Former Commerce
Commission[250] renamed Utilities Division[199]
under the “umbrella” of Commerce Department[181] by 1986 Iowa Acts, Senate File
2175, section 740.
CHAPTER 1
ORGANIZATION AND OPERATION
1.3(17A,474,476,78GA,HF2206) Waivers
1.4(17A,474) Duties of the board
1.6(68B) Consent for the sale or lease of goods and services
1.8(17A,474) Matters applicable to all proceedings
1.9(22) Public information and inspection of records
3.1(17A,474) Purpose and scope
3.2(17A,474) Notice of inquiry
3.3(17A,474) Petition for adoption of rules
3.4(17A,474) Commencement of proceedings
3.5(17A,474) Written statements of position
3.6(17A,474) Counterstatements of position
3.7(17A,474) Requests for oral presentation
3.8(17A,474) Rule–making oral presentation
3.9(17A,474) Rule–making decisions
3.10(17A,474) Regulatory analysis
4.1(17A) Petition for declaratory order
4.6(17A) Service and filing of petitions and other papers
4.9(17A) Refusal to issue order
4.10(17A) Contents of declaratory order—effective date
4.12(17A) Effect of a declaratory order
CHAPTER 5
PROCEDURE FOR DETERMINING THE COMPETITIVENESS OF A
COMMUNICATIONS SERVICE
OR FACILITY
5.4(476) Statement of position
5.7(476) Extent of deregulation
CHAPTER 6
COMPLAINT PROCEDURES
6.3(476) Processing the complaint
6.5(476) Initiating formal complaint proceedings
6.6(476) Applicable procedures
CHAPTER 7
PRACTICE AND PROCEDURE
7.1(17A,474,476) Scope and applicability
7.3(17A,476) Presiding officers
7.4(17A,474,476) General information
7.5(17A,476) Time requirements
7.6(17A,476) Telephone proceedings
7.8(17A,476) Delivery of notice of hearing
7.9(17A,476) Pleadings and answers
7.10(17A,476) Prefiled testimony and exhibits
7.11(17A,476) Documentary evidence in books and materials
7.14(17A,476) Consolidation and severance
7.17(17A,476) Prehearing conference
7.22(17A,476) Ex parte communication
7.24(17A,476) Reopening record
7.25(17A,476) Interlocutory appeals
7.26(17A,476) Appeals to board from a proposed decision of a presiding officer
7.27(17A,476) Rehearing and reconsideration
7.28(17A,476) Stay of agency decision
7.29(17A,476) Emergency adjudicative proceedings
8.1(476) Civil penalty for willful violation
8.5(476) Rate–regulated utilities
CHAPTER 9
RESTORATION OF AGRICULTURAL LANDS DURING AND AFTER
PIPELINE CONSTRUCTION
9.1(479,479B) General information
9.2(479,479B) Filing of land restoration plans
9.3(479,479B) Procedure for review of plan
9.4(479,479B) Restoration of agricultural lands
9.5(479,479B) Designation of a pipeline company point of contact for landowner inquiries or claims
9.6(479,479B) Separate agreements
CHAPTER 10
INTRASTATE GAS AND
UNDERGROUND GAS STORAGE
10.3(479) Informational meetings
10.9(479) Amendment of permits
10.12(479) Standards for construction, operation and maintenance
10.14(479) Crossings of highways, railroads, and rivers
10.16(479) When a permit is required
10.17(479) Accidents and incidents
10.18(479) Reportable changes to pipelines under permit
10.19(479) Sale or transfer of permit
11.2(478) Forms of petition for franchise, extension, or amendment of franchise
11.3(478) Additional filing instructions
11.4(478) Informational meetings
11.6(478) Common and joint use
11.7(478) Termination of franchise petition proceedings
CHAPTER 12
INTERSTATE NATURAL GAS
PIPELINES AND UNDERGROUND
STORAGE
CHAPTER 13
HAZARDOUS LIQUID PIPELINES
AND UNDERGROUND STORAGE
13.1(479B) General information
13.2(479B) Petition for permit
13.3(479B) Informational meetings
13.9(479B) Amendment of permits
13.14(479B) Crossings of highways, railroads, and rivers
13.18(479B) Reportable changes to pipelines under permit
13.19(479B) Sale or transfer of permit
UTILITIES AND
TRANSPORTATION DIVISIONS
CHAPTER 15
COGENERATION AND SMALL POWER PRODUCTION
15.3(476) Information to board
15.5(476) Rates for purchases from qualifying facilities by rate–regulated electric utilities
15.6(476) Rates for sales to qualifying facilities and AEP facilities by rate–regulated utilities
15.8(476) Interconnection costs
15.10(476) Standards for interconnection, safety, and operating reliability
15.11(476) Additional rate–regulated utility obligations regarding AEP facilities
15.17(476) Alternate energy purchase programs
15.18(476B) Certification of eligibility for wind energy tax credits under Iowa Code chapter 476B
15.20(476B) Applications for wind energy tax credits under Iowa Code chapter 476B
15.21(476C) Applications for renewable energy tax credits under Iowa Code chapter 476C
16.1(476) Accounting—general information
16.2(476) Uniform systems of accounts—electric
16.3(476) Uniform systems of accounts—gas
16.4(476) Uniform systems of accounts—water
16.5(476) Uniform systems of accounts—telephone
16.6(476) Uniform systems of accounts—telegraph
16.7(476) Filing of present promotional practices
16.8(476) Compiling advertisements and expenses
16.9(476) Postemployment benefits other than pensions
17.3(476) Expenses to be included in direct assessments
17.4(476) Direct assessments under Iowa Code Supplement section 476.10
17.5(476) Reporting of operating revenues
17.6(475A,476) Compilation and billing of assessment
17.7(476) Funding of Iowa energy center and global warming center
17.8(476) Assessments under Iowa Code section 476.101(10)
17.9(478,479, Assessments under Iowa Code
479A,479B) chapters 478, 479, 479A, and 479B
18.3(476) Availability of records
18.4(476) Electric utilities other than rural electric cooperatives
18.5(476) Rural electric cooperatives
CHAPTER 19
SERVICE SUPPLIED BY GAS UTILITIES
19.2(476) Records, reports, and tariffs
19.3(476) General service requirements
19.5(476) Engineering practice
19.7(476) Standards of quality of service
19.10(476) Purchased gas adjustment (PGA)
19.11(476) Periodic review of gas procurement practices [476.6(15)]
19.13(476) Transportation service
19.14(476) Certification of competitive natural gas providers and aggregators
19.15(476) Customer contribution fund
19.17(476) Incident notification and reports
CHAPTER 20
SERVICE SUPPLIED BY
ELECTRIC UTILITIES
20.2(476) Records, reports, and tariffs
20.3(476) General service requirements
20.5(476) Engineering practice
20.7(476) Standards of quality of service
20.9(476) Electric energy sliding scale or automatic adjustment
20.10(476) Ratemaking standards
20.11(476) Customer notification of peaks in electric energy demand
20.13(476) Periodic electric energy supply and cost review [476.6(16)]
20.15(476) Customer contribution fund
20.17(476) Ratemaking treatment of emission allowances
20.18(476,478) Service reliability requirements for electric utilities
20.19(476,478) Notification and reporting of outages
CHAPTER 21
SERVICE SUPPLIED BY
WATER UTILITIES
21.1(476) Application of rules
21.3(476) General service requirements
21.5(476) Engineering practice
21.7(476) Standards of quality of service
21.8(476) Applications for water costs for fire protection services
CHAPTER 22
RATES CHARGED AND SERVICE
SUPPLIED BY TELEPHONE UTILITIES
22.3(476) General service requirements
22.5(476) Telephone utility service standards
22.6(476) Standards of quality of service
22.8(476) Nontoll interexchange trunking service (EAS) survey procedure
22.11(476) Inside station wiring standards
22.12(476) Contents of tariff filings proposing rates
22.13(476) Methodology for determining costs to serve
22.14(476) Intrastate access charge application, tariff procedures, and rates
22.15(476) Interexchange utility service and access
22.16(476) Discontinuance of service
22.18(476,478) Service reliability requirements for electric utilities
22.19(476) Alternative operator services
22.20(476) Service territories
22.21(476) Toll dialing patterns
22.23(476) Unauthorized changes in telephone service
22.24(476) Applications for numbering resources
23.2(476) Annual report requirements—rate–regulated utilities
23.3(476) Annual report requirements—non–rate–regulated utilities
CHAPTER 24
LOCATION AND CONSTRUCTION OF
ELECTRIC POWER GENERATING
FACILITIES
24.1(476A) Authority, purpose, and policy
24.3(476A) Form of application, place of filing
24.4(476A) Application for a certificate—contents
24.5(476A) Initial
board review:
Application acceptance
24.6(476A) Procedural schedule
24.7(476A) Informational meeting
24.9(476A) Separate hearings on separate issues
24.10(476A) Certification decision
24.12(476A) Issuance of a certificate
24.14(476A) Assessment of costs
CHAPTER 25
IOWA ELECTRICAL SAFETY CODE
25.1(476,476A,478) General information
25.2(476,476A,478) Iowa electrical safety code defined
25.3(476,478) Inspection and maintenance plans
25.4(476,478) Correction of problems found during inspections
25.5(476,478) Accident reports
CHAPTER 26
RATE CASES, TARIFFS, AND
RATE REGULATION ELECTION PRACTICE AND PROCEDURE
26.1(17A,476) Scope and applicability
26.2(17A,476) Defective filings
26.3(17A,476) Proposal of settlements
26.5(476) Applications and petitions
26.8(476) Procedural schedule in Iowa Code sections 476.3 and 476.6 proceedings
26.9(476) Consumer comment hearing in docketed rate case of an investor–owned utility company
26.10(476) Appeal from administrative law judge’s decision
26.11(476) Consideration of current information in rate regulatory proceedings
26.12(476) Rate regulation election—electric cooperative corporations and associations
CHAPTER 29
MANAGEMENT EFFICIENCY
STANDARDS
29.2(476) Efficiency considered in rate case
29.3(476) Management efficiency standards
29.4(476) Rewards and penalties
CHAPTER 30
TAX REFORM REVENUE
ADJUSTMENT
30.2(476) General filing requirement
30.4(476) Revised revenue requirement
31.1(476) Applicability and definition of terms
31.2(476) Availability of records
31.4(476) Additional filing requirements for affiliated telecommunications service providers
31.5(476) Verified copies and confidential treatment
31.6(476) Comparable information
32.1(476) Applicability and definition of terms
32.2(476) Substantial part of a public utility’s assets
32.4(476) Proposal
for reorganization—
filing requirements
32.7(476) Additional
information
authorized
CHAPTER 33
NONUTILITY ACTIVITIES—RECORD KEEPING AND COST ALLOCATIONS
33.3(476) Availability of records
33.5(476) Cost allocation manuals
33.6(476) Standards for costing service transfers within a regulated subsidiary or utility
33.7(476) Standards for costing asset transfers within a regulated subsidiary or utility
34.1(476) Statement of purpose
34.2(476) Definition—nonutility service
34.3(476) Definition—systematic marketing effort
34.6(476) Procedures for utilization of billing and collection system
CHAPTER 35
ENERGY EFFICIENCY PLANNING
AND COST REVIEW
35.8(476) Assessment of potential and energy efficiency plan requirements
35.9(476) Additional requirements for electric utilities
35.10(476) Additional requirements for gas utilities
35.11(476) Additional filing requirements
35.12(476) Energy efficiency cost recovery
35.14(476) New structure energy conservation standards
35.15(476) Exterior flood lighting
36.1(476) Non–rate–regulated utilities
36.4(476) Joint filing of plans
36.5(476) Energy efficiency plan requirements
36.6(476) Program selection criteria
36.7(476) New structure energy conservation standards
36.8(476) Exterior flood lighting
CHAPTER 37
EQUIPMENT DISTRIBUTION
PROGRAM
CHAPTER 38
LOCAL EXCHANGE COMPETITION
38.3(476) Interconnection requirements
38.4(476) Unbundled facilities, services, features, functions, and capabilities
38.6(476) Compensation for termination of telecommunications services
38.7(476) Mediation and arbitration
39.2(476) Eligible carrier requirements
39.3(476) Low–income connection assistance program (Link–up) and low–income Lifeline assistance
39.4(476) Universal service support for schools and libraries
39.5(476) Quality of service reporting by eligible telecommunications carriers
39.6(476) Universal service certification
CHAPTER 40
COMPETITIVE BIDDING PROCESS
40.2(476) Competitive resource acquisition procedure
40.3(476) Utility–build or lease cost estimates
40.4(476) Utility affiliate bids
40.5(476) Request for proposals (RFP)
CHAPTER 42
CROSSING OF RAILROAD
RIGHTS–OF–WAY
42.2(476) Applicability and purpose
42.3(476) General notice and specification exhibit requirements and payment of fee
42.4(476) Emergency notice and repairs
42.5(476) Relocation of public utility facilities
42.6(476) Engineering standards for electric and communications lines
42.7(476) Engineering standards for pipelines
42.10(476) Removal of equipment
42.12(476) Prohibition against mechanic’s liens
42.14(476) Protection of signal systems
42.17(17A,476) Complaints and petitions for relief—general information
42.18(17A,476) Filing of complaint or petition
42.19(17A,476) Presiding officer
42.21(17A,476) Parties and appearances
42.22(17A,476) Procedural order and notice of hearing
42.24(17A,476) Hearing procedures
CHAPTER 43
IOWA BROADBAND INITIATIVE
43.1(476) Authority and purpose
43.5(476) Broadband initiative plan requirements
43.6(476) Upon completion of approved plan
CHAPTER 44
CERTIFICATES OF FRANCHISE AUTHORITY FOR CABLE AND
VIDEO SERVICE
44.1(17A,476,82GA,SF554) Authority and purpose
44.2(17A,476,82GA,SF554) Definitions
44.3(17A,476,82GA,SF554) Certificate of franchise authority
44.4(17A,476,82GA,SF554) Notice to municipality and incumbent cable provider
44.5(17A,476,82GA,SF554) Conversion of municipal franchise by incumbent cable provider
44.6(17A,476,82GA,SF554) Filing fees
chapter 1
ORGANIZATION AND OPERATION
[Prior to 10/8/86, Commerce Commission[250]]
199—1.1(17A,474) Purpose. This chapter describes the organization and operation of the Iowa utilities board (hereinafter referred to as board) including the offices where, and the means by which any interested person may obtain information and make submittals or requests.
199—1.2(17A,474) Scope of rules. Promulgated under Iowa Code chapters 17A and 474, these rules shall apply to all matters before the Iowa utilities board. No rule shall in any way relieve a utility or other person from any duty under the laws of this state.
