Loading...
HomeMy Public PortalAboutExhibit RC 60 - Resolution Adopting Procedural Schedule and Public Notice1 PROCEDURAL SCHEDULE OF THE RATE COMMISSION OF THE METROPOLITAN ST. LOUIS SEWER DISTRICT FOR CONSIDERATION OF A WASTEWATER RATE CHANGE NOTICE Pursuant to § 7.280(e) of the Charter Plan (“Plan”) of the Metropolitan St. Louis Sewer District (“District”) approved by the voters of St. Louis and St. Louis County at a special election on February 9, 1954, as amended at a general election on November 7, 2000; § 3(5) of the Operational Rules, Regulations, and Procedures (the “Operational Rules”) adopted as Restated by the Rate Commission of the District on March 4, 2019, and a Resolution of the Rate Commission adopted on March 8, 2019, the following Procedural Schedule shall apply during the consideration of the Wastewater Rate Change Notice. Section 1. Direct Testimony. (a) Pursuant to § 3(4) of the Operational Rules, the Rate Commission requests that the District deliver by March 7, 2019, to each member of the Rate Commission, Black & Veatch (the “Consultant”), and Lashly & Baer, P.C. (“Legal Counsel”) the direct testimony and all reports, memoranda, contracts for services and any other information or data that may be required to fully demonstrate and explain: (i) why the Proposed Rate Change set forth in the Rate Change Notice is necessary, fair and reasonable; (ii) how the Proposed Rate Change will enhance the District’s ability to provide adequate sewer and drainage systems and facilities, or related services; (iii) whether and to what extent the Proposed Rate Change is necessary to enable the District to comply with any covenant or provision relating to any outstanding bonds or indebtedness of the District, together with a specific quantification of the amount of the Proposed Rate Change that is necessary for such purposes; (iv) whether and to what extent the Proposed Rate Change is necessary to enable the District to comply with applicable Federal or State laws or regulations as amended from time to time, together with a specific quantification of the amount of the Proposed Rate Change that is necessary for such purposes; (v) why the burden imposed on each class of ratepayers by the Proposed Rate Change is fair and reasonable, including whether and how cost of service considerations, cost causation principles, customer impact data, economic development considerations, environmental effects and other factors have or have not been factored into such determination; 2 (vi) the measures taken by the District to ensure that the cost of constructing and maintaining the District’s facilities and providing related services are being incurred in a reasonable and efficient manner, including copies of all internal or external audit reports that address such matters; (vii) how, whether and to what extent the Proposed Rate Change will affect, impact and comply with the Consent Decree effective April 27, 2012, by and between the United States of America, the State of Missouri, the Missouri Coalition for the Environment Foundation and the District; and (viii) the name, address and telephone number and email of each person submitting and sponsoring such direct testimony. (b) If the documents are voluminous in nature, such documents may be referenced and described in the District’s direct testimony, provided that copies of such documents shall be made available to any Rate Commission member upon request. Section 2. Applications to Intervene. (a) Pursuant to § 3(6) of the Operational Rules, any person who would be affected by the Proposed Rate Change may, on or before March 25, 2019, submit an application to intervene in the proceedings established by the Rate Commission to consider the Proposed Rate Change. Such application to intervene shall be filed at the principal office of the Rate Commission with copies to the District, the Consultant, and Legal Counsel, and shall: (i) provide the name, address, telephone number and email address of the person seeking to intervene and any other person on whose behalf such intervention is sought; (ii) describe the person’s interest in the Proposed Rate Change; (iii) specify whether or not the person intends to submit prepared written testimony; and (iv) indicate whether or not the person is in agreement to respond to discovery submitted in connection with such person’s testimony. (b) An Application to Intervene will be deemed granted unless rejected by the Commission. (c) Neither the District nor any person or persons engaged by the Commission to review the Proposed Rate Change shall be required to seek intervention in order to participate in the proceedings established to review the Proposed Rate Change. (d) The Commission has established a sample form to be used for Applications to Intervene for this Wastewater Rate Change Proceeding which meets these requirements and is 3 attached to this Procedural Schedule as Attachment 1. Applications to Intervene meeting the above requirements will be accepted even if not