(a) Purpose. These rules govern the practice and procedure before the Public Utilities Commission of the State of Colorado.

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1 BASIS, PURPOSE, AND STATUTORY AUTHORITY. The basis and purpose of these rules is to advise the public, entities regulated by the Commission, attorneys who practice before the Commission, and any other person of the rules of practice and procedure which the Commission has established in order to regulate public utilities and other entities over which the Commission has jurisdiction. These rules are clear and simple and can be understood by persons expected to comply with them. They do not conflict with any other provision of law, and there are no duplicating or overlapping rules. The statutory authority for these rules is and , C.R.S. RULE (4 CCR) SCOPE OF RULES. (a) Purpose. These rules govern the practice and procedure before the Public Utilities Commission of the State of Colorado. (b) Authority. These rules are promulgated under , (1), and Article 4 of Title 24, C.R.S. If there is a conflict between these rules and The Colorado Revised Statutes, then the Colorado Revised statutes shall control, unless the Colorado Revised Statutes otherwise provide. (c) Other Rules Applicable. In addition to these rules, all public utilities under the jurisdiction of the Commission are governed by substantive rules and regulations applying to each class of utilities and special rules or regulations relating to particular subjects, all of which are found in Volume 4, Code of Colorado Regulations, Section 723, (4 CCR 723). (d) In addition to the Commission's Rules, Public Utilities and certain other entities affected with a public interest subject to the jurisdiction of the Commission are governed by statutes which relate to public utility regulation, found generally in Titles 24 and 40 of the Colorado Revised Statutes, which should be reviewed when appearing before the Commission. SOURCE: Rules 1 and 2, 1970 ed.; Rule 1, 1987 ed. RULE (4 CCR) APPENDICES - FORMS. Appendices and forms to these rules are part of these Rules. Forms shall be used and completed with required information identified in the forms. SOURCE: Rule 28, 1970 ed.; Rule 2, 1987 ed. RULE (4 CCR) VARIANCE FROM RULES. The Commission may permit variance from these rules, if not contrary to law, for good cause shown if it finds that compliance is impossible, impracticable or unreasonable.

2 SOURCE: Rule 29, 1970 ed.; Rule 3, 1987 ed. RULE (4 CCR) RULES OF CONSTRUCTION - DEFINITIONS. (a) Rules of Construction. The following rules of construction apply to these rules unless the context requires otherwise: (1) Words of the masculine gender include the feminine and the neuter and when the sense indicates, words of the neuter gender may refer to any gender. (2) Words in the singular include the plural, and words in the plural include the singular. (3) In computing a period of days, the first day is excluded and the last day is included. If the last day of any period is a Saturday, Sunday, or State of Colorado legal holiday, the period shall be extended to include the next day which is not a Saturday, Sunday, or State of Colorado legal holiday. (4) The State Administrative Procedure Act, found at Article 4 of Title 24, C.R.S., shall apply to the work, business, proceedings, and functions of the Commission, except as provided in , C.R.S. (5) The Colorado Rules of Civil Procedure shall apply to the work, business, proceedings, and functions of the Commission where a specific statutory provision or a specific provision in these rules so provides. (6) These rules shall be liberally construed toward securing a just, speedy and efficient determination of all matters presented to the Commission. (b) Definitions. The following words shall have the meanings indicated for these rules, unless the context requires otherwise: (1) Affiliate means, unless the context otherwise requires, a subsidiary of a public utility, a parent corporation of a public utility, a joint venture organized as a separate corporation or partnership to the extent of the individual public utility's involvement with the joint venture, or a subsidiary of a parent corporation of a public utility. (2) Commission means the Commission as an entity, two or more Commissioners acting as the Commission, a Commissioner sitting as a hearings commissioner, an administrative law judge or the Executive Secretary of the Commission. (3) Docket means a file maintained by the Commission as the record for matters filed and proceedings heard by the Commission. (4) Executive Secretary means the Executive Secretary identified in , C.R.S. (5) Fixed utility means a public utility as defined in , C.R.S., conducting business as a gas utility, gas pipeline utility, electrical utility, telephone utility, telegraph utility, water utility, radio common carrier, or a telecommunications service provider, providing services and products regulated by the Commission in accordance with Parts 1, 2, OR 3 of Article 15, Title 40, C.R.S. (6) Increase in rates or general increase or similar words, means changes in tariff or price list rates, including tariff or price list rules and regulations, which have the effect of increasing