199—1.3(17A,474,476,78GA,HF2206) Waivers. In response to a request, or on its own motion, the board may grant a waiver from a rule adopted by the board, in whole or in part, as applied to a specific set of circumstances, if the board finds, based on clear and convincing evidence, that:
1. The application of the rule would pose an undue hardship on the person for whom the waiver is requested;
2. The waiver would not prejudice the substantial legal rights of any person;
3. The provisions of the rule subject to a petition for waiver are not specifically mandated by statute or another provision of law; and
4. Substantially equal protection of public health, safety, and welfare will be afforded by a means other than that prescribed in the rule for which the waiver is requested.
The burden of persuasion rests with the person who petitions the board for the waiver. If the above criteria are met, a waiver may be granted at the discretion of the board upon consideration of all relevant factors.
Persons requesting a waiver may use the form provided in 199—subrule 2.2(17), or may submit their request as a part of another pleading. The waiver request must state the relevant facts and reasons the requester believes will justify the waiver, if they have not already been provided to the board in another pleading. The waiver request must also state the scope and operative period of the requested waiver. If the request is for a permanent waiver, the requester must state reasons why a temporary waiver would be impractical.
The waiver shall describe its precise scope and operative period. Grants or denials of waiver requests shall contain a statement of the facts and reasons upon which the decision is based. The board may condition the grant of the waiver on such reasonable conditions as appropriate to achieve the objectives of the particular rule in question. The board may at any time cancel a waiver upon appropriate notice and opportunity for hearing.
This rule is intended to implement Iowa Code chapters 17A, 474, and 476 and 2000 Iowa Acts, House File 2206.
199—1.4(17A,474) Duties of the board. The utilities board regulates electric, gas, telephone, telegraph, and water utilities; and pipelines and underground gas storage. The board regulates the rates and services of public utilities pursuant to Iowa Code chapter 476; certification of electric power generators pursuant to chapter 476A; construction and safety of electric transmission lines pursuant to chapter 478; and the construction and operation of pipelines and underground gas or hazardous liquid storage pursuant to chapters 479, 479A and 479B.
199—1.5(17A,474) Organization. The utilities division consists of the three–member board, the office of the executive secretary, which heads the technical and administrative staff, and the office of general counsel.
1.5(1) The board. The three–member board is the policy–making body for the utilities division. The chairperson serves as the administrator of the utilities division. As administrator, the chairperson is responsible for all administrative functions and decisions.
1.5(2) General counsel. The duties of the general counsel are prescribed by Iowa Code section 474.10. The general counsel acts as attorney for and legal advisor of the board and its staff and represents the board in all actions instituted in a state or federal court challenging the validity of any rule, regulation or order of the board.
1.5(3) The office of the executive secretary. The executive secretary is appointed by the board and is its chief operating officer and responsible for all technical staff. The executive secretary is also the custodian of the board seal and all board records. The executive secretary, deputy executive secretary, or secretary’s designee is responsible for attesting to the signatures of the board members and placing the seal on original board orders. The executive secretary, deputy executive secretary, or the secretary’s designee is responsible for certifying official copies of board documents. The executive secretary shall also be responsible for establishing procedures for the examination of board records by the general public pursuant to the provisions of Iowa Code section 22.11 and for providing for the enforcement of those procedures.
a. The deputy executive secretary assists the executive secretary in carrying out responsibilities and is responsible for preparing the agency budget and managing the records center, technical library, and receptionist area.
b. The customer service section serves as the agency’s information contact and provides customer assistance and education for both the staff and the public. The section assists customers and competitors in resolving disputes with service providers. The section monitors customer service policies and practices, provides information to the public, and advises the board on customer service quality and issues of public concern.
c. The energy section is responsible for providing the board with recommendations for appropriate actions on energy matters. The section monitors activities of gas, electric, and water service providers. It also provides analysis and recommendations on tariff filings, rate proceedings, annual fuel purchase reviews, service territory disputes, and restructuring issues. The section advises the board on issues before the Federal Energy Regulatory Commission (FERC) and U.S. Department of Energy (DOE).
d. The information technology section is responsible for the development of electronic support and technology training for the division. This includes the development of a management information system and other database applications for the division. It also maintains the board’s local area network system and provides all computer and technical support services and systems for the processing of information and records, including website development and maintenance, and monitoring incoming electronic messages and requests for information.
e. The policy development section provides professional and technical support to the industry sections and the board in the areas of policy development and research. In cases before the board, the section is responsible for the review and analysis of cost of capital, cost of service, and rate design. The section is responsible for performing analysis of competitive and restructuring issues, utility management performance, least cost alternatives, energy efficiency activities, and other public policy matters.
f. The safety and engineering section is responsible for the regulation of gas and electric providers and pipeline and electric transmission and distribution companies as it relates to safety, construction, and operation and maintenance of facilities. The section reviews and processes all petitions for electric transmission line franchises under Iowa Code chapter 478 and for pipeline permits under Iowa Code chapters 479 and 479B. It also acts as an agent for the federal Department of Transportation in pipeline safety matters.
g. The telecommunications section is responsible for providing the board with recommendations for appropriate actions on telecommunications matters. The section monitors activities of telecommunications service providers. It also provides analysis and recommendations of telecommunications providers’ filings, rate proceedings, and advises the board on ratemaking and restructuring issues. The section advises the board on issues before the Federal Communications Commission (FCC).
199—1.6(68B) Consent for the sale or lease of goods and services. An official or employee shall not sell or lease, either directly or indirectly, any goods or services to individuals, associations, or corporations subject to the regulatory authority of the board without complying with the provisions of rule 351—6.11(68B) of the Iowa ethics and campaign disclosure board.
1.6(1) General prohibition. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(2) Definitions. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(3) Application for consent. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(4) Conditions of consent for officials. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(5) Conditions of consent for employees. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(6) Effect of consent. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(7) Participation in utility programs. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(8) Appeal. Rescinded IAB 8/16/06, effective 9/20/06.
1.6(9) Notice. Rescinded IAB 8/16/06, effective 9/20/06.
199—1.7 Rescinded, effective January 1, 1984.
199—1.8(17A,474) Matters applicable to all proceedings.
1.8(1) Communications. All communications to the board shall be addressed to the Executive Secretary, Iowa Utilities Board, 350 Maple Street, Des Moines, Iowa 50319–0069, unless otherwise specifically directed. Pleadings and other papers required to be filed with the board shall be filed in the office of the executive secretary of the board within the time limit, if any, for such filing. Unless otherwise specifically provided, all communications and documents are officially filed upon receipt at the office of the board.
1.8(2) Office hours. Office hours are 8 a.m. to 4:30 p.m., Monday to Friday. Offices are closed on Saturdays and Sundays and on official state holidays designated in accordance with state law.
1.8(3) Sessions of the board. The board shall be considered in session at the office of the board in Des Moines, Iowa, during regular business hours. When a quorum of the board is present, it shall be considered a session for considering and acting upon any business of the board. A majority of the board constitutes a quorum for the transaction of business.
1.8(4) Cross reference to rules regarding placement of docket numbers on filings, service of documents, and required number of copies. The board’s rule regarding placement of docket numbers on filings is at 199—subrule 7.4(3). The board’s rule regarding service of documents is at 199—subrule 7.4(6). The board’s rule regarding required number of copies is at 199—subrule 7.4(4).
199—1.9(22) Public information and inspection of records.
1.9(1) Public information. Any interested person may examine all public records of the board by written request or in person at the offices of the board. Public records shall be examined only at the board during the board’s regular business hours, Monday through Friday from 8 a.m. to 4:30 p.m., excluding legal holidays. Unless otherwise provided by law, all public records, other than confidential records, maintained by the board shall be made available for public inspection.
1.9(2) Definitions.
“Confidential records.” Records not available for public inspection under state law.
“Personally identifiable information.” Information about or pertaining to an individual. This does not include information pertaining to corporations.
“Public records.” Records of or belonging to the board which are necessary to the discharge of its duties.
1.9(3) Inspection of records. Subrule 1.9(4) below lists those board records which are routinely available for public inspection in the board’s records center. Procedures governing requests for inspection of the records are set out in subrule 1.9(7).
1.9(4) Board records routinely available for public inspection. In accordance with the provisions of the State Records Management Manual, the board collects and maintains the following records that are routinely available for public inspection:
a. Board calendars, agenda, news releases and other information intended for the public.
b. Board decisions, orders, opinions and other statements of law or policy issued by the board in the performance of its function.
c. The records of utility rate case proceedings.
d. The records of rule–making proceedings.
e. Annual reports of the board and annual reports filed with the board by public utilities.
f. Tariffs filed by a public utility showing the rates and charges for its services and the rules and regulations under which the services are furnished.
g. The records of formal utility service proceedings.
h. Documents relating to informal and formal complaints against utilities.
i. The records of formal utility investigations.
j. The records of utility depreciation proceedings.
k. Rulings on requests for waiver of board rules.
l. The records of the board’s annual review of an electric or gas utility.
m. The records of proceedings for the issuance or amendment of an electric generator certificate.
n. Information on public utilities’ energy conservation programs.
o. The records of formal proceedings for the issuance of an electric franchise or certificate.
p. The records of formal proceedings for the issuance of a permit to construct a pipeline or underground gas storage facility.
q. Petitions by a public utility for particular treatment of an extraordinary item under commission accounting rules.
r. The records of board proceedings on matters relating to electric and pipeline safety.
s. Public utility filings with the board relating to customer rights and remedies.
t. All other records that are not specifically exempted from disclosure by subrule 1.9(5).
The board’s files of public records listed above may contain confidential records. Any request to review confidential records must be made in accordance with subrule 1.9(8). In addition, the board’s records listed in “b,” “c,” “e,” and “h” may contain personally identifiable information.
Various legal and technical publications related to public utilities are also available for inspection by the public in the board’s technical library.
1.9(5) Records not routinely available for public inspection. The following records are not routinely available for public inspection. The records are listed in this subrule by category, according to the statutory basis for withholding them from inspection.
a. Materials that are specifically exempted from disclosure by statute and which the board may in its discretion withhold from public inspection. Any person may request permission to inspect particular records withheld from inspection under this subrule. At the time of the request, the board will notify all interested parties. If the request is to review materials under subparagraphs 1.9(5)“a”(1) and 1.9(5)“a”(3), the board will withhold the materials from public inspection for 14 days to allow the party who submitted the materials an opportunity to seek injunctive relief. Records the commission is authorized to withhold from public inspection under Iowa law in its discretion include, but are not limited to, the following:
(1) Trade secrets recognized and protected as such by law. Iowa Code section 22.7.
(2) Records that represent and constitute the work product of an attorney, which are related to litigation or claim made by or against a public body. Iowa Code section 22.7.
(3) Reports made to the board which, if released, would give advantage to competitors and serve no public purpose. Iowa Code section 22.7.
(4) Personal information in confidential personnel records of the board. Iowa Code section 22.7.
(5) Communications not required by law, rule, or procedure that are made to a government body or to any of its employees by identified persons outside of government, to the extent that the government body receiving those communications could reasonably believe that those persons would be discouraged from making them to the government body if they were available for general public examination. Notwithstanding this provision:
1. The communication is a public record to the extent the person outside of government making that communication consents to its treatment as a public record.
2. Information contained in the communication is a public record to the extent it can be disclosed without directly or indirectly indicating the identity of the person outside of government making it or enabling others to ascertain the identity of that person.
3. Information contained in the communication is a public record to the extent it indicates the date, time, specific location, and immediate facts and circumstances surrounding the occurrence of a crime or other illegal act, except to the extent its disclosure would plainly and seriously jeopardize a continuing investigation or pose a clear and present danger to the safety of any person. In any action challenging the failure of the lawful custodian to disclose any particular information of the kind enumerated in this paragraph, the burden of proof is on the lawful custodian to demonstrate the disclosure of that information would jeopardize such an investigation or would pose such a clear and present danger. Iowa Code section 22.7.
(6) Materials exempted from public inspection under any other provisions of state law.
b. Materials that are specifically exempted from disclosure by statute and which the board is prohibited from making available for public inspection. The board is required to withhold the following materials from public inspection:
(1) Tax records submitted to the board and required by it in the execution of its duties shall be held confidential. Iowa Code section 422.20.
(2) Reserved.
c. Materials exempted pursuant to requests deemed granted by the board. Requests to withhold from public inspection material or information that contains negotiated transportation rates and prices for natural gas supply, reservation charges for portfolio gas supply contracts, and terms and prices for all hedging activity including both financial hedges and weather–related information included in monthly purchased gas adjustment filings, annual purchase gas adjustment filings, annual purchased gas adjustment reconciliations, periodic filings related to changes in purchased gas adjustment factors, negotiated purchase prices for electric power, fuel, and transportation, customer–specific information, power supply bills in support of energy adjustment clause filings, network improvement and maintenance plans and related extensions and progress reports, wireless coverage area maps, service outage reports filed with the board pursuant to 199 IAC 39.5(5), or the financial records filed by applicants for certificates of convenience and necessity to provide competitive local exchange service shall be deemed granted pursuant to Iowa Code section 22.7(3), as a trade secret, or pursuant to Iowa Code section 22.7(6), as a report to a government agency which, if released, would benefit competitors and would serve no public purpose, or pursuant to both sections, provided that the confidential portions of the filings are identified and segregated and an attorney for the company or a corporate officer avers that those portions satisfy Iowa Code section 22.7(3) or 22.7(6), or both, as interpreted by the Iowa Supreme Court. The information shall be held confidential by the board upon filing and will be subject to the provisions of 199 IAC 1.9(8)“b”(3).
1.9(6) Requests that materials or information submitted to the board be withheld from public inspection. Any person submitting information or materials to the board may submit a request that part or all of the information or materials not be made available for public inspection pursuant to the following requirements.
a. Procedure. The materials to which the request applies shall be physically separated from any materials to which the request does not apply. The request shall be attached to the materials to which it applies. Each page of the materials to which the request applies shall be clearly marked confidential.
b. Content of request. Each request shall contain a statement of the legal basis for withholding the materials from inspection and the facts to support the legal basis relied upon. The facts underlying the legal basis shall be supported by affidavit executed by a corporate officer (or by an individual, if not a business entity) with personal knowledge of the specific facts. If the request is that the materials be withheld from inspection for a limited period of time, the period shall be specified.
c. Compliance. If a request complies with the requirements of paragraphs “a” and “b” of this subrule, the materials will be temporarily withheld from public inspection. The board will examine the documents to determine whether the documents should be afforded confidentiality. If the request is granted, the ruling will be placed in a public file in lieu of the materials withheld from public inspection.
d. Request denied. If a request for confidentiality is denied, the documents will be held confidential for 14 days to allow the applicant an opportunity to seek injunctive relief. After the 14 days expire, the materials will be available for public inspection, unless the board is directed by a court to keep the information confidential.
1.9(7) Procedures for the inspection of commission records which are routinely available for public inspection. The records in question must be reasonably described by the person requesting them to permit their location by staff personnel. Members of the public will not be given access to the area in which records are kept and will not be permitted to search the files.
