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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 2 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. 3 THE RATE COMMISSION OF THE METROPOLITAN ST. LOUIS SEWER DISTRICT ATTEST: kth2rLti.,&02p,k__ Its S Atfix)/ 4 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; 5 (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 6 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. 7 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: 8 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. 9 (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; 10 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 11 (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. 12 (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 13 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] 14 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. 16 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 2 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 3 (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 4 (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 5 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 6 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. 7 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 8 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; 9 (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. 10 (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.