3 any rate of a public utility. These words do not include changes in the National Motor Freight Classification or the Uniform Freight Classification. (7) Initial rate means a rate for service not previously offered or provided by a public utility. (8) Local newspaper means a newspaper having a daily or weekly paid circulation of at least 1,000 in the area of the state where the members of the public affected by the matter of which notice is given are located. (9) Modified Procedure means the process used by the Commission in accordance with Rule 24 of these rules and (5), C.R.S., to review matters which are noncontested and unopposed and which do not require a hearing. (10) Newspaper having general circulation means a newspaper with a daily paid Colorado circulation of at least 100,000. (11) Person means a person as defined in (5), C.R.S. (12) Presiding officer means the chairman or senior commissioner in a hearing conducted before the Commission en banc, or a hearing commissioner in a hearing conducted by a single commissioner, an administrative law judge when conducting a hearing, or the Executive Secretary when designated an administrative law judge in accordance with (3), C.R.S. and when conducting a hearing. (13) Pro se means any individual appearing on his own behalf or on behalf of a closely held corporation or other legal entity without an attorney in a proceeding before the Commission, as permitted by Rule 21(b). (14) Public records means all writings, including computer programs and records, made, maintained, or kept by the Commission for use in the exercise of functions required or authorized by Title 40, C.R.S. and as defined in (6), C.R.S. (15) Public utility means a public utility as defined in , C.R.S., and includes a fixed utility and a transportation utility as defined in this rule. (16) Rate means any rate, fare, toll, rental or charge. (17) Tariff or price list means a publication containing an index of articles and schedules showing all rates and classifications collected or enforced, or to be collected and enforced, together with all rules, and regulations, which in any manner affect or relate to rates, classifications, or service. For transportation utilities, tariffs shall also contain a list of participating motor vehicle carriers (if a joint tariff) and a list of towns for which the rates are named. (18) Transportation utility means, unless otherwise specified in a particular rule, a motor vehicle carrier as defined in (4)(a), C.R.S., and contract carrier by motor vehicle as defined in (3), C.R.S. SOURCE: Rules 1 and 5, 1987 ed. RULE 5 Communication with the Commission

4 (a) Correspondence with the Commission. All correspondence with the Commission concerning proceedings subject to these rules shall be addressed to the Executive Secretary, Public Utilities Commission, at the Commission's current address, and not to individual Commissioners or members of the Commission's Staff, unless otherwise specifically ordered or unless responding to an individual staff member. (b) Required Information. A person corresponding with the Commission concerning proceedings subject to these rules shall state his address, telephone number, the party he represents, his return address if different than the first stated address, and the docket number and short title of the subject matter, if applicable. Every holder of a certificate, permit, registration or other authority issued by the Commission corresponding with the Commission shall use the name, address and number shown on the certificate, permit, registration or other authority. (c) Any correspondence to the Commission that does not comply with either paragraph (a) or (b) of this rule shall be directed immediately to the executive secretary by the individual Commissioners or Commission Staff. The Executive Secretary shall treat such correspondence as though received pursuant to this rule. (d) This rule shall not be used to circumvent the provisions of Rule 9. SOURCE: Rule 4, 1970 ed.; Rule 7, 1987 ed. RULE 6 Custodian of Commission Records The Executive Secretary of the Commission is the designated custodian of the property and files, and keeper of all Commission records for purposes of , C.R.S. The Executive Secretary will, upon request, furnish Commission-prescribed forms. Copies of pleadings on file, orders and Commission decisions, and other documents in the Commission's public records will be furnished upon payment of the fees established by statute or by the Commission and are available for inspection in accordance with , C.R.S., during normal business hours (8:00 a.m. to 5:00 p.m., Monday through Friday). SOURCE: Rule 5.A, 1970 ed.; Rule 8, 1987 ed. RULE 7 Timeliness - Service - Non-business Days (a) Timeliness of Filing. Pleadings, requests, or other papers or documents must be received for filing at the Commission's offices in Denver, Colorado, within the time limits, if any, for filing, during normal business hours (8:00 a.m. to 5:00 p.m., Monday through Friday). The date and time of Commission receipt, and not the date of deposit in the mail, governs. Any document received for filing after normal business hours shall be deemed filed as of 8:00 a.m. the following business day. A pleading or document will be considered as filed if it is transmitted to the Commission as a facsimile if followed by filing of the original and number of copies required by Rule 22 within one business day. (b) Service. (1) Where the Commission accomplishes service by mail, the certificate of mailing of the