Advance requests to have records available on a certain date may be made by telephone or by correspondence.
a. Search fees. An hourly fee will be charged for searching for requested records. The fee will be based upon the pay scale of the employee who makes the search. No search fee will be charged if the records are not located, the records are not made available for inspection, or the search does not exceed one–quarter hour in duration.
b. Written request. Written requests should list the telephone number (if any) of the person making the request, and for each document requested should set out all available information which would assist in identifying and locating the document. The request should also set out the maximum search fee the person making the request is prepared to pay. If the maximum search fee is reached before all of the requested documents have been located and copied, the requesting person will be notified. When the requesting person requests that the board mail copies of the materials, postage and handling expenses should also be included.
c. Procedure for written request. The records will be produced for inspection at the earliest possible date following a request. Records should be inspected within seven days after notice is given that the records have been located and are available for inspection. After seven days, the records will be returned to storage and additional charges may be imposed for having to produce them again.
d. Copies. Copies of public records may be made in the board’s records and information center and the charge shall be the actual copying cost.
1.9(8) Procedures for the inspection of board records which are not routinely available for public inspection. Any person desiring to inspect board records which are not routinely available for public inspection shall file a request for inspection meeting the requirements of this subrule.
a. Content of request. The records must be reasonably described by the person requesting them, so as to permit their location by staff personnel. Requests shall be directed to the executive secretary of the board.
b. Procedure. Requests for inspection shall be acted upon as follows:
(1) If the board is prohibited from disclosing the records, the request for inspection will be denied with a statement setting forth the specific grounds for denial.
(2) If the board is prohibited from disclosing part of a document from inspection, that part will be deleted and the remainder will be made available for inspection.
(3) In the case of requests to inspect records not routinely available for public inspection under 1.9(5)“a”(1), 1.9(5)“a”(3), and 1.9(5)“c,” the board will notify all interested parties of the request to view the materials. The board will withhold the materials from public inspection for 14 days to allow the party who submitted the materials an opportunity to seek injunctive relief. If injunctive relief is not requested within this period, the records will be produced for inspection. Requests to review materials not routinely available for public inspection under any other category of paragraph 1.9(5)“a” will be acted upon by the board. If the request is granted by the board, or is partially granted and partially denied, the person who submitted the records to the board will be afforded 14 days from the date of the written ruling in which to seek injunctive relief. If injunctive relief is not requested within this period, the records will be produced for inspection.
1.9(9) Procedures by which the subject of a confidential record may have a copy released to a named third party. Upon a request which complies with the following procedures, the board will disclose a confidential record to its subject or to a named third party designated by the subject. Positive identification is required of all individuals making such a request.
a. In–person requests. Subjects of a confidential record who request that information be given to a named third party will be asked for positive means of identification. If an individual cannot provide suitable identification, the request will be denied.
Subjects of a confidential record who request that information be given to a named third party will be asked to sign a release form before the records are disclosed.
b. Written request. All requests by a subject of a confidential board record for release of the information to a named third party sent by mail shall be signed by the requester and shall include the requester’s current address and telephone number (if any). If positive identification cannot be made on the basis of the information submitted along with the information contained in the record, the request will be denied.
Subjects of a confidential record who request by mail that information be given to a named third party will be asked to sign a release form before the records are disclosed.
c. Denial of access to the record. If positive identification cannot be made on the basis of the information submitted, and if data in the record is so sensitive that unauthorized access could cause harm or embarrassment to the individual to whom the record pertains, the board may deny access to the record pending the production of additional evidence of identity.
1.9(10) Procedure by which the subject of a board record may have additions, dissents or objections entered into the record. An individual may request an addition, dissent or an objection be entered into a board record which contains personally identifiable data pertaining to that individual. The request shall be acted on within a reasonable time.
a. Content of request. The request must be in writing and addressed to the executive secretary of the board. The request should contain the following information:
(1) A reasonable description of the pertinent record.
(2) Verification of identity.
(3) The requested addition, dissent or objection.
(4) The reason for the requested addition, dissent or objection to the record.
b. Denial of request. If the request is denied, the requester will be notified in writing of the refusal and will be advised that the requester may seek board review of the denial within ten working days after issuance of the denial.
1.9(11) Advice and assistance. Individuals who have questions regarding the procedures contained in these rules may contact the executive secretary of the board at the following address: Iowa Utilities Board, 350 Maple Street, Des Moines, Iowa 50319.
1.9(12) Data processing system. The board does not currently have a data processing system which matches, collates or permits the comparison of personally identifiable information in one record system with personally identifiable information on another record system.
These rules are intended to implement Iowa Code sections 17A.3, 68B.4, 474.1, 474.5, 474.10, 476.1, 476.2, 476.31 and 546.7.
[Filed 2/11/76, Notice 7/14/75—published 2/23/76, effective 3/29/76]
[Filed 6/15/76 without Notice—published 6/28/76, effective 8/2/76]
[Filed emergency 6/28/82—published 7/21/82, effective 6/28/82]
[Filed 5/20/83, Notice 4/13/83—published 6/8/83, effective 7/13/83]
[Filed emergency 6/3/83—published 6/22/83, effective 7/1/83]
[Filed 11/4/83, Notice 8/31/83—published 11/23/83, effective 1/1/84]
[Filed without Notice 7/27/84—published 8/15/84, effective 9/19/84]
[Filed 5/19/86, Notice 11/6/85—published 6/4/86, effective 7/9/86]
[Filed emergency 9/18/86—published 10/8/86, effective 9/18/86]
[Filed 10/2/87, Notice 8/12/87—published 10/21/87, effective 1/20/88]
[Filed 12/22/88, Notice 10/19/88—published 1/11/89, effective 2/15/89]
[Filed 3/29/91, Notice 11/14/90—published 4/17/91, effective 5/22/91]
[Filed emergency 8/14/92—published 9/2/92, effective 8/14/92]
[Published 6/17/98 to update name and address of board]
[Filed emergency 4/30/99—published 5/19/99, effective 4/30/99]
[Filed 11/24/99, Notice 8/11/99—published 12/15/99, effective 1/19/00]
[Filed 10/12/00, Notice 8/23/00—published 11/1/00, effective 12/6/00]
[Filed 11/21/01, Notice 5/30/01—published 12/12/01, effective 1/16/02]
[Filed 4/12/02, Notice 3/6/02—published 5/1/02, effective 6/5/02]
[Filed 4/26/02, Notice 1/9/02—published 5/15/02, effective 6/19/02]
[Filed 10/21/05, Notice 2/16/05—published 11/9/05, effective 12/14/05]
[Filed 7/27/06, Notice 6/7/06—published 8/16/06, effective 9/20/06]
[Filed 10/6/06, Notice 3/15/06—published 10/25/06, effective 11/29/06]
[Prior to 10/8/86, Commerce Commission[250]
199—2.1(17A,474) Forms—general.
2.1(1) Purpose and scope. These rules shall govern all forms prescribed by the Iowa utilities board (hereinafter referred to as board) for use in all proceedings before the board, provided however, that the board may prescribe additional or different forms to be utilized in a specific case as necessary.
2.1(2) Forms compliance. All papers filed with the board shall substantially conform with the requirements set forth below. The board, without prejudice to any party to a proceeding, may reject a paper which does not substantially conform with the requirements of this chapter, giving a statement of reasons for the rejection.
2.1(3) General requirements. Documents filed with the board shall be printed, typewritten, or otherwise mechanically reproduced and double spaced, except that long quotations may be single spaced and indented. All papers, except exhibits, shall be cut or folded so as not to exceed 8½ inches by 11 inches in size with inside margins not less than 1 inch in width. Whenever practical, all exhibits of a documentary character should conform to the foregoing requirements of size and margin. Papers should contain the name and address of the party filing the paper and, if represented by an attorney, the name and office address of such attorney. Except as otherwise provided in these rules, the original of all papers and exhibits should be filed with the board. The person filing the paper or exhibit shall also furnish additional copies for each respondent or party to be served by the board and such other copies as the board may request.
This rule is intended to implement Iowa Code section 474.5.
199—2.2(17A,474) Specific forms.
2.2(1) Petition for rule making.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
IN RE: (insert present board rule number |
} |
DOCKET NO. _______________ |
COMES NOW (insert name of petitioner) and for (insert pronoun) petition states:
(The petition shall then set forth in separately numbered paragraphs:
1. The text of any proposed rule or amendment, identifying the section or sections of the law or rule involved, or the rule sought to be repealed.
2. The reasons for requesting the action, including any relevant facts, views, data, or arguments.
3. A concise statement of the petitioner’s interest in the subject matter.)
WHEREFORE,
(insert petitioner’s name) prays that the board institute a rule–making
proceeding to (adopt, amend, or repeal) (insert board rule number or the
proposed rule) as hereinbefore set forth.
Respectfully
submitted,
(signature of petitioner)
(name)
(address and zip code)
2.2(2) Statement of position.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert title of proceeding as set forth in |
} |
DOCKET NO. (insert docket No., |
COMES NOW, (insert name of person filing statement) and for (insert pronoun) statement of position submits:
(The
statement shall then set forth in an organized manner any data, views, or
arguments relevant to the adoption, amendment, or repeal of the rule.)
Respectfully
submitted,
(signature)
(name)
(address
and zip code)
2.2(3) Counter–statement of position.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert title of proceeding as set forth in |
} |
DOCKET NO. (insert docket No., |
COMES NOW, (insert name of person filing counter–statement) and for (insert pronoun) response to the statement of position of (insert name of person filing statement of position) states:
(The
statement shall then set forth in an organized manner a response to any data,
views, or arguments set forth in the statement of position.)
Respectfully
submitted,
(signature)
(name)
(address and zip code)
2.2(4) Request for rule–making oral presentation.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert title of proceeding as set forth in |
} |
DOCKET NO. (insert docket No., |
COMES NOW (insert name(s) of persons or the organization or agency requesting oral presentation) and for (insert pronoun) request for oral presentation state(s):
(The request shall then set forth in separately numbered paragraphs:
1. The facts which show the person, persons, organization or agency is/are authorized to request oral presentation on rule making in accordance with Iowa Code section 17A.4.
2. The reasons for requesting oral presentation.
3. A concise statement of the party’s interest in the subject matter (if the party is not the administrative rules review committee).)
WHEREFORE, (insert party’s name) requests the board to schedule oral presentation in this proceeding.
Respectfully
submitted,
(signatures,
addresses and zip codes of 25 interested persons; or signature, address
and zip code of head of governmental
subdivision, chairman of the administrative rules review committee,
head of an agency, or authorized representative of an association having not
less than 25 members)
2.2(5) Request for rule–making statement.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert title of proceeding as set forth in |
} |
DOCKET NO. (insert docket No., |
COMES NOW (insert name of person requesting statement) and for (insert pronoun) request states:
(The request shall then set forth in separately numbered paragraphs:
1. A concise statement that on (insert date) the board issued an order (adopting, amending or repealing) (insert rule number) (or terminating rule–making proceeding, Docket No.) (insert Docket number).
2. A concise statement of the party’s interest in the subject matter.)
WHEREFORE,
(insert party’s name) requests the board to issue a formal statement in support
of its decision pursuant to Iowa Code section 17A.4(1)“b.”
Respectfully
submitted,
(signature)
(name)
(address and zip code)
2.2(6) Petition for declaratory ruling.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
IN RE: THE PETITION OF (insert |
} |
DOCKET NO. _______________ |
COMES NOW (insert name of petitioner) and requests a declaratory ruling on (state rule number, statute, order, decision, or other written statement of law or policy for which an interpretation is sought), and in support of which petitioner states:
(The petition shall then set forth in separately numbered paragraphs:
1. A clear and concise statement of all relevant facts on which the ruling is requested.
2. A citation and the relevant language of the specific statutes, rules, policies, decisions, or orders, whose applicability is questioned, and any other relevant law.
3. The questions petitioner wants answered, stated clearly and concisely.
4. The answers to the questions desired by the petitioner and a summary of the reasons urged by the petitioner in support of those answers.
5. The reasons for requesting the declaratory ruling and disclosure of the petitioner’s interest in the outcome.
6. A statement indicating whether the petitioner is currently a party to another proceeding involving the questions at issue and whether, to the petitioner’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
7. The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the questions presented in the petition.
8. Any request by petitioner for a meeting provided for by rule 4.4(17A).)
The petition must be dated and signed by the petitioner or the petitioner’s representative. It must also include the name, mailing address, and telephone number of the petitioner and petitioner’s representative, and a statement indicating the person to whom communications concerning the petition should be directed.)
WHEREFORE, (insert petitioner’s name) prays that the board issue a declaratory ruling on (insert proposed subject of ruling).
2.2(7) Complaint.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert name of complainant), |
} |
DOCKET NO. _______________ |
COMES NOW (insert name of complainant) and for (insert pronoun) complaint states:
(The complaint shall then set forth in separately numbered paragraphs:
1. The name and address of the party against whom the complaint is made.
2. A clear, concise, and complete statement of the facts forming the basis for the conclusion that the respondent has violated a specific statute administered by the board, a specific rule of the board, a tariff of the respondent, or order issued by the board.)
WHEREFORE,
(insert complainant’s name) prays (insert specific relief sought).
Respectfully
submitted,
(signature of complainant)
(name)
(address and zip code)
2.2(8) Answer.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert name of complainant), |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of respondent) and for (insert pronoun) answer to the complaint filed by (insert complainant’s name) states:
(The answer shall then set forth in separately numbered paragraphs:
1. Clear, concise statements which admit, deny, or otherwise answer all material allegations of the complaint and which set forth the affirmative grounds relied upon to support such answer.
2. The statements, insofar as possible, should respond directly to the separately numbered paragraphs of the complaint.)
WHEREFORE,
(insert respondent’s name) prays (insert prayer for dismissal of complaint or
other relief sought).
Respectfully
submitted,
(signature of respondent)
(name)
(address and zip code)
2.2(9) Counter–complaint.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert name of complainant), |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of respondent) and for (insert pronoun) counter–complaint states:
(The counter–complaint shall then set forth in separately numbered paragraphs:
1. The name and address of the party against whom the counter–complaint is made.
2. A clear, concise and complete statement of the facts forming the basis for the conclusion that the complainant has violated a specific statute administered by the board, a specific rule of the board, a tariff of the complainant, or order issued by the board.)
WHEREFORE,
(insert respondent’s name) prays (insert specific relief sought).
Respectfully
submitted,
(signature of respondent)
(name)
(address and zip code)
2.2(10) Petition to intervene.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of petitioner) and for (insert pronoun) petition states:
(The petition shall then set forth in separately numbered paragraphs:
1. A clear and concise statement of facts specifying the nature of the petitioner’s alleged interest.
2. A clear and concise statement of how the petitioner’s interests are unique and require representation in addition to the existing parties. (If the petitioner’s interests will be represented by the existing parties, the petition will be considered for permissive intervention.) If a petition for intervention is initially denied, the petitioner may provide further information to the board to establish the unique nature of his/her interests.
