HomeMy Public PortalAboutExhibit RC 67- Resolution Adopting Procedural ScheduleRESOLUTION OF THE RATE COMMISSION OF THE
METROPOLITAN ST. LOUIS SEWER DISTRICT TO ADOPT A
PROCEDURAL SCHEDULE FOR THE CONSIDERATION OF A
RATE CHANGE NOTICE FROM THE METROPOLITAN SEWER
DISTRICT CONCERNING STORMWATER AND WASTEWATER
RATES, AND AUTHORIZING THE ACTIONS OF CERTAIN
OFFICERS OF THE RATE COMMISSION
WHEREAS, the Board of Trustees ("Board") of the Metropolitan St. Louis Sewer District
("District"), pursuant to § 7.040 of the Charter ("Plan"), 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
April 6, 2021, has established the Rate Commission ("Rate Commission") to review and make
recommendations to the Board regarding proposed changes in wastewater rates, stormwater rates,
and tax rates; and
WHEREAS, upon receipt of a Rate Change Notice ("Rate Change Notice") from the
District and pursuant to §§ 7,040, 7.280(b) of the Plan, the Rate Commission is to recommend
changes in a wastewater, stormwater, or tax rate to the Board, necessary to pay (i) interest and
principal falling due on bonds issued to finance assets of the District, (ii) the costs of operation
and maintenance, and (iii) such amounts as may be required to cover emergencies and anticipated
delinquencies; and
WHEREAS, any change in a rate recommended to the Board by the Rate Commission
pursuant to § 7.270 of the Plan is to be accompanied by a statement of the Rate Commission that
the proposed rate change (i) is consistent with constitutional, statutory, or common law as amended
from time to time; (ii) enhances the District's ability to provide adequate sewer and drainage
systems and facilities or related services; (iii) is consistent with and not in violation of any covenant
or provision relating to any outstanding bonds or indebtedness of the District; (iv) does not impair
the ability of the District to comply with applicable Federal or State laws or regulations as amended
from time to time; and (v) considers the financial impact on all classes of ratepayers in determining
a fair and reasonable burden; and
WHEREAS, the Rate Commission pursuant to § 7.250 of the Plan is authorized to
promulgate such operational rules, regulations, and procedures which are not inconsistent with
Article 7 of the Plan; and
WHEREAS, in order to meet its obligations under the Plan and pursuant to § 7.280(e) of
the Plan, the Rate Commission amended on February 21, 2023 its Restated Operational Rules,
Regulations, and Procedures (the "Operational Rules") to govern the activities of the Rate
Commission; and
WHEREAS, the Rate Commission received on March 24, 2023, from the District a Rate
Change Notice for stormwater and wastewater rates; and
Exhibit RC 67
WHEREAS, the Rate Commission engaged Lashly & Baer, P.C. ("Legal Counsel") to
insure adequate review of legal issues concerning the evaluation by the Rate Commission of the
Rate Change Notice; and
WHEREAS, the Rate Commission engaged Black & Veatch ("Consultant") to insure
adequate review of regulatory issues concerning the evaluation by the Rate Commission of the
Rate Change Notice; and
WHEREAS, the Rate Commission pursuant to § 7.280 of the Plan is to institute certain
procedures regarding the proposed rate change set forth in the Rate Change Notice so that
management of the District, the Rate Commission Delegates, and any ratepayer who wishes to be
heard on the Proposed Rate Change may testify or participate at any such proceedings; and
WHEREAS, to conduct its proceedings with utmost expedition consistent with procedural
fairness and to meet its obligations under the Plan, the Rate Commission wishes to provide for
notice by publication of the procedures to be utilized by the Rate Commission to consider the Rate
Change Notice; and
WHEREAS, to conduct its proceedings with utmost expedition consistent with procedural
fairness and to meet its obligations under the Plan, the Rate Commission, pursuant to § 7.280(e)
of the Plan and § 3(3) of the Operational Rules, wishes to adopt a procedural schedule (the
"Procedural Schedule") for the consideration of the Rate Change Notice; and
WHEREAS, the Rate Commission, pursuant to § 7.280(f) of the Plan, is to issue its Rate
Commission Report to the Board and to the public no later than September 5, 2023; and
WHEREAS, the Rate Commission finds and determines that the adoption of a procedural
schedule and the approval of the notice by publication is feasible, necessary and in the public
interest of the Rate Commission, the District, and those persons who wish to be heard on the
Proposed Rate Change, and serves a public purpose of the Rate Commission, the District, and
those persons who wish to be heard;
NOW, THEREFORE, THE RATE COMMISSION DOES HEREBY RESOLVE,
DETERMINE AND ORDER AS FOLLOWS:
Section 1. Preambles Incorporated. The Rate Commission hereby finds and
determines those matters set forth in the preambles hereof as fully and completely as if set out in
full in this Section 1.