5 Executive Secretary is prima facie evidence that service has been obtained on the date of mailing. The date of mailing shall be stated on each Commission decision and the effective date of any Commission decision which is effective immediately or forthwith is the date of mailing, if different from the date on the face of the decision. (2) Any pleading, or other document filed by a party in a docket shall be served on or mailed to all other parties on the same day it is filed. Parties who intervene in dockets shall be responsible for reviewing the Commission file to determine the identity of parties to ensure that pleadings and other documents are properly served on all parties. (3) Proof of service upon other parties of any pleading or document filed as required under (3), C.R.S., shall be shown by a certificate of service, which shall be attached to the pleading or document. When a party is represented by an attorney, service shall be made upon the attorney unless service upon the party is ordered by the Commission. If a party is represented by more than one attorney, service shall be made upon each attorney of record, but in no event may a party designate more than two attorneys of record for service. If a responsive pleading is permitted by Rule 22(b), the time to respond shall be calculated using the date of mailing as shown in the certificate of service, or the date of mailing shown on the face of Commission decisions or notices. (4) When a pleading must be hand-delivered (as opposed to mailed) to parties the same day it is filed at the Commission, delivery may be accomplished by transmitting a facsimile of the complete document to parties capable of receiving a facsimile instead of by handdelivery. (5) A COPY OF ANY PLEADING OR OTHER DOCUMENT FILED BY ANY PARTY IN A DOCKET SHALL BE DELIVERED TO THE OFFICES OF THE COMMISSION AT THE TIME OF FILING ADDRESSED TO EACH MEMBER OF STAFF ACTING AS TESTIMONIAL OR ADVISORY STAFF WHO HAS BEEN SO DESIGNATED IN WRITING FOR THE RECORD PURSUANT TO RULE 9. UPON THIS OCCURRENCE, THE NUMBER OF COPIES OF PLEADINGS TO BE FILED UNDER RULE 22(f)(4)(a) SHALL BE REDUCED TO AN ORIGINAL AND FIVE COPIES, OR TO AN ORIGINAL AND THREE COPIES IF THE MATTER IS ASSIGNED TO AN ADMINISTRATIVE LAW JUDGE. (c) Non-business Days. Whenever the day for the performance of any act under these rules, or the effective date of any Commission decision or order, or the effective date of any recommended decision of an Administrative Law Judge or hearing commissioner, or the day upon which any document is required to be filed with the Commission shall fall on a legal holiday specified in et seq., C.R.S., or on Saturday or Sunday, or on any day when the Commission's office is lawfully closed, then the day for performance or effective date shall be continued until 5:00 p.m. on the first business day following the Saturday, Sunday, legal holiday, or day of lawful closing. (d) Service - Civil Penalties. For purposes of giving notice of violations pursuant to , C.R.S.: (1) notice upon a partnership, or other unincorporated association, may be made by delivering a copy of the notice to one or more of the partners or associates, or managing or general agent thereof. (2) notice upon a private corporation may be made by delivering a copy of the notice to any officer, manager, general agent, or registered agent thereof. SOURCE: Rules 4.C and 11.F, 1970 ed.; Rule 9, 1987 ed.

6 RULE 8 Open Meetings (a) General. This rule implements the Open Meetings Law of the Colorado Sunshine Act of 1972, Part 4 of Article 6 of Title 24, C.R.S. This rule does not apply to hearings required or authorized by Title 40, C.R.S. A Commission open meeting is not a hearing as required or authorized by Title 40, C.R.S., and none of the statutes or rules applicable to hearings applies to a Commission open meeting. (b) Definitions. (1) Commission open meeting is a meeting of two or more Commissioners at which public business is discussed or at which any formal action on public business is taken. (2) Public business is any matter necessary and proper for the regulation of public utilities under Article XXV of the Colorado Constitution and Title 40, C.R.S. (c) Open Meetings. All Commission open meetings shall be open to the public at all times, except when the Commission properly holds an executive session. The public may attend open meetings for the purpose of observing the transaction of public business. A member of the public may participate at any open meeting as permitted by the presiding Commissioner. Any person who is disruptive, abusive, or disorderly at an open meeting may be excluded by the presiding Commissioner. (d) Executive Session. Upon affirmative vote of two Commissioners, the Commission may hold an executive session under (2.3), (2.5) and (2.7), C.R.S., or as otherwise provided by law. (e) Time of Open Meetings. Regular Commission open meetings will be held on a day and time of each week as designated by the Commission. A special open meeting may be scheduled for any day of the week, beginning at a time designated by the Chairman or a majority of the Commission. The presiding Commissioner shall publicly announce recesses and the time at which the open meeting shall begin. If a legal holiday falls on a day that an open meeting is usually scheduled, the regular weekly Commission open meeting will usually be held on the following day. (f) Place of Open Meetings. Commission open meetings will be held at the office of the Commission in Denver, Colorado, unless otherwise designated by the Commission. (g) Notice of Open Meetings. (1) Notice of regular or special open meetings shall be posted a reasonable time prior to the meeting in a prominent place at the Commission in an area open to the public. Any matter may be discussed or formally acted upon at the open meeting. (2) The Executive Secretary shall maintain a list of persons who have requested notice of open meetings and shall provide these persons with as much advance notice as reasonably practical under the circumstances. (3) If a special open meeting is scheduled, actual notice shall be given by the Executive Secretary to each Commissioner who is present at the Commission. If any Commissioner is not present at the Commission, the Executive Secretary shall attempt to notify each absent Commissioner by the most expeditious means available. (h) Agenda of Open Meetings. The Executive Secretary shall prepare an agenda of all matters to be