submitted on the sample form. Section 3. District Testimony Technical Conference. Pursuant to § 3(7) of the Operational Rules, a Technical Conference shall be held on the record at the Metropolitan St. Louis Sewer District, 2350 Market Street, St. Louis, Missouri 63103 on April 8, 2019, at 9:00 a.m., and continue on successive business days until the Rate Setting Document Technical Conference is completed, regarding the District Testimony at which Management of the District shall answer questions propounded by the Consultant, Legal Counsel and any person permitted to intervene. Section 4. Submission of Rebuttal Testimony. (a) Pursuant to § 3(8) of the Operational Rules, any interested person who is permitted to intervene, Legal Counsel, and the Consultant may on or before April 23, 2019, submit prepared rebuttal testimony and schedules. Such testimony shall be filed at the principal office of the Rate Commission with copies to the District, the Consultant, Legal Counsel, and any other person permitted to intervene. (b) Such testimony shall include all information, analysis and other supporting data explaining why the party rejects or disagrees with any element of the Proposed Rate Change and supporting and explaining any alternative to the Proposed Rate Change that the party wishes the Rate Commission to consider. Section 5. Rebuttal Testimony Technical Conference. Pursuant to § 3(7) of the Operational Rules, a Technical Conference shall be held on the record at the Metropolitan St. Louis Sewer District, 2350 Market Street, St. Louis, Missouri 63103 on May 9, 2019, at 9:00 a.m., and continue on successive business days until the Rebuttal Testimony Technical Conference is completed, regarding the Rebuttal Testimony at which each person submitting rebuttal testimony shall answer questions propounded by the District, the Consultant, Legal Counsel, and any person permitted to intervene. Section 6. Submission of Surrebuttal Testimony. (a) Pursuant to § 3(9) of the Operational Rules, any person who is permitted to intervene, the District, Legal Counsel, and Consultant, may on or before June 3, 2019, submit prepared surrebuttal testimony and schedules. Such testimony shall be filed at the principal office of the Rate Commission with copies to the District, the Consultant, Legal Counsel, and any other person permitted to intervene. (b) Such surrebuttal testimony shall include all information, analysis and other supporting data explaining why the party rejects or disagrees with the Rebuttal Testimony submitted by another person. Section 7. Surrebuttal Testimony Technical Conference. Pursuant to § 3(7) of the Operational Rules, a Technical Conference shall be held on the record at the Metropolitan St. 4 Louis Sewer District, 2350 Market Street, St. Louis, Missouri 63103, on June 20, 2019, at 9:00 a.m., and continue on successive business days until the Surrebuttal Testimony Technical Conference is completed, regarding the Surrebuttal Testimony at which each person submitting surrebuttal testimony shall answer questions propounded by the District, the Consultant, Legal Counsel, and any person permitted to intervene. Section 8. Prehearing Conference. (a) Pursuant to § 3(11) of the Operational Rules, a prehearing conference for the purpose of identifying any issues raised by the prepared testimony previously submitted in connection with the Proposed Rate Change shall be conducted on the record at the Metropolitan St. Louis Sewer District, 2350 Market Street, St. Louis, Missouri 63103, on July 12, 2019, at 9:00 a.m. All persons submitting testimony may participate in the Prehearing Conference. (b) (i) Each participant in the Prehearing Conference shall submit on or before July 19, 2019, a prehearing conference report (“Prehearing Conference Report”) describing the issues raised by the prepared testimony, together with a brief description of such participant’s position, if any, on each issue and the rationale therefor. (ii) In the event participants are able to resolve or settle any issue or issues raised in the prepared testimony, such participants shall also include as part of the Prehearing Conference Report a joint recommendation describing each such issue, the recommended resolution of the issue, and the rationale therefor. Section 9. Public Hearing. Pursuant to § 7.280(d) of the Plan and § 3(12) of the Operational Rules, an on-the-record public hearing shall be conducted by the Rate Commission. The Public Hearing shall: (a) permit ratepayers and taxpayers to testify regarding the Proposed Rate Change; (b) permit management of the District and the Board to testify regarding the Proposed Rate Change; (c) receive into evidence any prepared testimony previously submitted to the Rate Commission subject to any valid objections, together with the discovery responses and transcripts of the Technical Conferences; (d) permit the Rate Commission members and those designated by the Commission to ask questions regarding any issue addressed by the prepared testimony