Section 2. Procedural Schedule. The Rate Commission hereby approves and adopts
the Procedural Schedule (attached hereto as Exhibit A and made a part hereof) in accordance with
the Operational Rules (attached hereto as Exhibit B and made a part hereof) under and pursuant to
the Plan; and, pursuant to this Resolution for the receipt of the Rate Change Notice and Rate Setting
Documents, the submission of Applications to Intervene, the submission of Rebuttal Testimony
and Surrebuttal Testimony, the conduct of Technical Conferences and a Prehearing Conference,
the conduct of Public Hearings, and related matters to permit the Rate Commission to render its
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Rate Commission Report to the Board; and for the authorized Rate Commission purposes set forth
in the preambles hereof, and the officers of the Rate Commission are hereby authorized and
directed to make any such changes, modifications, insertions and omissions as may be consistent
with the intent of this Resolution and as may be deemed necessary or desirable to effect the
Procedural Schedule, with the necessity or desirability of such changes, modifications, insertions
and omissions being conclusively evidenced by their execution thereof
Section 3. Public Notice. The officers of the Rate Commission are hereby authorized
and directed to draft a public notice, and to make any such changes, modifications, insertions and
omissions as may be consistent with the intent of this Resolution and as may be deemed necessary
or desirable to effect the publication of the Procedural Schedule, with the necessity or desirability
of such changes, modifications, insertions and omissions being conclusively evidenced by their
execution thereof
Section 4. Rate Commission Report. Upon approval of such request by the Board, the
Rate Commission intends to deliver its Rate Commission Report representing the majority views
and minority views, if any, of the Rate Commission Delegates no later than September 5, 2023.
Section 5. Actions of Officers Ratified and Authorized.
(a) All acts of the officers of the Rate Commission, the Consultant, and Legal Counsel
which have been taken or made to carry out and perform the purposes of the Procedural Schedule
and this Resolution are hereby ratified and approved.
(b) The officers of the Rate Commission, the Consultant and Legal Counsel shall be,
and they hereby are, authorized and directed to execute all documents and take such actions as
they may deem necessary or advisable in order to carry out and perform the purposes of the
Procedural Schedule, the Publication of Notice, and this Resolution, and the execution of such
documents or taking of such action shall be conclusive evidence of such necessity or advisability.
Section 6. Severability. It is hereby declared to be the intention of the Rate
Commission that each and every part, section and subsection of this Resolution shall be separate
and severable from each and every other part, section and subsection hereof, and that the Rate
Commission intends to adopt each said part, section and subsection separately and independently
of any other part, section and subsection. In the event that any part, section or subsection of this
Resolution shall be determined to be or to have been unlawful or unconstitutional, the remaining
parts, sections and subsections shall be and remain in full force and effect, unless the court making
such finding shall determine that the valid portions standing alone are incomplete and are incapable
of being executed in accordance with the intent of this Resolution.
Section 7. Governing Law. The laws of the State of Missouri shall govern this
Resolution.
Section 8. Effective Date. This Resolution shall become effective immediately upon
its passage.
ADOPTED by the Rate Commission this day of March, 2023.