7 considered by the Commission at all regular and special open Commission meetings. The presiding Commissioner shall call for consideration of matters listed on the agenda, which shall be posted prior to the beginning of the meeting at a prominent place at the Commission. Copies of the agenda shall be readily available to the public present at the meeting. Matters known in advance shall be included on the agenda of the meeting. Any matter which is not considered at an open meeting, or is tabled, shall be continued on the agenda for the next meeting. The Commission may consider emergency matters not shown on the agenda when appropriate. The order of business at each open meeting shall be determined by the Commission. SOURCE: Rule 32, 1970 ed.; Rule 10, 1987 ed. RULE 9 OFF-THE-RECORD COMMUNICATIONS A. General Policy Considerations (b) Definitions The purpose of this rule is to ensure that the Commission's decisions are free from personal bias and that its decision making processes are consistent with the concept of fundamental fairness. This rule is designed to prohibit off-the-record communications and to maintain public confidence in the Commission's off-the record communications and to maintain public confidence in the Commission's on-the-record proceedings. This rule does not apply to rule-making proceedings conducted by the Commission pursuant to and 103.5, C.R.S.; interpretative rulemaking proceedings as described in Common Carriers Conference v. PUC, 761 P.2d 737 (1988); investigative proceedings, or proceedings begun to determine and establish statements of general Commission policy, and generic proceedings; or miscellaneous dockets such as dockets established as repositories for information; or any communications with or at the request of members of the Colorado General Assembly or their staffs relating to legislation, appropriations, budget or oversight matters. (1) Material issue means an issue that may affect the merits, substance or outcome of an onthe-record proceeding. (2) (a) Off the record communication means any pleading, letter, facsimile, statement or any other oral or written communication: (1) Between a Commissioner or presiding officer and any party or any person related to or acting on behalf of any party; or (2) To a Commissioner or presiding officer by any party or any person related to or acting on behalf of a party through advisory staff, where all of the following apply: (i) The communication occurs while the on-the-record proceeding is pending, or is directed at an on-the-record proceeding filed within 30 days of the communication; (ii) The communication is directed to a material issue in the on-therecord proceeding; and

8 (iii) Notice and opportunity to participate in the communication have not been afforded to all parties to the on-the-record proceeding. (B) Off-the-record communication does not mean: (1) Procedural, scheduling or status inquiries or requests for information that have no bearing on the merits, substance or outcome of the on-therecord proceeding; (2) A communication, other than a communication as defined in paragraph (b)(2) (A) of this rule between a Commissioner or presiding officer and advisory staff, even though the communication may concern a material issue; (3) Written protests authorized by (1)(c)(II), C.R.S., that may be filed by any customer of a public utility, at any time, in an on-the-record proceeding concerning any request made by a public utility subject to the jurisdiction of the Commission for proposed increases or changes in rates and changes, as described in , C.R.S. Such written protests shall be made part of the record of the on-the-record proceeding to which they relate. In addition, any oral off-the-record communication that would be authorized by (1)(c)(II), C.R.S., if it were written, shall be considered so authorized if it is subsequently reduced to writing, or otherwise preserved, and made part of the record. No party to an onthe-record proceeding shall directly or indirectly use the provisions of , C.R.S. or this paragraph to circumvent the prohibition against off-the-record communications contained in this rule; or (4) Information secured by the Commission pursuant to , C.R.S., so long as that information is made part of the record of the on-the-record proceeding to which it relates, and the parties to the on-the-record proceeding are given an opportunity to address it or comment upon it prior to the issuance of a final Commission decision; or (5) Communications made in scheduled, noticed, open public meetings; in educational programs or conferences; or in meetings of an association of regulatory agencies. (3) On-the-record proceeding means all proceedings wherein a record is made upon which a decision of the Commission or presiding officer is to be based, except for rule- making proceedings conducted pursuant to and 103.5, C.R.S.; interpretative rulemaking proceeding as described in Common Carriers Conference v. PUC, 761 P.2d 737 (1988); investigation proceedings; proceedings begun to determine and establish statements of general Commission policy, and generic proceedings; or miscellaneous dockets established as repositories for information; or any communications with or at the request of members of the Colorado General Assembly or their staffs relating to legislation, appropriations, budget or oversight matters. (4) Party means a party as defined in Rule 20(a). (5) Pending means an on-the-record proceeding that has been initiated by the filing of a pleading. (6) Person means a person as defined in (5), C.R.S. (c) Off-the-Record Communications Prohibited