or any other element of the Proposed Rate Change; and (e) permit closing statements by the District, the Consultant and any person who has been permitted to intervene. The Public Hearing shall be conducted in several sessions as follows: 5 Date Location Address Time May 14, 2019 St. Louis County Library Grant’s View Branch 9700 Musick Road St. Louis, MO 63123 6:00 p.m. May 22,2019 Manchester Parks Recreation & Arts Center 359 Old Meramec Station Rd. Manchester, MO 63021 6:00 p.m. (online streaming) June 4, 2019 The Heights 8001 Dale Avenue Richmond Heights, MO 63117 6:00 p.m. June 27, 2019 Maryland Heights Community Center 2300 McKelvey Road Maryland Heights, MO 63043 6:00 p.m. July 10, 2019 University of Missouri-St. Louis (UMSL) Wellness & Recreation Center 1 University Blvd. St. Louis, MO 63121 6:00 p.m. July 24, 2019 Metropolitan St. Louis Sewer District 2350 Market Street St. Louis, MO 63103 9:00 a.m. (online streaming) Section 10. Filing of Documents. (a) Pleadings, briefs, prepared testimony, exhibits, schedules and similar papers (“Document” or “Documents”) shall in every instance display on the cover or first page the reference: “Wastewater Rate Change Proceeding.” In the event the title of the Document contains more than one proper name as a party, it shall be sufficient in subsequent Documents filed to show only the first of these names as it appears in the first Document filed, followed by an appropriate abbreviation (et al.) indicating the existence of other parties. (b) All Documents shall be filed with the Secretary of the Rate Commission at the principal office of the Rate Commission presently located at 2350 Market Street, St. Louis, Missouri 63103. All general inquiries to the Rate Commission, Documents, and other communications shall be addressed to the Secretary of the Rate Commission. (c) Any person filing a Document with the Secretary of the Rate Commission shall file the Document electronically by emailing the Document to Janice Fenton, Senior Office Associate, Metropolitan St. Louis Sewer District, at jfenton@stlmsd.com, with a copy to each other party. Copies of all Documents filed will then be made available on the District’s website. Any person may serve a Document on a represented party by transmitting it to the e-mail address of the party’s attorney. Every Document shall include a certificate of service. Such certificate of service shall be adequate proof of service. Section 12. Exhibits. (a) Exhibits shall be legible and, unless otherwise authorized by the Presiding Officer (see Section 18), shall be prepared on standard eight and one-half by eleven-inch paper. The sheets of each exhibit shall be numbered and rate comparisons and other figures shall be set forth in tabular form. (b) Exhibits shall be tendered to the reporter at the time of conference or hearing without being prenumbered, unless otherwise ordered by the Presiding Officer. 6 (c) All exhibits shall be marked at the time of conference or hearing, using a single series of numbers, unless otherwise ordered by the Presiding Officer. (d) When exhibits are offered in evidence, the original shall be furnished to the reporter, and the party offering exhibits also shall be prepared to furnish a copy to each Rate Commission member, the District, Legal Counsel, Consultant, and any other person permitted to intervene, unless the copies have previously been furnished or the Presiding Officer directs otherwise. (e) All late filed exhibits shall be submitted by simultaneously providing a copy to all parties, and by submitting an original to the Presiding Officer. Unless otherwise ordered, any objection to the admission of a late filed exhibit must be filed within 10 days of the date the exhibit was tendered. Section 13. Public Records. (a) In accordance with § 4(1) of the Operational Rules, the Technical Conferences, the Prehearing Conference and the Public Hearings shall be open to the public and conducted in accordance with the provisions of Chapter 610 of the Revised Statutes of Missouri (2000), as amended from time to time. (b) (i) In accordance with § 4(1) of the Operational Rules, the record of all of the proceedings of the Rate Commission shall be available to the public in accordance with the provisions of Chapter 610 of the Revised Statutes of Missouri (2000), as amended from time to time. (ii) The Secretary of the Rate Commission is designated the Custodian of Rate Commission Records for the purposes of requesting records from the Rate Commission. Section 14. Record of Proceedings. (a) The Secretary of the Rate Commission shall keep a full and true record of all the proceedings of the Rate Commission, of all documents ordered filed by the Rate Commission, and of all resolutions adopted by the Rate Commission. Unless specifically ordered otherwise by the Chair, all records shall be available for public inspection on the Rate Commission page of the District’s website. (b) Copies of the Operational Rules and Procedural Schedule are available at no cost