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THE RATE COMMISSION OF THE
METROPOLITAN ST. LOUIS SEWER
DISTRICT
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EXHIBIT A
PROCEDURAL SCHEDULE
OF THE RATE COMMISSION OF THE
METROPOLITAN ST. LOUIS SEWER DISTRICT
FOR CONSIDERATION OF A STORMWATER AND 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 April 6, 2021; § 3(5) of the Operational
Rules, Regulations, and Procedures (the "Operational Rules") adopted as Restated by the Rate
Commission of the District on February 21, 2023, and a Resolution of the Rate Commission
adopted on March 24, 2023, the following Procedural Schedule shall apply during the
consideration of the Stormwater and 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 27, 2023, 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) how the Proposed Rate Change considers the financial impact on all
classes of ratepayers in determining a fair and reasonable burden, 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;
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(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 April 14, 2023, 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 Stormwater and Wastewater Rate Change Proceeding which meets these
requirements and is attached to this Procedural Schedule as Attachment 1. Applications to
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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 26, 2023, at 9:30
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 May 12, 2023,
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 30, 2023, at 9:30
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 21, 2023, 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.
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Louis Sewer District, 2350 Market Street, St. Louis, Missouri 63103, on July 10, 2023, at 9:30
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 August 1, 2023, at
1:00 p.m. All persons submitting testimony may participate in the Prehearing Conference.
(b) (i) Each participant in the Prehearing Conference shall submit on or before
August 8, 2023, 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:
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Date Location Address Time
TBD by Public
Affairs
Committee
TBD by Public Affairs
Committee
TBD by Public Affairs
Committee
August 7, 2023 MSD Offices 2350 Market Street, St.
Louis, Missouri 63103
9:30 a.m.
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: "Stormwater and 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 Stephanie DeJarnette, Senior
Office Associate, Metropolitan St. Louis Sewer District, at sdejarnette@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.
(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.
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(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 (2016), 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 (2016), 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;
(ii) 11-199 copies, $0.04 per page;
(iii) 200 or more copies, $0.02 per page;
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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 fi led 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.:
Issue:
Witness:
Type of Exhibit:
Sponsoring Party:
Date Testimony Prepared:
(to be marked by the hearing reporter)
(Stormwater and Wastewater Rate Change Proceeding)
(Full name of witness)
(Specify whetherwhether direct, rebuttal, surrebuttal or other type
of exhibit)
(Full name or name of first party (et al.))
, 2023)
(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;
(ii) Rebuttal testimony shall include all testimony which explains why a party
rejects, disagrees or proposes an alternative to the Rate Setting Documents; and
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(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.
(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.
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(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.
(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
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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.
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Stormwater and Wastewater Rate Change Proceedings — 2023
ATTACHMENT 1
BEFORE THE RATE COMMISSION OF THE
METROPOLITAN ST. LOUIS SEWER DISTRICT
APPLICATION TO INTERVENE
files this Application to Intervene in the , 2023
Stormwater and 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.
15
Email Address
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.
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EXHIBIT B
RESTATED OPERATIONAL RULES, REGULATIONS AND PROCEDURES OF THE
RATE COMMISSION OF THE METROPOLITAN ST. LOUIS SEWER DISTRICT
Section 1 —Definitions
This section defines terms used in operational rules, regulations and procedures of the
Rate Commission of the Metropolitan St. Louis Sewer District.
(1) "Charter (Plan)" means the organizing plan and charter for the Metropolitan St. Louis
Sewer District, as approved by the voters of St. Louis and St. Louis County at a special election
on February 9, 1954 and amended by the voters on November 7, 2000, and June 5, 2012, and April
6, 2021.
(2) "MSD" or "District" means the Metropolitan St Louis Sewer District as established by and
described in the Charter (Plan).
(3) "MSD Staff' means any and all employees and agents of the of the District, including the
Executive Director, Director of Finance, Secretary-Treasurer and Internal Auditor, and any firm,
person, consultant or other third party hired by the District to perform work relating to a Rate
Change Notice.
(4) "Commission" means the Rate Commission of the Metropolitan St. Louis Sewer District
as established by Section 7.040 of the Charter (Plan).
(5) "Commission member" means a Rate Commission Delegate as established and described
in Section 7.230 of the Charter (Plan).
(6) "Board" means the MSD Board of Trustees established pursuant to the Charter (Plan).