9 Off-the record communications are prohibited, and will be treated in accordance with paragraphs E. and F. of this rule. (d) Functions of the Staff of the Commission The staff of the commission may be divided into an advisory staff and a testimonial staff when, in an on-the-record proceeding, the staff enters an appearance and becomes a party. In any such on-the-record proceeding, the staff shall designate in writing for the record the names of those staff members acting as testimonial staff and as advisory staff. (1) Advisory staff may include the commission's executive secretary, counsel and consultants assigned to a particular on-the-record proceeding. Advisory staff may advise a Commissioner or presiding officer in accordance with paragraph B.2.(b)(2) of this rule. (2) Testimonial staff may not advise a Commissioner or presiding officer in an on-the-record proceeding. (e) Treatment of Off-the-Record Communications (f) Sanctions (1) Should a person make an off-the-record communication, the communication shall be disclosed to all parties and made part of the record in the on-the-record proceeding to which it relates as soon as it is brought to the attention of a Commissioner or presiding officer. All parties shall be given the opportunity to respond to an off-the-record communication, and, if necessary, call witnesses and cross-examine witnesses to address the off-the-record communication. The person reporting the off-the-record communication shall disclose on the record in a written pleading served upon all parties: (a) The name and docket number of the on-the-record proceeding; (b) A summary of the matters discussed; (c) The persons involved and their relationship, if any, to the parties; (d) The date and time of the communication and the circumstances under which it was made; and (e) Any other relevant information concerning the communication. In addition to notice and opportunity to respond, call witnesses and cross-examine witnesses provided for in paragraph E. of this rule, and potential recusal or disqualification provided for in paragraph G. of this rule, a party who directly or indirectly makes an off-the-record communication is subject to the following sanctions: (1) Dismissal of the proceeding; (2) An adverse ruling on a pending issue that is the subject of the off-the-record communication when other parties are prejudiced by the communication; (3) The striking of evidence or pleadings when the evidence or pleading is tainted by the off-therecord communication; (4) A public statement of censure by the Commission, when the off-the-record communication is determined to be a part of a continuing pattern of off-the-record communication or when a

10 single off-the-record communication is made which requires admonishment, but where mitigating circumstances exist that: (a) Negate the need for a more severe sanction; and (b) The on-the-record proceeding is not prejudiced to the extent that the presiding officer is unable to make an unbiased decision; (5) Such alternative or additional sanctions as may be appropriate in the circumstances. (g) Motion to Recuse or Disqualify (1) Upon a filing in good faith by a party of a timely and sufficient affidavit of personal bias of a Commissioner or presiding officer, the Commissioner or the presiding officer shall rule upon the allegations in such affidavit as part of the record in the on-the-record proceeding within ten days after any responsive pleading to the affidavit has been filed, and determine whether such bias exists, and whether such Commissioner or presiding officer shall disqualify himself. If the party filing the affidavit is dissatisfied with the ruling, the party may seek review of the ruling before all the Commissioners, by filing a motion to modify or set aside within ten days. All Commissioners may vote on review of all motions to disqualify. (2) If a Commissioner or presiding officer at any time deems himself to have personal bias, the Commissioner or presiding officer shall withdraw. A Commissioner or presiding officer may at any time withdraw for any other good reason, in such a manner that no substantial prejudice to any party results therefrom. Either of said withdrawals shall be voidable if it makes it impossible for the Commission or presiding officer to render a decision. RULE 10 STANDARDS OF CONDUCT FOR THE COMMISSION STANDARD OF CONDUCT TO BE APPLIED. The Commissioners and Staff of the Colorado Public Utilities Commission are subject to , C.R.S., the Colorado Code of Ethics for public employees found at et. seq., C.R.S., and the Colorado Executive Order of February 10, 1987, entitled Integrity in Government for Colorado State Executive Branch Employees. Subject to the aforementioned statutes, and Executive Order (which shall control in the event of conflict) and recognizing that in addition to quasi-judicial functions the Commission is required to and regularly does act in quasi-executive and quasi-legislative capacities, such that the Colorado Code of Judicial Conduct is not properly applicable, Commissioners and administrative law judges shall avoid the appearance of impropriety by complying with the following. They should: (a) participate in establishing, maintaining, and enforcing high standards of conduct, so that the integrity and honor of the Commission may be preserved. The provisions of this Rule should be construed and applied to further that objective. (b) discharge their responsibilities with high integrity. (c) respect and comply with the law. Their conduct, at all times, should promote public confidence in the integrity and impartiality of the Commission. (d) not own any stock or securities or other financial interest in any company regulated by the Commission. (e) not allow family, social or other relationships to influence official conduct or judgment.