3. Specific and detailed admissions or denials of each material allegation of fact or law asserted in the proceeding, citing, where appropriate, the statutory provisions or authority relied on. The admissions or denials should give a clear and concise statement of the position of the petitioner so as to apprise the parties and the board of the specific issues of law or fact to be raised or controverted.
4. Outline the extent to which the petitioner intends to participate in the proceedings:
Whether the petitioner intends to submit prepared direct testimony and exhibits.
Whether the petitioner intends to participate in hearings before the board including the cross–examination of expert witnesses.
Whether the petitioner will be represented by an attorney at law admitted to practice or seeks approval of the board to appear and be heard in his/her own behalf.)
WHEREFORE,
(insert petitioner’s name) prays for leave to intervene and be treated as a
party to the proceeding (if affirmative relief is sought, include specific
prayer for such relief).
Respectfully
submitted,
(signature of petitioner)
(name)
(address and zip code)
2.2(11) Response to petition to intervene.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of person filing resistance or response) and in (response, resistance) to the Petition to Intervene filed by (insert petitioner’s name) states:
(The response should then set forth in separately numbered paragraphs:
1. Objections, if any, supported by specific reasons, to granting the petitioner the right of intervention.
2. A request, if any, supported by specific reasons, to limit the right of intervention to particular issues or to a particular stage of proceeding.
3. Insofar as possible, a direct response to the specific issues of law or fact raised in the petition to intervene.)
WHEREFORE,
(insert name of person filing response) prays (insert specific relief sought).
Respectfully
submitted,
(signature)
(name)
(address and zip code)
2.2(12) Motion to reopen hearing.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of party) and moves the board to reopen the record for the purpose of taking additional evidence and in support thereof states:
(The motion shall then set forth in separately numbered paragraphs:
A clear and concise statement of the facts claimed to constitute grounds requiring reopening of the proceeding, including material changes of fact or law alleged to have occurred since the conclusion of the hearing.)
WHEREFORE,
(insert name of party) prays that the board reopen said hearing.
Respectfully
submitted,
(signature of party)
(name)
(address and zip code)
2.2(13) Application for rehearing.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of party) and for (insert pronoun) application for rehearing states:
(The application shall then set forth in separately numbered paragraphs:
1. Each finding of fact and conclusion of law claimed to be erroneous, with a brief statement of the grounds of error.
2. Any application for rehearing asserting evidence which has arisen since the final order was issued as a ground for rehearing shall present the evidence by affidavit which includes an explanation of the competence of the person to sponsor the evidence and a brief description of the evidence sought to be included.)
WHEREFORE,
(insert name of party) prays the board grant rehearing on the issues specified.
Respectfully
submitted,
(signature of party)
(name)
(address and zip code)
2.2(14) Motion.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.) |
COMES NOW (insert name of moving party) and moves the board to (insert specific relief sought) and in support thereof states:
(The motion shall then set forth in separately numbered paragraphs the grounds relied on in making the motion, including specific statutory or other authority.)
WHEREFORE,
(insert name of moving party) prays the board to (insert specific relief or
order sought).
Respectfully
submitted,
(signature)
(name)
(address
and zip code)
2.2(15) Written appearance.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.) |
COMES
NOW (insert name of person filing appearance) and enters (insert pronoun)
appearance on behalf of (insert name(s), address(es) and zip code(s) of
person(s) on behalf of whom the appearance is filed) in this matter.
Respectfully
submitted,
(signature)
(name)
(address and zip code)
2.2(16) Certificate of service.
I hereby certify that I have this day served the foregoing document upon all parties of record in this proceeding in accordance with the requirements of the rules of the Iowa utilities board.
Dated
at ____________________ this __________ day of _______________,19 ________.
By
(signature)
(name)
(address
and zip code)
2.2(17) Waiver request.
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
(insert case title) |
} |
DOCKET NO. (insert docket No.)
WAIVER REQUEST |
COMES NOW (insert name of person requesting the waiver), and files this request for a waiver, and in support states:
1. (Insert the specific waiver requested, including a citation to the specific rule the requester wants to be waived, and the precise scope and operative period of the requested waiver. If the request is for a permanent waiver, state the reasons why a temporary waiver would be impractical.)
2. (Insert the relevant facts and reasons that show each of the following: (a) the application of the rule would pose an undue hardship on the person for whom the waiver is requested; (b) the waiver would not prejudice the substantial legal rights of any person; (c) the provisions of the rule subject to a petition for waiver are not specifically mandated by statute or another provision of law; and (d) substantially equal protection of public health, safety, and welfare will be afforded by a means other than that prescribed in the rule for which the waiver is requested.)
3. (Insert the names of the persons who may be adversely impacted by the grant of the waiver, if known.)
WHEREFORE,
(insert name of requester) prays the board grant the request for a waiver of
the rule specified above.
Respectfully
submitted,
(signature of requester)
(name)
(address
and zip code)
2.2(18) Application for certification of competitive natural
gas provider (CNGP).
STATE OF IOWA
BEFORE THE IOWA UTILITIES BOARD
|
IN RE:
(insert applicant name) |
} |
DOCKET NO. (insert docket no.)
APPLICATION FOR CERTIFICATION OF COMPETITIVE NATURAL GAS PROVIDER OR AGGREGATOR |
COMES NOW (insert name of person or entity requesting the certificate) and files this application for a certificate as a competitive natural gas provider or aggregator (CNGP), and in support thereof states:
1. The legal name and all trade names under which the applicant will operate, a description of the business structure of the applicant, evidence of authority to do business in Iowa, and the applicant’s state of incorporation.
2. The names, business addresses and business telephone numbers of the principal officers of the applicant who can be contacted regarding its operations in Iowa and telephone number(s) at which the CNGP can be contacted 24 hours a day.
3. Identification of affiliates that are certified under 199—19.14(476) and a listing of the names and addresses of all the applicant’s affiliates engaged in the provision of competitive natural gas services in any other state.
4. A listing of all legal actions and formal complaints pertaining to the provision of competitive natural gas services filed against the applicant or its affiliates at a public utility regulatory body other than the board that were pending in the 12 months prior to the date of the request for certificate, including identification of the title and number of applicable proceedings and a copy of the final orders in such proceedings or the citation to the website where the text of the orders can be found.
5. Identification of the states and jurisdictions in which the applicant or an affiliate has had a license or certificate to supply competitive natural gas services suspended, revoked, or denied, or where the applicant has voluntarily withdrawn from providing service due to financial or operational reasons. Applicant shall include identification of the title and number of any applicable proceedings and a copy of any final orders in such proceedings or the citation to the website where the text of the orders can be found.
6. Applicants who will be serving small volume customers must provide a demonstration that the applicant has the operational and financial capability to obtain and deliver the services it proposes to offer. At a minimum, applicants are required to submit financial statements. The applicant must submit a balance sheet, statement of income, statement of cash flow, and, if applicable, a statement of shareholders’ equity and the applicant’s debt structure, including bond rating. As a demonstration of the applicant’s operational ability, the applicant must submit a roster of officers and directors, a description of the professional backgrounds of the applicant’s principal managerial and technical personnel, an operational flow chart, and a description of the applicant’s facilities and the services it intends to render. A request for confidential treatment for this information may be filed with the board, pursuant to 199—subrule 1.9(6).
7. A commitment to comply with all the applicable conditions of certification contained in 199—subrules 19.14(5) and 19.14(6). Acknowledgement that failure to comply with all the applicable conditions of certification may result in the revocation of the CNGP’s certificate.
8. A copy of the standard customer contract(s) and disclosure statement required by199—paragraph 19.14(6)“c.”
This rule is intended to implement Iowa Code sections 17A.9A, 474.6, 476.6 and 476.8.
199—2.3 Rescinded, effective 9/8/86.
199—2.4(17A,474) Forms. The following forms for proceedings under Iowa Code chapters 478, 479, and 479B are available upon request:
1. Petition for Electric Line Franchise.
2. Petition for Amendment of Electric Line Franchise.
3. Petition for Extension of Electric Franchise.
4. Exhibit C, Overhead Transmission Line: Typical Engineering Specifications.
5. Exhibit C–UG, Engineering Specifications for Underground Transmission Line.
6. Petition for Permit to Construct, Operate, and Maintain a Pipeline.
7. Petition for Renewal of Permit to Construct, Operate, and Maintain a Pipeline.
8. Exhibit C, Specifications for Pipeline.
9. Petition for Permit for Hazardous Liquid Pipeline.
These rules are intended to implement Iowa Code sections 474.1, 474.5, 474.6, 474.10, 476.6, 476.8 and 546.7.
[Filed 2/11/76, Notice 7/14/75—published 2/23/76, effective 3/29/76]
[Filed 8/28/81, Notice 7/8/81—published 9/16/81, effective 10/21/81]
[Filed 2/12/82, Notice 10/28/81—published 3/3/82, effective 4/7/82]
[Filed emergency 9/18/86—published 10/8/86, effective 9/18/86]
[Filed 1/6/89, Notice 7/27/88—published 1/25/89, effective 3/1/89]
[Filed 3/3/89, Notice 8/24/88—published 3/22/89, effective 4/26/89]
[Published 6/17/98 to correct board name]
[Filed 10/13/99, Notice 5/19/99—published 11/3/99, effective 12/8/99]
[Filed 10/12/00, Notice 8/23/00—published 11/1/00, effective 12/6/00]
[Filed 3/1/01, Notice 7/12/00—published 3/21/01, effective 4/25/01]
[Prior to 10/8/86, Commerce Commission[250]]
199—3.1(17A,474) Purpose and scope.
3.1(1) In general. These rules shall govern the practice and procedure in all rule–making proceedings of the Iowa utilities board (board).
3.1(2) Rules of construction. If any provision of a rule or the application of a rule to any person or circumstance is itself or through its enabling statute held invalid, the invalidity does not affect other provisions or applications of the rule which can be given effect without the invalid provision or application, and to this end the provisions of the rule are severable.
3.1(3) Waiver. The board may waive the application of any of these rules pursuant to 199 IAC 1.3(17A,474).
3.1(4) Forms and filing requirements. All rule–making filings shall substantially comply with the forms prescribed in 199 IAC 2.2(17A,474). All filings shall include an original and ten copies.
199—3.2(17A,474) Notice of inquiry. In addition to seeking information by other methods, the board may solicit comments from the public on the subject matter of possible rule making by the board by causing notice of the subject matter to be published in the Iowa Administrative Bulletin, indicating where, when, and how persons may comment.
199—3.3(17A,474) Petition for adoption of rules. Any interested person may petition the board for the adoption, amendment, or repeal of a rule.
199—3.4(17A,474) Commencement of proceedings.
3.4(1) Commenced by order. Rule–making proceedings shall be commenced only upon written order of the board. The board may commence a rule–making proceeding by order upon its own motion or upon the filing of a petition for rule making by any interested person.
3.4(2) Board action on petition. Within 60 days after the filing of a petition for rule making, the board shall either deny the petition by written order on the merits, stating the reasons therefor, commence by written order a rule–making proceeding, or adopt by written order a rule pursuant to Iowa Code section 17A.4(2).
3.4(3) Notice of rule making. Upon the commencement by written order of a rule–making proceeding, the board shall cause the required notice of the proceeding to be published in the Iowa Administrative Bulletin.
3.4(4) Fiscal impact statement. Pursuant to Iowa Code section 25B.6, a proposed rule that mandates additional combined expenditures exceeding $100,000 by all affected political subdivisions, or agencies and entities which contract with political subdivisions to provide services, shall be accompanied by a fiscal impact statement outlining the costs associated with the proposed rule. If the board determines at the time it adopts a rule that the earlier fiscal impact statement contains errors or that a fiscal impact statement should have been prepared but was not, the board will issue a corrected or delayed fiscal impact statement.
199—3.5(17A,474) Written statements of position.
3.5(1) Persons. Any interested person may file a written statement of position containing data, views, comments, or arguments concerning the proposed adoption, amendment, or repeal of a rule.
3.5(2) Service. Written statements of position shall be served by the author upon the petitioner, if any, and consumer advocate at the time of filing.
199—3.6(17A,474) Counterstatements of position.
3.6(1) Petitioner. The petitioner, if any, may file a counterstatement of position with the board in response to written statements of position.
3.6(2) Filing. Counterstatements of position, if any, shall be filed with the board prior to the oral presentation or, if no oral presentation is scheduled, not later than 15 calendar days after the petitioner’s receipt of the written statement of position to which the petitioner is responding.
3.6(3) Service. Counterstatements of position shall be served by the petitioner at the time of filing upon the authors of written statements of position to which the petitioner is responding and to consumer advocate.
199—3.7(17A,474) Requests for oral presentation. If an oral presentation is not scheduled by the board on its own motion, any interested person may file a request for an oral presentation.
3.7(1) Filing. The time period, as directed by the board, for filing of requests for oral presentation shall be not less than 20 calendar days after the publication of the notice of rule making in the Iowa Administrative Bulletin.
3.7(2) Action on proper request. Within 15 calendar days of the filing of a request for oral presentation, the board shall determine if the request is in accordance with Iowa Code section 17A.4. If the board determines that the request complies with section 17A.4, the board shall by written order schedule oral presentation on the rule making and shall cause a notice of the oral presentation to be published in the Iowa Administrative Bulletin. The notice shall state the date, time and place of the oral presentation and shall briefly describe the subject matter of the rule–making proceeding. The oral presentation on the rule making shall be not less than ten calendar days after the publication of the notice. The board shall serve a similar notice on the party requesting oral presentation, on any other persons filing written comments, and on the petitioner, if any.
3.7(3) Action on improper request. If the board determines that a request for oral presentation does not comply with Iowa Code section 17A.4, it may by written order deny such request stating the reasons therefor, or it may, in its discretion, grant the request and schedule an oral presentation.
199—3.8(17A,474) Rule–making oral presentation.
3.8(1) Written appearance. Any interested person may participate in rule–making oral presentations in person or by counsel. A written appearance may be filed not less than five calendar days prior to oral presentation.
3.8(2) Oral presentations. Participants in rule–making oral presentations may submit exhibits and present oral statements of position which may include data, views, comments, or arguments concerning the proposed adoption, amendment, or repeal of the rule. Participants shall not be required to take an oath and shall not be subject to cross–examination. The board may, in its discretion, permit the questioning of participants by any interested person, but no participant shall be required to answer any question.
3.8(3) Rebuttal and limitations. The board may, in its discretion, permit rebuttal statements of position and request the filing of written statements of position subsequent to the adjournment of the rule–making oral presentation. The board may limit the time of any oral presentation and the length of any written presentation.