from the Secretary of the Rate Commission. (c) Copies of Documents filed with the Rate Commission will be available on the District’s website. In addition, they may be requested from the Secretary of the Rate Commission in writing. Copies shall be provided as follows: (i) 1-10 copies, $0.10 per page; 7 (ii) 11-199 copies, $0.04 per page; (iii) 200 or more copies, $0.02 per page; plus postage, if mailed. In addition, an additional service charge will be made for actual labor costs for locating and retrieving Documents. (d) The date of filing shall be the date the Document is stamped filed by the Secretary of the Rate Commission. Section 15. Prepared Testimony. (a) Prepared testimony shall be typed or printed in black type on white paper eight and one-half by eleven-inch; it shall be double-spaced and pages numbered consecutively at the bottom right-hand corner or bottom center beginning with the first page as page 1; it shall be filed unfolded and stapled together at the top left-hand margin or bound at an edge in booklet form; and it shall be filed in a sufficient number of copies as required by order of the Presiding Officer, observing the following margins: left-hand margin, one inch; top margin, one inch; right-hand margin, one inch; and bottom margin, one inch. Printing on both sides of the paper is encouraged. (b) Schedules shall bear the word “schedule” and the number of the schedule shall be typed in the lower right-hand margin of the first page of the schedule. (c) All prepared testimony and other exhibits and schedules shall contain the following information in the following format on the upper right-hand corner of a cover sheet: Exhibit No.: (to be marked by the hearing reporter) Issue: (Wastewater Rate Change Proceeding) Witness: (Full name of witness) Type of Exhibit: (Specify whether direct, rebuttal, surrebuttal or other type of exhibit) Sponsoring Party: (Full name or name of first party (et al.)) Date Testimony Prepared: (____________________ ____, 2019) (d) The prepared testimony of each witness shall be filed separately and shall be accompanied by an affidavit providing the witness’s oath. Prepared testimony shall be filed on line-numbered pages. Testimony which addresses more than one issue shall contain a table of contents. (e) For the purpose of filing prepared testimony, direct, rebuttal, and surrebuttal testimony are defined as follows: (i) Direct testimony shall include all testimony and exhibits asserting and explaining the Rate Setting Documents; 8 (ii) Rebuttal testimony shall include all testimony which explains why a party rejects, disagrees or proposes an alternative to the Rate Setting Documents; and (iii) Surrebuttal testimony shall be limited to material which is responsive to matters raised in another party’s rebuttal testimony. (f) No party shall be permitted to supplement prefiled prepared direct, rebuttal or surrebuttal testimony unless authorized by the Presiding Officer. (g) A party shall not be precluded from having a reasonable opportunity to address matters not previously disclosed which arise at the hearing. This provision does not forbid the filing of supplemental direct testimony for the purpose of replacing projected financial information with actual results. (h) Parties may file a stipulation as to the facts, in which event the same shall be numbered as a joint exhibit. This stipulation shall not preclude the offering of additional evidence by any party unless otherwise agreed in the stipulation. Section 16. Discovery Procedures. (a) (i) Any person permitted to intervene, Legal Counsel and the Consultant shall be permitted to request additional information and answers from the District regarding any element of the Proposed Rate Change. (ii) Legal Counsel and the Consultant, as well as the District may also request additional information and answers from any other person who has been permitted to intervene regarding any testimony submitted by such person. (iii) The District may request additional information and answers from any person permitted to intervene and the Consultant. (b) (i) Any request for information shall set forth each question in clear and concise language, leaving an appropriate place below each question for an answer or objection to be inserted. The answers to the request for information shall be typewritten in the space provided. Any request for information shall be served electronically in Word format upon Legal Counsel of the party to whom the request for information is being served. (ii) All such information and answers shall be provided within 10 days of the date the request for such information and answers is received. (c) All other discovery of the District and of persons permitted to intervene shall be conducted in a series of the three on-the-record Technical Conferences held after each round of testimony during which time each individual person submitting testimony in the immediately preceding round of testimony shall answer questions propounded by the District, Legal Counsel and the Consultant, and any person who has been permitted to intervene. 