Section 2 — Organization of the Commission
This section establishes and describes the internal organization of the Commission,
including its elected officers, standing committees and the duties assigned to each.
(1) Officers of the Commission — Every February of each odd calendar year or as soon as the
Commission meets thereafter, the Commission members shall, by a majority vote, elect a Chair,
Vice-Chair and Secretary from among the Commission's membership. Each officer so elected
shall serve a term of two years, beginning the first day of February and ending on the 31st day of
January of the second following year, and may be elected for additional terms by a majority vote
of the Commission. In the event that a vacancy occurs in the position of Chair, Vice-Chair or
Secretary prior to the expiration of the member's term of office in that position, the Commission
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shall elect a member to fill the unexpired term of the position at the next regularly scheduled
meeting of the Commission. Officers shall serve until their successors assume office.
(2) Duties of the Chair — The Chair of the Commission shall:
(a) conduct all meetings of the Commission, including the setting of the agenda for
such meetings in consultation with the other Officers and, upon request, other members of the
Commission;
(b) serve as the presiding officer at any public hearing(s) held in connection with a Rate
Change Notice;
(c) coordinate the activities of the Commission's Standing Committees; and
(d) establish, subject to Commission approval, interim committees or task forces to
address specific matters that fall outside of the scope of the matters assigned to the Standing
Committees.
(e) convey to the public, in coordination with the Public Affairs Committee and its
Chair, the context in which the Commission was created, its mission, style of operation,
independence and other considerations that assist all parties in understanding the role of the
Commission;
serve as the primary point of contact for entities interacting with the Commission,
unless that rote has been delegated to another Officer or member of a Standing Committee; and
(g) designate a Commission member to perform the duties of the Chair in the absence
of the Chair, Vice-Chair and Secretary for a particular meeting or event.
(3) Duties of the Vice-Chair — the Vice-Chair of the Commission shall:
(a) perform the duties of the Chair of the Commission in the event of the Chair's
absence at any scheduled meeting or hearing;
(b) assist the Chair in the performance of any of the Chair's duties that the Chair may
delegate to the Vice-Chair; and
(c) serve as a liaison between the Commission and other appropriate entities.
(4) Duties of the Secretary — the Secretary of the Commission shall:
(a) perform the duties of the Chair of the Commission in the event both the Chair and
Vice-Chair are absent at any scheduled meeting or hearing;
(b) keep, or supervise the keeping, of the minutes or transcripts of all scheduled
meetings and hearings of the Commission, including the recording of all votes of the Commission
members; and
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(c) certify all reports, requests and other formal actions issued or taken by the
Commission, and serve as Custodian of Records for purposes of requests for public records from
the Commission.
(5) Standing Committees — The Commission shall have three Standing Committees,
including a Technical Services Committee, a Public Affairs Committee, and a Finance Committee,
to assist the Commission in carrying out its assigned duties in an expeditious and efficient manner.
Each Committee shall have a minimum of three Commission members and a maximum of six
Commission members. Upon the first meeting of each Committee after the bi- annual election of
officers of the Commission, each Committee shall elect a Chair for purposes of conducting any
meetings of the Committee.
(6) Duties of Technical Services Committee — the Technical Services Committee shall:
(a) develop and make recommendations to the full Commission regarding the retention
and supervision of any consulting firm or other provider of professional services required to
facilitate the work of that Committee;
(b) develop and make recommendations to the full Commission regarding the content
of discovery, information requests, or other recommended areas of investigation and inquiry that
the Technical Services Committee determines should be pursued by the Commission or its agents
in connection with a Proposed Rate Change;
(c) coordinate with appropriate entities and the Commission the implementation of any
other measure reasonably required to complete a timely and thorough review of any Proposed Rate
Change; and
(d) assist the Commission in defining the matters before the Commission most in need
of legal review based on the Charter (Plan), federal, state, and local laws, and the powers of the
Commission.