11 (f) not lend the prestige of the office to advance the private interests of others, nor should they convey, or permit others to convey, the impression that special influence can be brought to bear on them. (g) have their official duties take precedence over all other activities. Their duties include all the duties of office prescribed by law. In the performance of these duties, the following standards apply: (1) to be faithful to and constantly strive to improve their competence in regulatory principles, and to be unswayed by partisan interests, public clamor, or fear of criticism. (2) to maintain order and decorum in the proceedings before them. (3) to be patient, dignified, and courteous to litigants, witnesses, lawyers, and others with whom the Commission deals in an official capacity, and to require similar conduct of lawyers, staff, and others subject to their direction and control. (4) to afford to every person who is legally interested in a proceeding, or their lawyer, full right to be heard according to law. (5) to diligently discharge their administrative responsibilities, maintain professional confidence in Commission administration, and facilitate the performance of the administrative responsibilities of other staff officials. (6) to disqualify themselves in a proceeding in which their bias might reasonably be questioned, including, but not limited to, instances where they: (A) have a personal bias or prejudice concerning a party; (B) have served as a lawyer or representative in the matter in controversy, or where a lawyer with whom they previously practiced law served, during such association, as a lawyer or representative concerning the matter; (C) have a financial interest in the subject matter in controversy, or where their spouse or minor child residing in the household has a financial interest in the subject matter in controversy or is a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceeding. (7) For purposes of this section: (1) Fiduciary includes such relationships as Personal Representative, Trustee, Guardian, or Conservator; (2) Financial Interest means ownership of a legal or equitable interest, however small, or a relationship as Director, Advisor, or active participant in the affairs of a party, except that: (A) Ownership in a mutual or common investment fund that holds securities is not a Financial Interest in such securities unless the presiding officer participates in the management of the fund; (B) An office in an educational, religious, charitable, fraternal, or civic organization is not a Financial Interest in securities held by that organization; (C) The proprietary interest of a policy holder in a mutual insurance company, of a depositor in a mutual savings association, or a similar proprietary

12 interest, is a Financial Interest in the organization only if the outcome of the proceeding could substantially affect the value of the interest. (h) refrain from financial business dealings that tend to reflect adversely on impartiality, interfere with the proper performance of official duties, or exploit the position. Commissioners and administrative law judges should not be involved in frequent transactions with persons who come before the Commission (i) not accept a gift, bequest, or loan from, persons who come before the Commission, nor should they permit family members to accept a gift, bequest, or loan from, persons who come before the Commission. RULE (4 CCR) STANDARDS OF CONDUCT FOR PARTIES APPEARING BEFORE THE COMMISSION. Every pleading, motion, and other paper of a party represented by an attorney shall be signed by at least one attorney of record in the attorney's individual name, whose address and telephone number shall be stated. A party who is not represented by an attorney shall sign the party's pleading, motion, or other paper and state the party's address and telephone number. Except when otherwise specifically provided by rule or statute, pleadings need not be verified or accompanied by affidavit. The signature of an attorney or party constitutes a certificate by the signer that the signer has read the pleading, motion, or other paper; that to the best of the signer's knowledge, information, and belief formed after reasonable inquiry it is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law; and that it is not interposed for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation. If a pleading, motion. or other paper is not signed, it shall be stricken unless it is signed promptly after the omission is called to the attention of the pleader or *movant. If a pleading, motion, or other paper is signed in violation of this rule, the Commission, upon motion or upon its own initiative, shall impose upon the person who signed it, a represented party, or both, an appropriate sanction, which may include an order to pay to the other party or parties the amount of the reasonable expenses incurred because of the filing of the pleading, motion, or other paper, including a reasonable attorney's fee. SOURCE: Modeled after Rule 11 of the Federal Rules of Civil Procedure. RULES (4 CCR) THROUGH [RESERVED FOR FUTURE USE] RULE (4 CCR) NOTICE OF GENERAL, TECHNICAL, OR SCIENTIFIC FACTS. A presiding officer may take notice of general, technical, or scientific facts within the presiding officer's knowledge, but only if the fact so noticed is specified in the record or is brought to the attention of the parties before final decision and every party is afforded an opportunity to controvert the fact so noticed. SOURCE: (8), C.R.S. RULE (4 CCR) PARTIES - NON-PARTIES (a) Classes of Parties. A party to a Commission proceeding is a person or entity who has