199—3.9(17A,474) Rule–making decisions.
3.9(1) Adoption, amendment, or repeal. The board shall by written order adopt, amend, or repeal the rule pursuant to the rule–making proceeding, or dismiss the proceeding in accordance with Iowa Code section 17A.4. The written order shall include a preamble to the adopted rules explaining the principal reasons for the action taken and, if applicable, a brief explanation of any decision not to permit waiver of the adopted rules. The board may, by order, specify the effective date of the adoption, amendment, or repeal of the rule.
3.9(2) Variance between adopted rule and proposed rule. The board may adopt a rule that differs from the rule proposed in the Notice of Intended Action in the following situations:
a. The differences are within the scope of the subject matter announced in the Notice of Intended Action and are in character with the issues raised in the Notice;
b. The differences are a logical outgrowth of the contents of the Notice and the comments submitted in response thereto;
c. The Notice indicated that the outcome of the rule making could be the rule in question;
d. The differences are so insubstantial as to make additional notice and comment proceedings unnecessary; or
e. As otherwise permitted by law.
3.9(3) Statements. Upon the adoption, amendment, or repeal of a rule or termination of a rule–making proceeding, and if timely written request is filed by any interested person pursuant to Iowa Code section 17A.4(1)“b,” the board shall, within 35 days of the request, issue a formal written statement of the principal reasons for and against the adoption, amendment, or repeal of the rule, or termination of the rule–making proceeding, including the reasons why the board overruled the positions in opposition to the board’s decision.
199—3.10(17A,474) Regulatory analysis.
3.10(1) Regulatory analysis. The board shall issue a regulatory analysis of a proposed rule, or of a rule adopted without prior notice and opportunity for public participation, when required by 1998 Iowa Acts, chapter 1202, section 10.
3.10(2) Request for regulatory analysis. A request for a regulatory analysis shall be in writing and shall specify the proposed rule or adopted rule for which the analysis is requested.
3.10(3) Schedule extended. Upon receipt of a timely written request for a regulatory analysis of a proposed rule, the time periods for filing written comments and for requesting an oral proceeding are extended to a date 20 days after publication of a concise summary of the regulatory analysis in the Iowa Administrative Bulletin. Any oral proceeding that may already have been scheduled will be rescheduled by the board to a date at least 20 days after publication of the summary.
199—3.11(17A,474) Review of rules. Pursuant to Iowa Code section 17A.7, upon receipt from the administrative rules coordinator of a request for formal review of a specified rule, the board will determine whether the rule has been reviewed within the preceding five years. If such a review was conducted, the board will report that fact to the administrative rules coordinator. If no such review has been conducted, the board will consider whether the rule should be repealed or amended or a new rule adopted in its place. The board will prepare a written report summarizing its findings, supporting reasons, and proposed course of action. Copies of the report will be sent to the administrative rules review committee and the administrative rules coordinator, and will be made available for public inspection.
These rules are intended to implement Iowa Code section 476.2.
[Filed 2/11/76, Notice 7/14/75—published 2/23/76, effective 3/29/76]
[Filed emergency 6/3/83—published 6/22/83, effective 7/1/83]
[Filed 10/7/83, Notice 8/3/83—published 10/26/83, effective 11/30/83]
[Filed 11/4/83, Notice 8/31/83—published 11/23/83, effective 1/1/84]
[Filed 11/16/84, Notice 9/12/84—published 12/5/84, effective 1/16/85]
[Filed 4/5/85, Notice 2/27/85—published 4/24/85, effective 5/29/85]
[Filed 7/12/85, Notice 6/5/85—published 7/31/85, effective 9/4/85]
[Filed 9/6/85, Notice 6/19/85—published 9/25/85, effective 10/30/85]
[Filed emergency 9/18/86—published 10/8/86, effective 9/18/86]
[Published 6/17/98 to update name and address of board]
[Filed 11/24/99, Notice 8/11/99—published 12/15/99, effective 1/19/00]
[Prior to 10/8/86, see Commerce Commission[250]]
199—4.1(17A) Petition for declaratory order. Any person may file a petition with the Iowa utilities board for a declaratory order as to the applicability to specified circumstances of a statute, rule, or order within the primary jurisdiction of the utilities board, at 350 Maple Street, Des Moines, Iowa 50319–0069. A petition is deemed filed when it is received by that office. The utilities board shall provide the petitioner with a file–stamped copy of the petition if the petitioner provides the board with an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:
|
STATE OF IOWA |
||||
|
IN RE: THE PETITION OF |
} |
DOCKET
NO.___ |
||
COMES NOW (insert name of petitioner) and requests a declaratory order on (state rule number, statute, order, decision, or other written statement of law or policy of which an interpretation is sought), and in support petitioner states:
(The petition shall then set forth in separately numbered statements:)
1. A clear and concise statement of all relevant facts on which the ruling is requested.
2. A citation to and the relevant language of the specific statutes, rules, policies, decisions, or orders, the applicability of which has been questioned, and any other relevant law.
3. The questions petitioner wants answered, stated clearly and concisely.
4. The answers to the questions desired by the petitioner and a summary of the reasons urged by the petitioner in support of those answers.
5. The reasons for requesting the declaratory order and disclosure of the petitioner’s interest in the outcome.
6. A statement indicating whether the petitioner is currently a party to another proceeding involving the questions at issue and whether, to the petitioner’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
7. The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the questions presented in the petition.
8. Any request by petitioner for a meeting as provided for by rule 4.7(17A).
[The petition must be dated and signed by the petitioner or the petitioner’s representative. It must also include the name, mailing address, and telephone number of the petitioner and petitioner’s representative, and a statement indicating the person to whom communications concerning the petition should be directed.]
WHEREFORE, (insert petitioner’s name) prays that the board issue a declaratory order on (insert proposed subject of the requested order).
Respectfully submitted,
_______________________________
(Signature of petitioner or representative)
(Typed or printed name of signer)
(Address and telephone number)
199—4.2(17A) Notice of petition. Within five days after receipt of a petition for a declaratory order, the utilities board shall give notice to all persons not served by the petitioner pursuant to rule 4.6(17A) to whom notice is required by any provision of law. The utilities board may also give notice to any other persons.
4.3(1) Persons who qualify under any applicable provision of law as an intervenor and who file a petition for intervention within 14 days of the filing of a petition for declaratory order shall be allowed to intervene in a proceeding for a declaratory order.
4.3(2) Any person who filed a petition for intervention at any time prior to the issuance of an order may be allowed to intervene in a proceeding for a declaratory order at the discretion of the utilities board.
4.3(3) A petition for intervention shall be filed at 350 Maple Street, Des Moines, Iowa 50319–0069. Such a petition shall be deemed filed when it is received by that office. The utilities board will provide the petitioner with a file–stamped copy of the petition for intervention if the petitioner provides an extra copy for this purpose. A petition for intervention must be typewritten or legibly handwritten in ink and must substantially conform to the following form:
|
STATE OF IOWA |
||||
|
IN RE: THE PETITION OF |
} |
DOCKET
NO.___ |
||
COMES NOW (insert name of petitioner) and requests intervention in this matter and in support petitioner states:
(The petition shall then set forth in separately numbered statements:)
1. Facts supporting the intervenor’s standing and qualifications for intervention.
2. The answers urged by the intervenor to the question or questions presented and a summary of the reasons urged in support of those answers.
3. Reasons for requesting intervention and disclosure of the intervenor’s interest in the outcome.
4. A statement indicating whether the intervenor is currently a party to another proceeding involving the questions at issue and whether, to the intervenor’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
5. The names and addresses of other persons, or a description of any class of persons, known by the intervenor to be affected by, or interested in, the questions presented in the petition.
6. Whether the intervenor consents to be bound by the determination of the matters presented in the declaratory order proceeding.
[The petition must be dated and signed by the intervenor or the intervenor’s representative. It must also include the name, mailing address, and telephone number of the intervenor and intervenor’s representative, and a statement indicating the person to whom communications concerning the petition should be directed.]
WHEREFORE, (insert intervenor’s name) prays that the board grant it intervention and issue a declaratory order on (insert proposed subject of the requested order).
Respectfully submitted,
_______________________________
(Signature of intervenor or representative)
(Typed or printed name of signer)
(Address and telephone number)
199—4.4(17A) Briefs. The petitioner or any intervenor may file a brief in support of the position urged. The utilities board may request a brief from the petitioner, any intervenor, or any other person concerning the questions raised.
199—4.5(17A) Inquiries. Inquiries concerning the status of a declaratory order proceeding may be made to the Executive Secretary, Iowa Utilities Board, 350 Maple Street, Des Moines, Iowa 50319–0069.
199—4.6(17A) Service and filing of petitions and other papers.
4.6(1) When service required. Except where otherwise provided by law, every petition for declaratory order, petition for intervention, brief, or other paper filed in a proceeding for a declaratory order shall be served upon each of the parties of record to the proceeding and on any persons who, based upon a reasonable investigation, would be a necessary party to the proceeding under applicable substantive law, simultaneously with their filing. The party filing a document is responsible for service on all parties and other required persons.
4.6(2) Filing—when required. All petitions for declaratory orders, petitions for intervention, briefs, or other papers filed in a proceeding for a declaratory order shall be filed with the Executive Secretary, 350 Maple Street, Des Moines, Iowa 50319–0069. All petitions, briefs, or other papers that are required to be served upon a party shall be filed simultaneously with the utilities board.
4.6(3) Method of service, time of filing, and proof of mailing. Method of service, time of filing, and proof of mailing shall be as provided by 199—subrule 7.6(1).
199—4.7(17A) Agency consideration. Upon request by petitioner, the utilities board must schedule a brief and informal meeting between the original petitioner, all intervenors, and the utilities board, a member of the utilities board, or a member of the staff of the utilities board to discuss the questions raised. The utilities board may solicit comments from any person on the questions raised. Also, comments on the questions raised may be submitted to the utilities board by any person.
199—4.8(17A) Action on petition. Within the time allowed by 1998 Iowa Acts, chapter 1202, section 13(5), after receipt of a petition for a declaratory order, the utilities board or designee shall take action on the petition as required by 1998 Iowa Acts, chapter 1202, section 13(5).
199—4.9(17A) Refusal to issue order.
4.9(1) The utilities board shall not issue a declaratory order where prohibited by 1998 Iowa Acts, chapter 1202, section 13(1), and may refuse to issue a declaratory order on some or all of the questions raised for the following reasons:
1. The question does not substantially comply with the required form.
2. The petition does not contain facts sufficient to demonstrate that the petitioner will be aggrieved or adversely affected by the failure of the utilities board to issue an order.
3. The utilities board does not have jurisdiction over the questions presented in the petition.
4. The questions presented by the petition are also presented in a current rule making, contested case, or other agency or judicial proceeding, that may definitively resolve them.
5. The questions presented by the petition would more properly be resolved in a different type of proceeding or by another body with jurisdiction over the matter.
6. The facts or questions presented in the petition are unclear, overbroad, insufficient, or otherwise inappropriate as a basis upon which to issue an order.
7. There is no need to issue an order because the questions raised in the petition have been settled due to a change in circumstances.
8. The petition is not based upon facts calculated to aid in the planning of future conduct but is, instead, based solely upon prior conduct in an effort to establish the effect of that conduct or to challenge an agency decision already made.
9. The petition requests a declaratory order that would necessarily determine the legal rights, duties, or responsibilities of other persons who have not joined in the petition, intervened separately, or filed a similar petition and whose position on the questions presented may fairly be presumed to be adverse to that of the petitioner.
10. The petitioner requests the utilities board to determine whether a statute is unconstitutional on its face.
4.9(2) A refusal to issue a declaratory order must indicate the specific grounds for the refusal and constitutes final utilities board action on the petition.
4.9(3) Refusal to issue a declaratory order pursuant to this provision does not preclude the filing of a new petition that seeks to eliminate the grounds for the refusal to issue an order.
199—4.10(17A) Contents of declaratory order—effective date. In addition to the order itself, a declaratory order must contain the date of its issuance, the name of the petitioner and all intervenors, the specific statutes, rules, policies, decisions, or orders involved, the particular facts upon which it is based, and the reasons for its conclusions.
A declaratory order is effective on the date of issuance.
199—4.11(17A) Copies of orders. A copy of all orders issued in response to a petition for a declaratory order shall be mailed promptly to the original petitioner and all intervenors.
199—4.12(17A) Effect of a declaratory order. A declaratory order has the same status and binding effect as a final order issued in a contested case proceeding. It is binding on the utilities board, the petitioner, and any intervenors who consent to be bound and is applicable only in circumstances where the relevant facts and the law involved are indistinguishable from those on which the order was based. As to all other persons, a declaratory order serves only as precedent and is not binding on the utilities board. The issuance of a declaratory order constitutes final agency action on the petition.
These rules are intended to implement 1998 Iowa Acts, chapter 1202, section 13, and Iowa Code section 476.1.
[Filed 2/11/76, Notice 7/14/75—published 2/23/76, effective 3/29/76]
[Filed 11/16/84, Notice 9/12/84—published 12/5/84, effective 1/16/85]
[Filed emergency 9/18/86—published 10/8/86, effective 9/18/86]
[Filed 3/3/89, Notice 8/24/88—published 3/22/89, effective 4/26/89]
[Published 6/17/98 to update name and address of board]
[Filed 9/3/99, Notice 5/19/99—published 9/22/99, effective 10/27/99]
chapter 5
PROCEDURE FOR DETERMINING THE COMPETITIVENESS
OF A COMMUNICATIONS SERVICE OR FACILITY
[Prior to 10/8/86, Commerce Commission[250]]
199—5.1(476) Purpose. These rules govern the procedure for investigating and determining the applicable level of regulation under Iowa Code Supplement section 476.1D for a communications service or facility.
5.2(1) Petitioner. Any interested person may petition the board for a determination of the following under Iowa Code Supplement section 476.1D.
a. Whether a communications service or facility provided or proposed to be provided by a telephone utility in Iowa is subject to effective competition;
b. Whether a communications service or facility provided or proposed to be provided by a telephone utility in Iowa, which is subject to effective competition, is an essential communications service or facility and the public interest warrants service regulation;
c. Whether a communications service or facility, which previously has been deregulated, is no longer subject to effective competition and rate and service regulation should be reimposed; or
d. Whether a communications service or facility, which previously has been deregulated and which continues to be subject to effective competition, is an essential communications service and the public interest warrants service regulation, and service regulation only should be reimposed.
5.2(2) Contents of petition. A petition for a determination under subrule 5.2(1) shall substantially comply with the form prescribed in 199—subrule 2.2(1), except that references to rule making shall be replaced by references to the service or facility sought to be evaluated. In addition, the petition must contain or be submitted with the following information:
a. The specific service or facility which the petitioner is asking the board to consider;
b. Data sufficient to support a prima facie finding that the service or facility is or is no longer subject to effective competition or is an essential communications service or facility and the public interest warrants service regulation;
c. In a petition for determination of whether a communications service or facility is subject to effective competition, an identification of all persons or parties who are actual or potential competitive providers of the service or facility.