(7) Duties of Public Affairs Committee — The Public Affairs Committee shall:
(a) develop and make recommendations to the full Commission regarding the
publication, timing, format and location of the public hearing mandated by Section 7.280 of the
Charter (Plan) and any other public hearings scheduled by the Commission;
(b) develop and make recommendations to the full Commission regarding measures
for informing the general public of the purpose, operations and work product of the Commission
and for encouraging public awareness of, and participation in, the process for reviewing Proposed
Rate Changes;
(c) coordinate with appropriate entities and the Commission the implementation of any
other measure reasonably required to educate consumers of the District's Services regarding Rate
Change review process and the role they can play in that process; and
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(d) develop and make recommendations to the full Commission regarding the retention
and supervision of any consulting firm or other provider of professional services required to
facilitate the work of that Committee.
(8) Duties of Finance Committee — The Finance Committee shall:
(a) develop and make recommendations to the full Commission regarding the amount,
content and basis for the Commission's annual budget request to the Board as provided by Section
7.260 of the Charter (Plan);
(b) develop and make recommendations to the full Commission regarding any
supplemental funding or resource requests that may be reasonably required outside of the annual
budget request to discharge the duties of the Commission and any other required authorization that
must be sought from the Board pursuant to law;
(c) review all bills incurred on behalf of the Commission prior to submission to the
Rate Commission for final approval;
(d) prepare and submit monthly financial reports and end of fiscal year report to the
Rate Commission; and
(e) coordinate with appropriate entities and the Commission the implementation of any
other administrative measure reasonably required to assist the Commission in the discharge of its
duties.
(9) Preservation of Decision-Making Authority and Member Participation Rights — The
assignment of specific tasks to a Standing Committee, interim committee or task force shall not be
construed as limiting in any manner the Commission's ultimate authority to review and decide the
business matters of the Commission or matters relating to Proposed Rate Changes or any
Commission member's right to fully participate in the determination of such matters.
Section 3 — Review of Proposed Rate Changes
This section establishes and describes the procedures, testimony requirements, discovery
practices and other procedural rules and regulations that will be followed in the
submission of Rate Change Notices and the review of Proposed Rate Changes by the
Commission.
(1) Meetings — All meetings of the Commission, its Standing Committees and any interim
committees or task forces that may be established by the Commission 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. A quorum to conduct a meeting of the
Commission, a Standing Committee or an interim committee or task force shall exist when a
majority of the members of such Commission, Committee or task force are present. Such
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meetings may include a closed session if desired by the Commission and authorized under
Chapter 610 of the Revised Statutes of Missouri, as amended.
(2) Filing of Rate Change Notices — Whenever the District proposes or recommends a change
in rates, it shall give written notice ("Rate Change Notice") to the Rate Commission as provided
in the Charter (Plan), and provide an oral presentation to the Rate Commission on the Proposed
Rate Change. No later than three (3) business days after the date of a Rate Change Notice, the
District shall also submit to each member of the Commission, all reports, correspondence,
memoranda, and contracts for services related to the Rates between and among members of the
District staff and between any member of the District staff and a third party which relate to the
changes in Rates proposed in the Rate Change Notice (collectively the "Rate Setting Documents").
(3) Meeting with Consultants — No later than ten (10) days after the receipt of the Rate
Change Notice, and as may be appropriate at any time thereafter, the Rate Commission shall hold
a work session with any or all of its consultants and legal counsel to discuss the Proposed Rate
Change.
(4) Submission of Direct Testimony — No later than three (3) days after the submittal of the
Rate Change Notice, the District shall submit to each member of the Commission any and all direct
testimony that may be required to fully demonstrate and explain:
(a) why the Proposed Rate Change set forth in the Rate Change Notice is necessary,
fair and reasonable;
(b) how the Proposed Rate Change will enhance the District's ability to provide
adequate sewer and drainage systems and facilities, or related services;
(c) 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;
(d) 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 front time to
time, together with a specific quantification of the amount of the Proposed Rate Change that is
necessary for such purposes;
(e) how the Proposed Rate Change considers the financial impact on all classes of
ratepayers in determining a fair and reasonable burden , 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;
(0 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
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reasonable and efficient manner, including copies of' all internal or external audit reports that
address such matters;
(g) 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;
(h) the name, address, telephone number and email of each person submitting and
sponsoring such direct testimony;
(i) 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 Commission member upon request.