13 instituted a proceeding; an intervenor as a matter of right; a permissive intervenor; or a respondent to a proceeding. Staff of the Commission is a party to any proceeding in which it files an entry of appearance and notice of intervention, or is allowed to intervene in accordance with Rule 64 of these rules. (b) Nomenclature of Parties. A party to a proceeding before the Commission shall be styled: (1) Applicant - one who has applied to the Commission for a grant of authority. (2) Petitioner - one who has requested affirmative Commission relief. (3) Intervenor - one who has filed an entry of appearance and notice of intervention as a matter of right (including the Staff of the Commission), or one who has been granted permission to intervene by the Commission. (4) Complainant - one who has filed a formal complaint with the Commission in accordance with Rule 61 and , C.R.S. (5) Respondent - one against whom a formal complaint has been filed or against whom a proceeding has been started by the Commission under Rule 73 and , C.R.S. (c) Non-Parties. A non-party is: (1) Person, such as a witness in a proceeding, amicus curiae, and a person who files a protest or objection to notices of filings issued by the Commission or public utilities, unless the person becomes an intervenor in accordance with Rule 64(a). (2) A person who desires to assist the Commission in arriving at a just and reasonable determination of a proceeding, and who has been permitted by order of the Commission to participate in the proceeding as an amicus curiae. An amicus curae may present legal argument only, either orally or in writing as permitted by the Commission. SOURCE: Rule 7, 1970 ed.; Rule 20, 1987 ed. RULE 21 Representation of Parties - Withdrawal of Attorneys (a) Representation by Attorney. A party to a proceeding, other than an individual appearing in accordance with subsection (b) of this section, may be represented only by an attorney at law, currently in good standing before the Supreme Court of the State of Colorado, or in the Commission's discretion, by an attorney at law, currently in good standing before the highest tribunal of another state as authorized in Rule 121, Section 1-2 and Rule 221 C.R.C.P. (b) Participation by Non-Attorneys. (1) Pro se Representation. An individual who is a party to a Commission proceeding and who wishes to appear pro se may represent only his individual interest in the proceeding (b)(2) Closely Held Corporations. An individual may appear on behalf of a closely held corporation, only as provided in , C.R.S (b)(3) Filing Routine Forms. A non-attorney may act on behalf of a partnership,

14 Corporation, Association, or other entity in order to complete forms which do not require any knowledge and skill beyond that possessed by the ordinarily experienced and intelligent layman (b)(4) Expert Witnesses. A non-attorney or attorney may be an expert witness for a partnership, corporation, association, or other entity when performing services such as, but not limited to, an economist, engineer, or accountant (b)(5) Rulemaking. A non-attorney may act on behalf of a partnership, corporation, association, or other entity in a proceeding involving the adoption of a rule of future action which affects a group and where no vested rights of liberty or property are at stake (b)(6) Ratemaking. A non-attorney may act on behalf of a partnership, corporation, association, or other entity in a proceeding relating to the making or revision of rates, unless the deprivation of property without due process of law is present (c) Withdrawal of Attorney. An attorney of record may withdraw from a proceeding only by filing a motion and notice of withdrawal and by serving a copy on all parties of record, including the party presented by the attorney. The notice shall contain the last known address of the party represented by the attorney and a list of all pending hearing dates. Objections to a motion and notice of withdrawal shall be filed within ten days after the motion has been properly served, and the motion shall not be ruled upon until the objection period has expired. SOURCE: Rule 9, 1970 ed.; Rule 21, 1987 ed. RULE (4 CCR) PLEADINGS (a) Title. Pleadings before the Commission are applications, petitions, complaints, answers, notices, interventions, motions, statements of position, briefs, exceptions, applications for rehearing, reargument, or reconsideration, responses to pleadings, and proposed orders required by paragraph (c) of this rule. Pleadings related to telecommunications applications will follow the process detailed in 4 CCR as applicable (b) Responses to Pleadings. A response may only be filed to: applications, petitions, complaints, motions, statements of position, briefs, and exceptions. A response shall be filed with the Commission within 14 days after the pleading to which it responds was mailed to all parties of record as shown in the certificate of mailing. The Commission, upon filing of a motion showing good cause, filed within the 14-day response time, or upon its own motion, may enlarge or shorten the time for filing a response. Upon a finding that time is of the essence, the Commission may waive response time and may act on a pleading, notwithstanding the provisions permitting a responsive pleading. No responsive pleading may be filed to answers, interventions, notices, responses, or applications for rehearing, reargument or reconsideration (c) Proposed Orders. A party filing a pleading seeking action by the Commission shall submit a proposed order in a format approved by the Commission granting the action, if requested by the Commission (d) Form, Content, Size and Filing of Pleadings (d)(1) Form and Size. Pleadings shall be typewritten in standard-size elite or pica type, 10 or 12 characters to the inch, on 8 1/2' x 11' white bond paper or on an electronic