5.2(3) Notice for proposed service. A petition under subrule 5.2(1), paragraph “a” or “b,” which relates to a proposed service or facility not yet offered by the utility and not an existing service or facility, may include a request for expedited consideration. The request will be granted if notice is given on or before the date of filing the petition. Notice shall be given by serving or mailing a copy of the petition to all persons reasonably identified as actual or potential competitive providers of the service or facility and to all local and interexchange telephone utilities in Iowa. The notice shall also state the time limitation and responsive filing requirements in subrule 5.3(2).
5.3(1) Order. If the petitioner has complied with subrule 5.2(2), the board may issue an order docketing the matter as a formal notice and comment proceeding. At any time the board may initiate a formal notice and comment proceeding on its own motion. At any time, the board may also on its own motion initiate evidentiary hearings to develop a reliable record of facts related to the issues raised and to allow discovery to the extent the board deems necessary. The petition will not be deemed to be an application for new or changed rates, charges, schedules or regulations.
5.3(2) Time for action. The following schedules shall apply:
a. With regard to petitions filed which relate to an existing service or facility, or to a proposed service or facility for which expedited consideration is not granted, if the board does not issue an order docketing the matter as a formal proceeding within 60 days after the filing of the petition, the petition will be deemed denied.
b. With regard to petitions filed which relate to a proposed service or facility and for which expedited consideration is granted, the following procedural schedules shall apply:
(1) Any person, including the consumer advocate, wanting to file a response to a petition must do so within 30 days of the filing of the petition. If the response includes a request to docket the matter as a formal notice and comment proceeding, the response shall state specifically the grounds for the request.
(2) If no timely request to docket the petition stating grounds which raise material issues is filed, the board will issue the findings required in Iowa Code section 476.1D within 60 days of the filing of the petition.
(3) If a timely request to docket is filed stating grounds which raise material issues, the board will issue an order requiring the petitioner to notify the persons on the service list under subrule 5.2(3) and setting a schedule for interested persons to file sworn statements of position, an oral presentation, and briefing as necessary. The board will issue the findings required in Iowa Code section 476.1D within 120 days of the filing of the petition.
(4) The deadlines under subparagraphs (2) and (3) may be extended for good cause.
5.3(3) Notice. Upon docketing, the board will cause notice of the proceeding to be published in the Iowa Administrative Bulletin. The board may also require specific notice to persons identified as competitors.
5.3(4) Oral presentation. When the board issues an order docketing the matter as a formal notice and comment proceeding, the board may set a date, time and place for an oral presentation.
199—5.4(476) Statement of position. All written statements of position shall be sworn.
5.4(1) Statement. Any interested person may file a written statement of position concerning the matter within 30 days after publication of notice of the proceeding. The statement of position should substantially comply with the form prescribed in 199—subrule 2.2(2). Ten copies should be filed with the original. A statement of position may contain data, views, comments or arguments concerning the service or facility. Written statements of position shall be served by the author upon the petitioner at the time of filing.
5.4(2) Counterstatement. The petitioner may file a counterstatement of position with the board in response to written statements of position. The counterstatement of position should substantially comply with the form prescribed in 199—subrule 2.2(3). Ten copies should be filed with the original. A counterstatement may be filed with the board no later than 15 calendar days after the petitioner’s receipt of the written statement of position to which the petitioner is responding. The petitioner shall serve a copy of the counterstatement of position upon all authors of written statements of position to which the petitioner is responding.
199—5.5(476) Oral presentation. The rules prescribed in rule 199—3.7(17A,474) shall apply to oral presentations, except that participants in the oral presentation will be required to take an oath and will be subject to cross–examination by the board and by any other persons the board may deem appropriate. All persons filing written statements will be required to have at least one witness available at the oral presentation who may be cross–examined about the subject matter of the written statement.
5.6(1) Criteria for effective competition. In determining whether a service or facility is subject to effective competition, the board will consider whether a comparable service or facility is available from a supplier other than the telephone utility and whether market forces are sufficient to ensure just and reasonable rates without regulation. In addition, the board may consider the following criteria:
a. The ability or inability of a single provider to determine or control prices;
b. The ease with which other providers may enter the market;
c. The likelihood that other providers will enter the market;
d. The substitutability of one service or facility for another; and
e. Other relevant considerations.
5.6(2) Criteria to retain service regulation. In determining whether a service or facility is an essential communications service or facility and the public interest warrants retention of service regulation under Iowa Code subsection 476.1D(5) or 476.1D(7), the board may consider all or part of the following criteria:
a. Relative universality of customer use of the service or facility;
b. Degree to which the service or facility is necessary to access the telecommunications network;
c. Extent to which the public, subsets of the public, or individuals rely on the service or facility;
d. Potential for harm and its relative impact in the event of inadequate service quality;
e. Any economic incentives which might discourage reasonable service quality;
f. Existence of subcategories within a category of generally competitive services or facilities where the competition is ineffective to ensure reasonable service quality for the subcategory; and
g. Other relevant considerations.
5.6(3) Findings. After the completion of formal proceedings, the board may issue findings.
199—5.7(476) Extent of deregulation. Notwithstanding the presence of effective competition, if the board determines a service or facility is an essential communications service or facility and the public interest warrants retention of service regulation, the board will deregulate rates and may continue service regulation.
No provider of the service or facility will be subject to greater or lesser regulatory control because of its alleged market share or market power.
Any deregulation under these rules, whether deregulation of rates and service or deregulation of rates only, will involve separation of the accounts of the deregulated competitive service or facility from the accounts of the telephone utility’s regulated operation.
Deregulation of a service or facility for a utility is effective only after all of the following:
a. A finding of effective competition by the board;
b. Election by a utility providing the service or facility to file a deregulation accounting plan;
c. Approval of a utility’s deregulation accounting plan by the board.
199—5.8(476) Hearing and order. The board may include in its docketing order a notice of a hearing for the purpose of considering whether the board should issue an order suspending regulatory barriers which prevent providers from offering the specified service or facility to consumers.
These rules are intended to implement Iowa Code chapter 476 and Iowa Code section 546.7.
[Filed 6/14/85, Notice 4/24/85—published 7/3/85, effective 8/7/85]
[Filed emergency 9/18/86—published 10/8/86, effective 9/18/86]
[Filed 3/27/92, Notice 8/21/91—published 4/15/92, effective 5/20/92]
[Filed 1/29/93, Notice 9/30/92—published 2/17/93, effective 3/24/93]
chapter 6*
COMPLAINT PROCEDURES
[Previously ch 1, renumbered 10/20/75 Supp.]
[Prior to 10/8/86, Commerce Commission[250]]
199—6.1(476) Inquiry. Any person may seek assistance from the Iowa utilities board by appearing in person or placing a telephone call to the Consumer Services Section, Iowa Utilities Board, Des Moines, Iowa, (515)281–3839 or toll–free (877)565–4450. Consumer services may advise the person of the application of the rules, inform the person of utility complaint procedures and advise of written complaint procedures before the board. However, the complaint procedures set forth below are available only after a written complaint is filed.
199—6.2(476) Complaint. Any person or body politic may file a written complaint requesting a determination of the reasonableness of rates, charges, schedules, service, regulations or anything done or not done by a public utility subject to service or rate regulation by the board. Assistance may be requested in the following manner.
6.2(1) Information to be filed. Any person may, by filing a written complaint, request the board to determine whether the utility’s charges, practices, facilities or services are in compliance with applicable statutes and rules established by the board, or by the utility in its tariff, and lawfully issued board orders. A written complaint may be filed by facsimile or electronic mail. If there is any question about the authenticity of the complaint, the complainant may be required to file a letter verifying the written complaint. The board may initiate a complaint on its own motion. The complaint should include:
a. The name of the utility, any utility personnel known or believed to be familiar with the facts stated in the letter and the location of the office of the utility where the complaint was originally made and processed.
b. The name of the complainant. If the complaint is being filed on behalf of a person other than the complainant, an affidavit from the person injured by the practice about which the complaint is made should be included stating that the complaint has been received and is believed to be true and accurate to the best of the knowledge of the injured person. A complaint filed by an organization on behalf of its members shall include an affidavit signed by an officer of the organization.
c. The address of the premises where the service or billing problems occurred and, if known, the telephone number and the account number. If the complainant resides at a different address, the complaint should also state where a response to the complaint is to be mailed. The complainant may also provide a telephone number where the complainant can be reached during the day.
d. The nature of the complaint, and efforts made to resolve the matter. Documents—e.g., bills or correspondence—should be included if they will add to the board’s understanding of the utility practice about which the complaint is made. If known, references to statutes or rules believed to govern the outcome of the complaint should be included.
e. A proposal for resolving the complaint. The proposal should refer to any known statutes or rules authorizing the remedy request.
6.2(2) Request for additional information. If the staff determines that additional information
is needed in order to resolve the complaint, the complainant will be notified
that specified additional information should be filed. If the requested
additional information is not provided within 20 days, the complaint may be
dismissed. Dismissal of the complaint on this basis does not prevent the
complainant from filing in the future a complaint that includes the requested
information.
199—6.3(476) Processing the complaint. When the board receives a complaint that includes necessary information outlined in rule 6.2(476), the following complaint procedures will be followed:
6.3(1) The complaint letter and any supplemental information filed by the complainant will be forwarded to the public utility.
6.3(2) A copy of the complaint and any supplemental information will be forwarded by the staff to the consumer advocate.
6.3(3) The utility shall, within 20 days of the date on which the complaint is forwarded to the utility by the board, file a response to the complaint with the board and shall at the same time send a copy of its response to the complainant and the consumer advocate. The utility shall specifically address each allegation made by the complainant and recite any supporting facts, statutes, rules, or tariff provisions supporting its response. The utility shall enclose copies of all related letters, records, or other documents not supplied by the complainant, and all records concerning the complainant that are not confidential or privileged. In cases involving confidential or privileged records, the response shall advise of the records’ existence.
199—6.4(476) Proposed resolution.
6.4(1) When the utility response is received, the staff may request from any party any additional information deemed necessary to resolve the complaint. When satisfied that all necessary information has been gathered, the staff will respond by letter to the complainant with a copy to the utility and consumer advocate acknowledging resolution of the complaint or proposing an appropriate resolution of the complaint.
6.4(2) If the staff determines that the action required by the proposed resolution has not been carried out, or new facts arise, the record may be reopened by issuing notice to the parties of further investigation.
199—6.5(476) Initiating formal complaint proceedings.
6.5(1) If the consumer advocate, complainant, or the public utility is dissatisfied with the proposed resolution, a request for formal complaint proceedings may be made. Parties will be informed of their right to request formal proceedings. A request for civil penalties, in accordance with Iowa Administrative Code 199—Chapter 8, may also be filed at this time. Failure to file a request for civil penalties at this time does not preclude a party from requesting civil penalties at a later date during formal proceedings. If no request for formal proceedings is made within 14 days after issuance of the proposed resolution or the specified date of utility action, the proposed resolution will be deemed binding on all parties. The board may initiate formal proceedings and seek civil penalties at any time on its own motion.
6.5(2) The request for formal complaint proceedings shall be filed within 14 days after issuance of the proposed resolution or the specified date of utility action, whichever is later. The request shall be considered as filed on the date of the United States Postal Service postmark, the date personal service is made, or the date received in the board’s records center. The request shall be in writing and must be delivered by United States Postal Service, other delivery service, or personal service. The request shall include the file number (C–XX–XXX) marked on the proposed resolution. It shall explain why the proposed resolution should be modified or rejected and propose an alternate resolution, including any temporary relief desired. Copies of the request shall be mailed to the consumer advocate and the parties.
6.5(3) Upon receipt of a request for formal complaint proceedings, the board shall consider whether formal complaint proceedings should be initiated and issue an order. If the board denies formal complaint proceedings, a party may file a petition for judicial review either in the Polk County district court or in the district court for the county in which the party resides or has its principal place of business pursuant to Iowa Code section 17A.19. If formal complaint proceedings are initiated, an order will be issued docketing the case as a formal complaint and granting or denying, in whole or in part, any temporary relief requested.
199—6.6(476) Applicable procedures. When the complaint is docketed as a formal proceeding, the procedures set forth in Chapter 7 of these rules will apply.
199—6.7(476) Record. The written complaint and all supplemental information shall be made part of the record in the formal complaint proceeding.
199—6.8(476) Special procedures for complaints alleging unauthorized changes in telecommunications services. Notwithstanding the deregulation of a communications service or facility pursuant to Iowa Code section 476.1D, complaints alleging an unauthorized change in telecommunications service (see rule 199—22.23(476)) will be processed pursuant to the rules set forth in this chapter with the following additional or substituted procedures:
6.8(1) Upon receipt of the complaint and with the customer’s acknowledgment, a copy of the complaint or a notification of receipt of a telephone, or other oral, complaint will be forwarded to the executing service provider and the preferred service provider as a request for a change in the customer’s service to the customer’s preferred service provider, unless the service has already been changed to the preferred service provider.
6.8(2) The complaint or notification of receipt of a telephone, or other oral, complaint will also be forwarded to the alleged unauthorized service provider. That entity shall file a response to the complaint within ten days of the date the complaint or notification of receipt of a telephone, or other oral, complaint was forwarded. The response must include proof of verification of the customer’s authorization for a change in service or a statement that the unauthorized service provider does not have such proof of verification.
6.8(3) If the alleged unauthorized service provider includes with its response alleged proof of verification of the customer’s authorization for a change in service, then the response will be forwarded to the customer. The customer will have ten days to challenge the verification or otherwise reply to the service provider’s response.
6.8(4) As a part of the informal complaint proceedings, board staff may issue a proposed resolution to determine the potential liability, including assessment of damages, for unauthorized changes in service among the customer, the previous service provider, the executing service provider, and the submitting service provider, and any other interested person. In the event of a soft slam (as defined in 199 IAC 22.23(1)“j”), board staff may also propose joint and several liability between the reseller and the facilities–based service provider. In all cases, the proposed resolution shall allocate responsibility among the interested persons on the basis of their relative responsibility for the events that are the subject matter of the complaint. For purposes of this rule and in the absence of unusual circumstances, the term “damages” means charges directly relating to the telecommunications services provided to the customer that have appeared or may appear on the customer’s bill. The term “damages” does not include incidental, consequential, or punitive damages.
6.8(5) If the complainant, the service provider, consumer advocate, or any other interested person directly affected by the proposed decision is dissatisfied with the proposed resolution, a request for formal complaint proceedings may be filed. A request for formal complaint proceedings will be processed by the board pursuant to 199 IAC 6.5(476) et seq.