(5) Scheduling — Within twenty (20) days of the date a Rate Change Notice is filed, the
Commission shall meet to establish a procedural schedule for the submission of applications to
intervene, the submission of rebuttal and surrebuttal testimony, the holding of technical
conferences, a prehearing conference and a public hearing or hearings. The procedural schedule
established by the Commission shall be sufficient to permit the Commission to tender its Rate
Commission Report within the time period required under the Charter (Plan).
(6) Applications to Intervene — On or before the date established by the Commission for such
purpose, any person who would be affected by the Proposed Rate Change may submit an
application to intervene in the proceedings established by the Commission to consider the
Proposed Rate Change. Such application to intervene shall:
(a) provide the name, address, and telephone number of the person seeking to
intervene and any other person on whose behalf such intervention is sought;
(b) describe the person's interest in the Proposed Rate Change;
(c) specify whether or not the person intends to submit prepared written testimony;
and
(d) indicate whether or not the person is in agreement to respond to discovery
submitted in connection with such person's testimony.
(e) An Application to Intervene will be deemed granted unless rejected by the
Commission.
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.
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The Commission may establish a sample form to be used for Applications to Intervene
which meets these requirements. Applications to Intervene meeting the above requirements will
be accepted even if not submitted on the sample form.
(7) Discovery Procedures —
(a) The person or persons engaged by the Commission to review the Proposed Rate
Change or any person or persons permitted to intervene shall be permitted to request additional
information and answers from the District regarding any element of the Proposed Rate Change.
The person or persons engaged by the Commission to review the Proposed Rate Change as well
as the District may request additional information and answers from any person or persons who
has been permitted to intervene regarding any testimony submitted by such person. The District
may request additional information and answers from the person or persons engaged by the
Commission to review the Proposed Rate Change.
(b) 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. In
the event an answer is too lengthy to place in the space provided, it shall be attached as an appendix
and clearly identified.
(c) All such information and answers shall be provided within ten (10) days of the date
the request for such information and answers is received. All other discovery of the District, the
person or persons engaged by the Commission to review the Proposed Rate Change, and of persons
permitted to intervene shall be conducted in a series of 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
Commission, the District, the person or persons engaged by the Commission to evaluate the
Proposed Rate Change and any person who has been permitted to intervene.
(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 conferences shall be made and provided to the Commission
and the participants at a price equal to the cost of producing such transcripts.
(f) Any person who fails to answer relevant questions regarding their testimony, to
make themselves available for questioning in the technical conferences, or to provide other
information properly requested pursuant to these discovery procedures shall be subject to having
their testimony disregarded by the Commission. If a claim of confidentiality is made, testimony or
evidence shall be filed in conformance with a Protective Order approved by the Chair. Any party
may request a Protective Order from the Chair prior to filing evidence, as more fully described in
the Procedural Schedule of the Rate Commission.
(8) Submission of Rebuttal Testimony — Any interested person who is permitted to
intervene and any person or persons engaged by the Commission to review the Proposed Rate
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Change may submit prepared rebuttal testimony and schedules in accordance with the schedule
and in the manner established by the Commission. 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 Commission to consider.
(9) Submission of Surrebuttal Testimony — Any interested person who is permitted to
intervene, the District and any person or persons engaged by the Commission to review the
Proposed Rate Change may submit prepared surrebuttal testimony and schedules in accordance
with the schedule and in the manner established by the Commission. 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.
(10) Testimony and Discovery Responses to be Presented under Oath — Any testimony or
discovery response provided by any person permitted to intervene, the District, or any person or
persons engaged by the 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 that person's knowledge and belief and all persons answering questions or presenting
testimony during any technical conference shall do so under oath.
(11) Prehearing Conference — Following the submission of testimony, a prehearing
conference shall be scheduled for the purpose of identifying any issues raised by the prepared
testimony previously submitted in connection with the Proposed Rate Change. The Commission,
the District, the Consultant, Legal Counsel and all persons submitting testimony may participate
in the prehearing conference. Within five (5) business days of the conclusion of the prehearing
conference, the participants shall submit to the Commission a prehearing conference report
describing the issues raised by the prepared testimony, together with a brief description of each
participant's position, if any, on each issue and the rationale therefore. In the event, the participants
are able to resolve any issue or issues raised in the prepared testimony, they shall also include as
part of the prehearing conference report a joint recommendation describing each such issue, their
recommended resolution of the issue, and the rationale therefore.
