filing comments in response to a rulemaking are not subject to any requirement to disclose their interest in the proceeding. Therefore, we continue to believe this recommendation is warranted.


Annual Follow-Up Agency Response From November 2017

The P&G committee has been engaged in reforming the Rules of Practice & Procedure to conform them to statutory changes brought about by SB 215 (Hill 2016). That effort has lasted from January to the present, and we have not yet completed the CPUC and OAL rulemaking processes. P&G may be able to take this issue up in a next phase of rules reform beginning in 2018. As noted in the original response, it represents a significant policy change.

  • Estimated Completion Date: 6/30/2018

California State Auditor's Assessment of Annual Follow-Up Status: Pending


1-Year Agency Response

The P&G committee has been engaged in reforming the Rules of Practice & Procedure to conform them to statutory changes brought about by SB 215 (Hill 2016). That effort has lasted from January to the present, and we have not yet completed the CPUC and OAL rulemaking processes. P&G may be able to take this issue up in a next phase of rules reform beginning in 2018. As noted in the original response, it represents a significant policy change.

  • Estimated Completion Date: 3/30/18
  • Response Date: September 2017

California State Auditor's Assessment of 1-Year Status: Pending


6-Month Agency Response

The recommendation has been referred to the Policy and Governance Committee for April. This change constitutes a large change in Commission policy and could potentially require a change in the rules of practice and procedure.

  • Estimated Completion Date: 6/30/2017
  • Response Date: March 2017

California State Auditor's Assessment of 6-Month Status: Pending


60-Day Agency Response

This recommendation was referred to the Policy and Governance Committee on October 11th by the Executive Director, Tim Sullivan. Compliance with this recommendation requires rules affecting what parties participating in our proceedings must file. This would constitute a major change in Commission policy and could potentially requires a change in the rules of practice and procedure.

  • Estimated Completion Date: 6/30/2017
  • Response Date: November 2016

California State Auditor's Assessment of 60-Day Status: Pending


All Recommendations in 2016-104

Agency responses received are posted verbatim.