If no request for formal complaint proceedings is received by the board within 14 days after issuance of the proposed resolution, the proposed resolution will be deemed binding upon all persons notified of the informal proceedings and affected by the proposed resolution. Notwithstanding the binding nature of any proposed resolution as to the affected persons, the board may at any time and on its own motion initiate formal proceedings which may alter the allocation of liability.
6.8(6) No entity shall commence any actions to re–bill, directly bill, or otherwise collect any disputed charges for a change in service until after board action on the complaint is final. If final board action finds that the change in service was unauthorized and determines the customer should pay some amount less than the billed amount, the service provider is prohibited from re–billing or taking any other steps whatsoever to collect the difference between the allowed charges and the original charges.
These rules are intended to implement Iowa Code sections 476.2, 476.3 and 546.7 and Iowa Code Supplement section 476.103.
[Filed prior to 7/4/51]
[Filed without Notice 10/8/75—published 10/20/75]
[Filed 2/11/76, Notice 7/14/76—published 2/23/76, effective 3/29/76]
[Filed emergency 6/3/83—published 6/22/83, effective 7/1/83]
[Filed 11/4/83, Notice 8/31/83—published 11/23/83, effective 1/1/84]
[Filed 5/18/84, Notice 2/15/84—published 6/6/84, effective 7/11/84]*
[Filed emergency 9/18/86—published 10/8/86, effective 9/18/86]
[Filed 5/29/87, Notice 3/11/87—published 6/17/87, effective 9/16/87]
[Filed 10/16/87, Notice 8/26/87—published 11/4/87, effective 12/9/87]
[Filed 9/14/90, Notice 11/29/89—published 10/3/90, effective 11/7/90]
[Published 6/17/98 to update name and address of board]
[Filed emergency 7/23/99—published 8/11/99, effective 8/2/99]
[Filed 4/28/00, Notice 8/11/99—published 5/17/00, effective 6/21/00]
[Filed 11/19/03, Notice
4/2/03—published 12/10/03, effective 1/14/04]
chapter 7
PRACTICE AND PROCEDURE
[Previously ch 15, renumbered 10/20/75 Supp.]
[Prior to 10/8/86, Commerce Commission[250]]
199—7.1(17A,474,476) Scope and applicability.
7.1(1) This chapter applies to contested case proceedings, investigations, and other hearings conducted by the board or a presiding officer, unless such proceedings, investigations, and hearings are excepted below, otherwise ordered in any proceeding if reasonably necessary to fulfill the objectives of the proceeding, or are subject to special rules or procedures that may be adopted in specific circumstances. If there are no other applicable procedural rules, this chapter applies to other types of agency action, unless the board or presiding officer orders otherwise.
7.1(2) Additional rules applicable only to rate cases, tariff filings, and rate regulation election by rural electric cooperatives are contained in 199—Chapter 26.
7.1(3) With the exception of rules 7.22(17A,476) (ex parte communications), 7.26(17A,476) (appeals from a proposed decision of a presiding officer), and 7.27(17A,476) (rehearing and reconsideration), none of these procedures shall apply to electric transmission line hearings under Iowa Code chapter 478 and 199—Chapter 11 or to pipeline or underground gas storage hearings under Iowa Code chapter 479 or 479B and 199—Chapters 10 and 13. Procedural rules applicable to these proceedings are found in the respective chapters.
7.1(4) Notice of inquiry dockets. The board may issue a notice of inquiry and establish a docket through which the inquiry can be processed. The procedural rules in this chapter shall not apply to these dockets. Instead, the procedures for a notice of inquiry docket shall be specified in the initiating order and shall be subject to change by subsequent order or ruling by the board or the assigned inquiry docket manager. The procedures may include some or all of these procedural rules.
7.1(5) Reorganizations. Procedural rules applicable to reorganizations are included in 199—32.9(476). In the event the requirements in 199—32.9(476) conflict with the requirements in this chapter, the 199—32.9(476) requirements are controlling.
7.1(6) Discontinuance of service incident to utility property transfer.
a. Scope. This rule applies to discontinuance of utility service pursuant to Iowa Code section 476.20(1), which includes the termination or transfer of the right and duty to provide utility service to a community or part of a community incident to the transfer, by sale or otherwise, except a stock transfer incident to corporate reorganization. This rule does not limit rights or obligations created by other applicable statutes or rules including, but not limited to, the rights and obligations created by Iowa Code sections 476.22 to 476.26. Additional rules applicable to discontinuance of service by local exchange utilities and interexchange utilities are contained at rule 199—22.16(476). Discontinuance of service to individual customers is addressed in rules 199—19.4(476), 20.4(476), 21.4(476), and 22.4(476). Procedures in the event of a sale or transfer of a customer base by a telecommunications carrier are contained in 199—paragraph 22.23(2)“e.”
b. Application. A public utility shall obtain board approval prior to discontinuance of utility service. The public utility shall file an application for permission to discontinue service that includes a summary of the relevant facts and the grounds upon which the application should be granted. When the discontinuance of service is incident to the transfer of utility property, the transferor utility and the transferee shall file a joint application.
c. Approval. Within 30 days after an application is filed, the board shall approve the application or docket the application for further investigation. Failure to act on the application within 30 days will be deemed approval of the application.
d. Contested cases. Contested cases under paragraph “c” shall be completed within four months after date of docketing.
e. Criteria. The application will be granted if the board finds the utility service is no longer necessary, or if the board finds the transferee is ready, willing, and able to provide comparable utility service.
7.1(7) The purpose of these rules is to facilitate the transaction of business before the board and to promote the just resolution of controversies. Consistent with this purpose, the application of any of these rules, unless otherwise required by law, may be waived by the board or presiding officer pursuant to 199—1.3(17A,474,476).
*7.1(8) Authority to issue procedural orders in contested case proceedings, investigations, hearings, and all other dockets and matters before the board when a majority of the board is not available due to emergency, or for the efficient and reasonable conduct of proceedings, is granted to a single board member. If no member of the board is available to issue a procedural order due to emergency, or for the efficient and reasonable conduct of proceedings, the procedural order may be issued by an administrative law judge employed by the board. If an administrative law judge is not available to issue a procedural order due to an emergency, or for the efficient and reasonable conduct of proceedings, a procedural order may be issued by the executive secretary or general counsel of the board.
Procedural orders under this subrule shall be issued only upon the showing of good cause and when the prejudice to a nonmoving party is not great. The procedural order under this subrule shall state that it is issued pursuant to the delegation authority established in 199 IAC 7.1(8) and that the procedural order so issued is subject to review by the board upon its own motion or upon motion by any party or other interested person.
199—7.2(17A,476) Definitions. Except where otherwise specifically defined by law:
“Board” means the Iowa utilities board or a majority thereof.
“Complainants” are persons who complain to the board of any act or thing done or omitted to be done in violation, or claimed to be in violation, of any provision of Iowa Code chapters 476 through 479B, or of any order or rule of the board.
“Consumer advocate” means the consumer advocate referred to in Iowa Code chapter 475A.
“Contested case” means a proceeding defined by Iowa Code section 17A.2(5) and includes any matter defined as a “no factual dispute” contested case under Iowa Code section 17A.10A.
“Data request” means a discovery procedure in which the requesting party asks another person for specified information or requests the production of documents.
“Expedited proceeding” means a proceeding before the board in which a statutory or other provision of law requires the board to render a decision in the proceeding in six months or less.
“Filed” means received at the office of the board in a manner and form in compliance with the board’s filing requirements.
“Intervenor” means any person who, upon written petition, is permitted to intervene in a specific proceeding before the board.
“Issuance” means the date written on the order unless another date is specified in the order.
“Parties” include, but are not limited to, complainants, petitioners, applicants, respondents, and intervenors.
“Party” means each person named or admitted as a party.
“Person” means as defined in Iowa Code section 4.1(20) and includes individuals and all forms of legal entities.
“Petitioner” or “applicant” means any party who, by written petition, application, or other filing, applies for or seeks relief from the board.
“Presiding officer” means one board member, the administrative law judge, or another person so designated by the board for the purposes of a particular proceeding.
“Proposed decision” means the presiding officer’s recommended findings of fact, conclusions of law, decision, and order in a contested case that has been assigned by the board to the presiding officer.
“Respondent” means any person against whom a complaint or petition is filed, or who by reason of interest or possible interest in the subject matter of a petition or application or the relief sought therein is made a respondent, or to whom an order is directed by the board initiating a proceeding.
“Service” means service by first–class mail pursuant to subrule 7.4(6), unless otherwise specified.
199—7.3(17A,476) Presiding officers. Presiding officers may be designated by the board to preside over contested cases and conduct hearings and shall have the following authority, unless otherwise ordered by the board:
1. To regulate the course of hearings;
2. To administer oaths and affirmations;
3. To rule upon the admissibility of evidence and offers of proof;
4. To take or cause depositions to be taken;
5. To dispose of procedural matters, discovery disputes, motions to dismiss, and other motions which may involve final determination of proceedings, subject to review by the board on its own motion or upon application by any party;
6. To certify any question to the board, in the discretion of the presiding officer or upon direction of the board;
7. To permit and schedule the filing of written briefs;
8. To hold appropriate conferences before, during, or after hearings;
9. To render a proposed decision and order in a contested case proceeding, investigation, or other hearing, subject to review by the board on its own motion or upon application by any party; and
10. To take any other action necessary or appropriate to the discharge of duties vested in the presiding officer, consistent with law and with the rules and orders of the board.
199—7.4(17A,474,476) General information.
7.4(1) Orders. All orders will be issued and placed in the board’s records and information center. Orders shall be deemed effective upon issuance unless otherwise provided in the order. Parties and members of the public may view orders in the board’s records and information center and may also view orders (other than orders granting confidential treatment) and a daily summary of filings on the board’s Web site located at www.state.ia.us/iub.
7.4(2) Communications.
a. All communications to the board or presiding officer shall be addressed to the Executive Secretary, Iowa Utilities Board, 350 Maple Street, Des Moines, Iowa 50319–0069, unless otherwise specifically directed by the board or presiding officer. Pleadings and other papers required to be filed with the board shall be filed within the time limit, if any, for such filing. Unless otherwise specifically provided, all communications and documents are officially filed upon receipt by the executive secretary in a form that complies with the board’s filing requirements. Documents filed with the board shall comply with the requirements in 199—subrule 2.1(3). Persons filing a document with the board must comply with the service requirements in subrule 7.4(6) at the time the document is filed with the board.
b. The board may accept filings electronically from time to time pursuant to instructions that will be delineated in the board order or other official statement authorizing those filings. See rule 7.7(17A,476) for requirements for electronic information filed with the board.
7.4(3) Reference to docket number. All filings made in any proceeding after the proceeding has been docketed by the board shall include on the first page a reference to the applicable docket number(s).
7.4(4) Number of copies.
a. An original and ten copies are required for most initial filings in a docket made with the board. There are some exceptions, which are listed below. The board or presiding officer may request additional copies.
A = Annual Report (rate–regulated 2 copies, non–rate–regulated 1 copy)
C = Complaints filed pursuant to 199—6.2(476) (original)
CCF = Customer Contribution Fund (original + 1 copy)
E = Electric Franchise or Certificate (original + 3 copies)
EAC = Energy Adjustment Clause (original + 3 copies)
EDR = Electric Delivery Reliability (original + 3 copies)
ES = Extended Area Services (original + 2 copies)
GCU = Generating Certificate Utility (original + 20 copies)
H = Accident (original + 1 copy)
HLP = Hazardous Liquid Pipeline (original + 2 copies)
NIA = Negotiated Interconnection Agreement (original + 3 copies)
P = Pipeline Permit (original + 2 copies)
PGA = Purchased Gas Adjustment (original + 3 copies)
R = Reports–Outages (original + 1 copy)
RFU = Refund Filing Utility (original + 4 copies)
RN = Rate Notification (original + 3 copies)
TF = Tariff Filing (original + 4 copies)
b. Unless otherwise ordered or specified in this rule, parties must file an original and ten copies of all filings including, but not limited to, pleadings and answers (rule 7.9(17A, 476)), prefiled testimony and exhibits (rule 7.10(17A,476)), motions (rule 7.12(17A,476)), petitions to intervene and responses (rule 7.13(17A,476)), proposals for settlement and responses (rule 7.18(17A,476)), stipulations (rule 7.19(17A, 476)), withdrawals (rule 7.21(17A,476)), briefs (subrule 7.23(8)), motions to vacate (subrule 7.23(11)), motions to reopen (rule 7.24(17A,476)), interlocutory appeals (rule 7.25(17A,476)), appeals from proposed decisions of the presiding officers and responses (rule 7.26(17A,476)), applications for rehearing and responses (rule 7.27(17A,476)), and requests for stay and responses (rule 7.28(17A,476)).
c. When separate dockets are consolidated into a single case, parties shall file one extra copy for each consolidated docket, in addition to the original and the normally required number of copies. For example, if three separate dockets are consolidated into a single case, parties must file an original plus two copies plus the normally required number of copies of each document.
d. Rule 7.23(17A,476) contains requirements regarding the required number of copies for evidence introduced at hearing and for briefs. Subrule 7.10(5) contains requirements regarding the required number of copies for workpapers and supporting documents.
e. 199—Chapter 26 contains additional requirements regarding the number of copies required to be filed in rate and tariff proceedings.
7.4(5) Defective filings. Only applications, pleadings, documents, testimony, and other submissions that conform to the requirements of an applicable rule, statute, or order of the board or presiding officer will be accepted for filing. Applications, pleadings, documents, testimony, and other submissions that fail to substantially conform with applicable requirements will be considered defective and may be rejected unless waiver of the relevant requirement has been granted by the board or presiding officer prior to filing. The board or presiding officer may reject a filing even though board employees have file–stamped or otherwise acknowledged receipt of the filing. If a filing is defective due only to the number of copies filed, the board’s records and information center staff may correct the shortage of copies with the permission of the filing party and the filing party’s agreement to cover all costs of reproduction.