9 (d) No person shall be required to answer questions for a total period of more than three hours, with the time evenly divided among all participants desiring to ask questions. (e) A transcript of such Technical Conferences and the Prehearing Conference shall be made and provided to the Rate Commission and made available to the participants at a price equal to the cost of producing such transcripts. (f) As provided in § 3(7) of the Operational Rules, any person who fails to answer relevant questions regarding such person’s testimony, to make such person available for questioning in the Technical Conferences, or to provide other information properly requested pursuant to the Operational Rules and this Procedure Schedule shall be subject to having such person’s testimony disregarded by the Rate Commission. Section 17. Testimony and Discovery Responses to be Presented Under Oath. (a) Any written testimony or discovery response provided by any person permitted to intervene, the District, or any person engaged by the Rate Commission to review the Proposed Rate Change shall be accompanied by a statement affirming that the matters contained therein are true, correct and complete to the best of such person’s knowledge and belief. (b) All persons answering questions or presenting testimony during any Technical Conference shall do so under oath. Section 18. Conduct of Meetings. (a) The Chair, or the member of the Rate Commission designated by the Chair, shall serve as presiding officer (the “Presiding Officer”) at each of the Technical Conferences, Prehearing Conference, and Public Hearings. (b) The Presiding Officer shall rule on the admissibility of all evidence. Evidence to which an objection is sustained, at the request of the party seeking to introduce the same or at the instance of the Presiding Officer, nevertheless may be heard and preserved in the record, together with any cross-examination with respect to the evidence and any rebuttal of the evidence, unless it is wholly irrelevant, repetitious, privileged or unduly long. When objections are made to the admission or exclusion of evidence, the grounds relied upon shall be stated briefly. (c) The Presiding Officer may limit the number of witnesses, exhibits, or the time for testimony, and make other procedural determinations, as necessary. (d) The Presiding Officer may require the production of further evidence upon any issue. The Presiding Officer may authorize the filing of specific evidence as a part of the record within a fixed time after submission, reserving exhibit numbers, and setting other conditions for such production. 10 (e) Evidence for which a claim of confidentiality is made shall be filed in conformance with a Protective Order approved by the Presiding Officer. Any party may request a Protective Order from the Chair prior to filing evidence. Parties shall obtain a Protective Order prior to filing of documentary evidence, except as permitted otherwise by the Presiding Officer. A Protective Order may include, but is not limited to, restrictions such as: ordering that certain evidence be filed under seal; ordering that only members of the Rate Commission, its consultants and legal counsel, the District, and any intervening party and its counsel have access to certain evidence; ordering that a Document be redacted prior to its admission into evidence; ordering that only the Rate Commission’s legal counsel or other consultant have access to certain information; ordering that certain information be accepted into evidence but not be published on the District’s website; prohibiting the parties and their counsel from disseminating certain evidence to third parties; or any other terms or restrictions deemed necessary by the Presiding Officer. The Presiding Officer may consult with the Rate Commission’s Legal Counsel in considering requests for Protective Orders. (f) All testimony shall be taken under oath. [Remainder of this page intentionally left blank.] 11 Wastewater Rate Change Proceedings – 2019 ATTACHMENT 1 BEFORE THE RATE COMMISSION OF THE METROPOLITAN ST. LOUIS SEWER DISTRICT APPLICATION TO INTERVENE ________________ files this Application to Intervene in the March 4, 2019 Wastewater Rate Change Proceeding and submits the following information. 1. Applicant: Name Contact Person Address Telephone No. Email Address 2. Applicant is ____ not ____ represented by counsel. If yes, list name and contact information of counsel below: Law Firm (if applicable) Contact Person Address Telephone No. Email Address 12 3. Describe interest in proposed rate change: 4. Applicant will ____ not _____ submit prepared testimony on this matter. If Applicant will submit prepared testimony, Applicant agrees to respond to discovery that is submitted in connection with the prepared testimony which Applicant has submitted. Applicant Date: By: An Application to Intervene will be deemed granted unless rejected by the Rate Commission.