(12) Public Hearing — At a time or times designated by the Commission on-the-record public
hearings shall be held. The Commission may designate for which purposes a particular public
hearing is scheduled. At least one public hearing shall be held after the prehearing conference, the
purpose of which shall be to:
(a) permit ratepayers and taxpayers to testify regarding the Proposed Rate Change;
(b) permit management of the District and/or Board to testify regarding the Proposed
Rate Change;
(c) receive into evidence any prepared testimony previously submitted to the
Commission subject to any valid objections, together with the discovery responses and transcripts
of the technical conferences;
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(d) permit the Commission members or 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;
(e) permit closing statements by the District, the person or persons engaged by the
Commission to review the Proposed Rate Change and any person who has been permitted to
intervene.
(13) Preparation and Approval of Rate Commission Report — Upon completion of the final
Public Hearing, the Commission shall discuss the issues presented for the Commission's resolution
and, based on all of the information received into evidence and all of the relevant criteria governing
its rate determinations, vote on the amount of the Proposed Rate Change that should be approved
and how the Proposed Rate Change should be allocated to the District's customer classes. A Report
reflecting the vote of a majority of the Commission members on each of these matters together
with findings sufficient to explain why the Commission's decisions are consistent with the criteria
governing rates as set forth in Sections 7.040 and 7.270 of the Charter (Plan) shall be prepared and
issued with the assistance of the person or persons engaged by the Commission to review the
Proposed Rate Change. Such person or person shall also assist in the preparation of any minority
report.
(14) Amendments — These rules may be amended from time to time by a vote of two thirds of
the members of Commission at the next meeting following the meeting at which such amendment
or amendments were submitted to the Commission.
Section 4 — General Provisions regarding Meetings
This section establishes and describes the requirements relating to general
meetings of the Commission, including when meetings may be closed and the date,
times, and notice of meetings.
(1) Open Meeting Policy — All meetings of the Commission and meetings of Commission
Committees or any Commission task force, whether corporeal or by means of communication
equipment, shall be open to the public, except closed sessions as authorized by law. All meetings
shall be held at a place and time reasonably convenient and of sufficient size to accommodate the
anticipated members of the public. In addition, reasonable efforts shall be made to make the
meeting accessible to individuals with disabilities.
(2) Closed Meetings — The Commission reserves the right to sit in closed meetings on matters
which are authorized by Section 610.021, RSMo. The Commission may hold a meeting closed to
the public, or close a portion of the meeting to the public, upon a majority vote of the members
present, taken at a meeting open to the public for which notice has been given or as stated in the
public notice. The vote of each Commission member on the question of holding a closed meeting
and a reference to the specific exception which authorizes the closing of the meeting to the public
shall be recorded and entered into the minutes of the meeting.
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(3) Dates, Times and Notice — The Commission will conduct monthly meetings at dates
and times determined by the Commission. Special meetings of the Commission may be called
at any time by the Chair. Public notice of the time, date, place, and a tentative agenda advising
the public of the matters to be considered for each meeting will be posted as provided in Section
610.020, RSMo.
(4) Participation by Telephone — Any member or members of the Commission may
participate in a meeting of the Commission or any Committee of the Commission by conference
telephone or similar communication equipment by means of which all persons participating in
the meeting can hear each other. Participation in such a meeting shall constitute attendance and
presence in person at the meeting of the members or members so participating.
(5) Quorum — A quorum for a meeting of the Commission, a Committee, or task force shall
exist when a majority of the members of such Commission, Committee, or task force are present.
(6) Meeting Conduct — Unless otherwise provided by law, the Charter, or the Operational
Rules, meetings of the Commission shall be conducted in accordance with the current edition
of Robert's Rules of Order.
Adopted the 4th day of March, 2019, amended the 21st day of February, 2023.