7.4(6) Service of documents.
a. Method of service. Unless otherwise specified by the board or presiding officer or otherwise agreed to by the parties, documents that are required to be served in a proceeding may be served by first–class mail or overnight delivery, properly addressed with postage prepaid, or by delivery in person. In expedited proceedings, if service is made by first–class mail instead of by overnight delivery or personal service, the sending party must supplement service by sending a copy by electronic mail or facsimile if an electronic mail address or facsimile number has been provided by the receiving party. When a document is served, the party effecting service shall file with the board proof of service in substantially the form prescribed in 199—subrule 2.2(16) or an admission of service by the party served or the party’s attorney. The proof of service shall be attached to a copy of the document served. When service is made by the board, the board will attach a service list with a certificate of service signed by the person serving the document to each copy of the document served.
b. Date of service. Unless otherwise ordered by the board or presiding officer, the date of service shall be the day when the document served is deposited in the United States mail or overnight delivery, is delivered in person, or otherwise as the parties may agree. Although service is effective, the document is not deemed filed with the board until it is received by the board pursuant to subrule 7.4(2).
c. Parties entitled to service. A party or other person filing a notice, motion, pleading, or other document in any proceeding shall contemporaneously serve the document on all other parties. Parties shall serve documents containing confidential information pursuant to a confidentiality agreement executed by the parties, if any. If the parties are unable to agree on a confidentiality agreement, they may ask the board or presiding officer to issue an appropriate order. A party formally filing any document or any other material with the board shall serve three copies of the document or material on the consumer advocate at the same time as the filing is made with the board and by the same delivery method used for filing with the board. “Formal filings” include, but are not limited to, all documents that are filed in a docketed proceeding, or that request initiation of a docketed proceeding. The address of the consumer advocate is Office of Consumer Advocate, 310 Maple Street, Des Moines, Iowa 50319–0063.
d. Service upon attorneys. When a party has appeared by attorney, service upon the attorney shall be deemed proper service upon the party.
7.4(7) Written appearance. Each party to a proceeding shall file a separate written appearance, substantially conforming to the form set forth in 199—subrule 2.2(15), identifying one person upon whom the board may serve all orders, correspondence, or other documents. If a party has previously designated a person to be served on the party’s behalf in all matters, filing the appearance will not change this designation, unless the party directs that the designated person be changed in the appearance. If a party files an application, petition, or other initial pleading, or an answer or other responsive pleading, containing the information that would otherwise be required in an appearance, the filing of a separate appearance is not required. The appearance may be filed with the party’s initial filing in the proceeding or may be filed after the proceeding has been docketed.
7.4(8) Representation by attorney at law.
a. Any party to a proceeding before the board or a presiding officer may appear and be heard through a licensed attorney at law. If the attorney is not licensed by the state of Iowa, permission to appear must be granted by the board or presiding officer. A verified statement that contains the attorney’s agreement to submit to and comply with the Iowa Code of Professional Responsibility for Lawyers must be filed with the board and the written appearance of a resident attorney must be provided for service pursuant to Iowa Admission to the Bar rule 31.14(2).
b. A corporation or association may appear and present evidence by an officer or employee. However, only licensed attorneys shall represent a party before the board or a presiding officer in any matter involving the exercise of legal skill or knowledge, except with the consent of the board or presiding officer. All persons appearing in proceedings before the board or a presiding officer shall conform to the standard of ethical conduct required of attorneys before the courts of Iowa.
7.4(9) Cross reference to public documents and confidential filings. The board’s rule regarding public documents and confidential filings is at 199—1.9(22).
7.4(10) Expedited proceedings.
a. If a person claims that a statutory or other provision of law requires the board to render a decision in a contested case in six months or less, the person shall include the phrase “Expedited Proceedings Required” in the caption of the first pleading filed by the person in the proceeding. If the phrase is not so included in the caption, the board or presiding officer may find and order that the proceeding did not commence for purposes of the required time for decision until the date on which the first pleading containing the required phrase is filed or such other date that the board or presiding officer finds is just and reasonable under the circumstances.
b. If a person claims that a statutory or other provision of law requires the board to render a decision in a contested case in six months or less, the person shall state the basis for the claim in the first pleading in which the claim is made.
c. Shortened time limits applicable to expedited proceedings are contained in rules 7.9(17A,476) (pleadings and answers), 7.12(17A,476) (motions), 7.13(17A,476) (intervention), 7.15(17A,476) (discovery), and 7.26(17A,476) (appeals from proposed decisions). An additional service requirement applicable to expedited proceedings is contained in subrule 7.4(6) (service of documents).
d. A party may file a motion that proceedings be expedited even though such treatment is not required by statute or other provision of law. Such voluntary expedited treatment may be granted at the board’s or presiding officer’s discretion in appropriate circumstances considering the needs of the parties and the interests of justice. In these voluntary expedited proceedings, the board or presiding officer may shorten the filing dates or other procedures established in this chapter. The shortened time limits and additional service requirement applicable to expedited proceedings established in this chapter and listed in paragraph 7.4(10)“c” do not apply to voluntary expedited proceedings under this paragraph unless ordered by the board or presiding officer.
199—7.5(17A,476) Time requirements.
7.5(1) Time shall be computed as provided in Iowa Code subsection 4.1(34).
7.5(2) In response to a request or on its own motion, for good cause, the board or presiding officer may extend or shorten the time to take any action, except as precluded by statute.
199—7.6(17A,476) Telephone proceedings. The board or presiding officer may hold proceedings by telephone conference call in which all parties have an opportunity to participate. The board or presiding officer will determine the location of the parties and witnesses for telephone hearings. The convenience of the witnesses or parties, as well as the nature of the case, will be considered when locations are determined.
199—7.7(17A,476) Electronic files. This rule applies to all electronic information (electronic files) filed with the board. The board or presiding officer, on the board’s or presiding officer’s own motion or at the request of a party, may provide for additional or different requirements in specific cases, if necessary.
7.7(1) Electronic files shall be accompanied by a hard–copy printout and a hard–copy index that identifies each electronic file and includes, for each file, a brief description of the sources of inputs, operations performed, and where outputs are next used.
7.7(2) Electronic files that are compressed shall be accompanied by software and clear documentation to reverse the process of compression. If the software may be downloaded and used by the board without incurring a fee, the person filing the compressed electronic files may provide a reference to the Web source of the software.
7.7(3) Spreadsheets, workbooks, and databases shall include all cell formulae and cell references to allow board staff to analyze and reproduce calculations.
7.7(4) All electronic files shall be provided in editable form. Any files submitted in portable document format (PDF) shall be accompanied by the original files from which the PDF files were created, in native format and including calculations and formulae.
7.7(5) Electronic information shall be filed in accordance with the board’s standards for electronic information unless prior arrangements are made. Standards are available from the board’s Records and Information Center, 350 Maple Street, Des Moines, Iowa 50319–0069, and may be reviewed on the board’s Web site (www.state.ia.us/iub). If a person proposes to submit electronic information that does not comply with the standards, the person shall contact the executive secretary or general counsel of the board prior to submission. The board or presiding officer may order different requirements and standards for good cause.
199—7.8(17A,476) Delivery of notice of hearing. When the board or presiding officer issues an order containing a notice of hearing, delivery of the order will be by first–class mail unless otherwise ordered.
199—7.9(17A,476) Pleadings and answers.
7.9(1) Pleadings. Pleadings may be required by statute, rule, or order.
7.9(2) Answers.
a. Unless otherwise ordered by the board or presiding officer, answers to complaints, petitions, applications, or other pleadings shall be filed with the board within 20 days after the day on which the pleading being answered was served upon the respondent or other party. However, when a statute or other provision of law requires the board to issue a decision in the case in six months or less, the answer shall be filed with the board within 10 days of service of the pleading being answered, unless otherwise ordered by the board or presiding officer.
b. Each answer must specifically admit, deny, or otherwise answer all material allegations of the pleadings and also briefly set forth the affirmative grounds relied upon to support each answer.
c. Any party who deems the complaint, petition, application, or other pleading insufficient to show a breach of legal duty or grounds for relief may move to dismiss instead of, or in addition to, answering.
d. A party may apply for a more definitive and detailed statement instead of, or in addition to, answering, if appropriate.
e. An answer shall substantially comply with the form prescribed in 199—subrule 2.2(8).
7.9(3) Amendments to pleadings. Amendments to pleadings may be allowed upon proper motion at any time during the pendency of the proceeding upon such terms as are just and reasonable.
199—7.10(17A,476) Prefiled testimony and exhibits.
7.10(1) The board or presiding officer may order the parties to file prefiled testimony and exhibits prior to the hearing. The use of prefiled testimony is the standard method for providing testimony in board contested case proceedings. If ordered to do so, parties must file the prefiled testimony and exhibits according to the schedule in the procedural order.
7.10(2) Prefiled testimony contains all statements that a witness intends to give under oath at the hearing, set forth in question and answer form. If possible, each line should be separately numbered. When a witness who has submitted prefiled testimony takes the stand, the witness does not ordinarily repeat the written testimony or give new testimony. Instead, the witness is cross–examined by the other parties concerning the statements already made in writing. However, the witness may be permitted to correct or update prefiled testimony on the stand and, in appropriate circumstances and with the approval of the board or presiding officer, may give a summary of the prefiled testimony. If the witness has more than three corrections to make, then the corrections should be filed in written form prior to the hearing.
7.10(3) Parties who wish to present a witness or other evidence in a proceeding shall comply with the board’s or presiding officer’s order concerning prefiled testimony and documentary evidence, unless otherwise ordered, or unless otherwise provided by statute or other provision of law.
7.10(4) Prefiled testimony and exhibits must be accompanied by an affidavit in substantially the following form: “I, [person’s name], being first duly sworn on oath, state that I am the same [person’s name] identified in the testimony being filed with this affidavit, that I have caused the testimony [and exhibits] to be prepared and am familiar with its contents, and that the testimony [and exhibits] is true and correct to the best of my knowledge and belief as of the date of this affidavit.”
7.10(5) Prefiled testimony and exhibits shall include, where applicable:
a. All supporting workpapers.
(1) Unless otherwise ordered by the board or presiding officer, electronic workpapers in native electronic formats that comply with the standards in rule 7.7(17A,476) shall be provided. Noncompliant electronic workpapers shall be provided as a hard copy with a brief description of software and hardware requirements. Noncompliant electronic copies shall be provided upon request by any party, the board, or the presiding officer.
(2) All other workpapers and hard–copy printouts of electronic files shall be clearly tabbed and indexed, and pages shall be numbered. Each section shall include a brief description of the sources of inputs, operations contained therein, and where outputs are next used.
(3) Workpapers’ underlying analyses and data presented in exhibits shall be explicitly referenced within the exhibit, including the name and other identifiers (e.g., cell coordinates) for electronic workpapers, and volume, tab, and page numbers for other workpapers.
(4) The source of any number used in a workpaper that was not generated by that workpaper shall be identified.
b. The derivation or source of all numbers used in either testimony or exhibits that were not generated by workpapers.
c. Copies of any specific studies or financial literature relied upon or complete citations for them if publicly available.
d. Electronic copies, in native electronic format, of all computer–generated exhibits that comply with the standards in rule 7.7(17A,476). Noncompliant electronic computer–generated exhibits shall be provided as a hard copy with a brief description of software and hardware requirements. Noncompliant electronic copies shall be provided upon request by any party, the board, or the presiding officer.
e. Unless otherwise ordered by the board or presiding officer, the following number of copies shall be filed:
(1) Electronic workpapers – two copies and two hard–copy printouts.
(2) Other workpapers – five copies.
(3) Specific studies or financial literature – two copies.
(4) Computer–generated exhibits – two copies.
7.10(6) If a party has filed part or all of prefiled testimony and exhibits as confidential pursuant to 199—1.9(22), and then later withdraws the claim of confidentiality for part or all of the testimony and exhibits, or if the board denies the request to hold the testimony and exhibits confidential, the party must refile the testimony and exhibits without the confidential stamp on each page.
199—7.11(17A,476) Documentary evidence in books and materials. When documentary evidence being offered is contained in a book, report, or other document, the offering party should ordinarily file only the material, relevant portions in an exhibit or read them into the record. If a party offers the entire book, report, or other document containing the evidence being offered, the party shall plainly designate the evidence so offered.
199—7.12(17A,476) Motions. Motions, unless made during hearing, shall be in writing, state the grounds for relief, and state the relief or order sought. Motions based on matters that do not appear of record shall be supported by affidavit. Motions shall substantially comply with the form prescribed in 199—subrule 2.2(14). Motions shall be filed and served pursuant to rule 7.4(17A,476). Any party may file a written response to a motion no later than 14 days from the date the motion is filed, unless the time period is extended or shortened by the board or presiding officer. When a statutory or other provision of law requires the board to issue a decision in the case in six months or less, written responses to a motion must be filed within 7 days of the date the motion is filed, unless otherwise ordered by the board or presiding officer. Failure to file a timely response may be deemed a waiver of objection to the motion. Requirements regarding motions related to discovery are contained at 199—subrules 7.15(4) and 7.15(5).
199—7.13(17A,476) Intervention.
7.13(1) Petition. Unless otherwise ordered by the board or presiding officer, a request to intervene in a proceeding shall be by petition to intervene filed no later than 20 days following the order setting a procedural schedule. However, when a statutory or other provision of law requires the board to issue a decision in the case in six months or less, the petition to intervene must be filed no later than 10 days following the order setting a procedural schedule, unless otherwise ordered by the board or presiding officer. A petition to intervene shall substantially comply with the form prescribed in 199—subrule 2.2(10).
7.13(2) Response. Any party may file a response within seven days of service of the petition to intervene unless the time period is extended or shortened by the board or presiding officer.
7.13(3) Grounds for intervention. Any person having an interest in the subject matter of a proceeding may be permitted to intervene at the discretion of the board or presiding officer. In determining whether to grant intervention, the board or presiding officer shall consider:
a. The prospective intervenor’s interest in the subject matter of the proceeding;
b. The effect of a decision that may be rendered upon the prospective intervenor’s interest;
c. The extent to which the prospective intervenor’s interest will be represented by other parties;
d. The availability of other means by which the prospective intervenor’s interest may be protected;
e. The extent to which the prospective intervenor’s participation may reasonably be expected to assist in the development of a sound record through presentation of relevant evidence and argument; and
f. Any other relevant factors.
7.13(4) In determining the extent to which the prospective intervenor’s interest will be represented by other parties, the consumer advocate’s role of representing the public interest shall not be interpreted as representing every potential interest in a proceeding.
7.13(5) The board or presiding officer may limit a person’s intervention to particular issues or to a particular stage of the proceeding, or may otherwise condition the intervenor’s participation in the proceeding. Leave to intervene shall generally be granted by the board or presiding officer to any person with a cognizable interest in the proceeding.
7.13(6) When two or more intervenors have substantially the same interest, the board or presiding officer, in the board’s or presiding officer’s discretion, may order consolidation of petitions and briefs and limit the number of attorneys allowed to participate actively in the proceedings to avoid a duplication of effort.
7.13(7) A person granted leave to intervene is a party to the proceeding. However, unless the board or presiding officer rules otherwise for good cause shown, an intervenor shall be bound by any agreement, arrangement, or order previously made or issued in the case.
199—7.14(17A,476) Consolidation and severance.
7.14(1) Consolidation. The board or presiding officer may consolidate any or all matters at issue in two or more contested cases. When deciding whether to consolidate, the board or presiding officer shall consider:
a. Whether the matters at issue involve common parties or common questions of fact or law;
b. Whether consolidation is likely to expedite or simplify consideration of the issues involved;
c.