15 medium as provided by the Commission. All pleadings shall be double-spaced, with oneinch margins at the top, bottom, and both sides of each page. No pleading shall be more than 30 pages in length, including attachments, except where the attachments are required by a rule and exceed 30 pages or unless otherwise ordered by the Commission. However, the cover sheet, table of contents, certificate of mailing, copies of cases or authorities cited, and copies of a decision which may be the subject matter of the pleading shall not be included when determining the 30-page limitation (d)(2) Content. A pleading shall identify the proceeding by caption and docket number, and shall state the title of the pleading, the relief sought, a clear and concise statement of the matters relied upon as a basis for the pleading, and the name, address, and telephone number of the party or the party's attorney (d)(3) Cases or Authorities Cited. If a pleading refers to new court cases or other authorities not readily available to the Commission, six copies of each case or other authority shall be filed with the pleading (d)(4) Signature and Verification. A pleading of a party represented by an attorney shall be signed by the attorney, and shall state his address, telephone number and attorney registration number. A pleading of a party not represented by an attorney shall be signed by a person with authority to bind the party, and shall state his title, address and day time telephone number. The signature of an attorney is a certification by him that he has read the pleading; that to the best of his knowledge, information and belief there are good grounds to support it; and that it is not interposed for purposes of delay. An application need not be verified unless the Applicant desires that it be processed as a noncontested or unopposed proceeding without a hearing under Rule 24. Other pleadings need not be verified (d)(5) Certificate of Service. Proof of service under (3), C.R.S., of any pleading or document filed by a party, shall be shown on all pleadings or filed documents by a certificate of service. Any pleading or document, which must also be served on other parties, and which does not contain a certificate of service when filed, or whose certificate of service omits counsel of record for a party will be presumed not to have been served on other parties or on all counsel of record. This presumption may be overcome by evidence of proper service (d)(6) Filing of Pleadings. All pleadings must be filed at the Commission either by hand delivery, by mail, or by facsimile. Pleadings transmitted by facsimile for purposes of filing shall be followed by filing the original and number of copies required by this rule within one business day (e) Amendments to Pleading (e)(1) The Commission may permit any pleading to be amended or supplemented in accordance with C.R.C.P (e)(2) No restrictive amendment to an application shall be permitted except on written motion. Any motion that is filed more than 15 days before the first day of a hearing shall be ruled upon before the hearing. Any motion that is filed less than 15 days before the first day of a hearing may be ruled upon before the hearing (e)(3) No amendment enlarging an application shall be allowed except upon written motion. If the Commission grants a motion to enlarge an application, it shall be renoticed by the Commission.

16 (f) Number of Copies. Unless otherwise ordered, the number of copies of pleadings to be filed are: (1) Applications: (A) Fixed Utilities as defined in Rule 4(b)(5) - Original and 15 copies. (B) Transportation Utilities as defined in Rule 4(b)(18) - Original and eight copies. (C) Application to only register interstate motor carrier operating authority - original only. (2) Interventions: original and six copies. (3) Formal Complaints: original and one copy plus one copy for each named Respondent. (4) All Other Pleadings: (A) Fixed Utilities as defined in Rule 4(b)(5)- Original and 15 copies, unless the matter is assigned to an administrative law judge, in which case original and eight copies. (B) Transportation utilities as defined in Rule 4(b)(18) - Original and eight copies, unless the matter is assigned to an administrative law judge, in which case original and four copies (g) Pleadings Not in Compliance. Any pleading or document presented for filing, which substantially fails to comply with the requirements of this rule, may be subject to a motion to strike or motion to dismiss in accordance with Rules 11 and 12, C.R.C.P., or a motion seeking other appropriate relief. SOURCE: Rules 11, 1970 ed., Rule 22, 1987 ed (h) (h)(1) Voluntary Dismissal of Applications By Applicant. An applicant may withdraw or dismiss an application upon notification to the Commission prior to 45 days before the first day of hearing. A withdrawal or dismissal within this period of time shall be without prejudice. An applicant may withdraw or dismiss its application during the 45-day period preceding. the commencement of the hearing only upon motion and approval by the Commission. In ruling upon a motion for dismissal or withdrawal, the Commission shall consider whether good cause for dismissal or withdrawal is stated, and whether other parties would be prejudiced (h)(2) Voluntary dismissal of Applications Upon Less Than 30 days' Notice. An application for approval of changes to the tariff of any public utility, including changes to rates, fares, tolls, rentals, charges or classification, pursuant to section , C.R.S. (upon less than 30 days' notice) may be voluntarily withdrawn or dismissed by the applicant at any time before approval of such application by the Commission (h)(3) Dismissal or withdrawal of Tariffs and Advice Letters. Any advice letter or other filing stating a change to, including additions, the tariff of any public utility may be voluntarily withdrawn upon notification to the Commission, if such advice letter or other

17 filing has not yet been set for hearing and suspended by the Commission. After suspension, a filing stating any change to a tariff may be dismissed or withdrawn by the filing utility only upon motion and approval by the Commission. In ruling upon a motion for dismissal or withdrawal, the Commission shall consider whether good cause is stated, and whether other parties would be prejudiced by such dismissal or withdrawal. RULE (4 CCR) FEES - REMITTANCES (a) Fees and Remittances. Any fee or other remittance due to the Commission shall be payable by cash, check. or money order payable to The Public Utilities Commission of the State of Colorado (b) Fixed Utilities and Air Carriers. No filing or issuance fee is required of any fixed utility or air carrier (c) Motor Carriers (c)(1) The fees for an application for a certificate of public convenience and necessity to operate as a motor vehicle common carrier, or for a permit to operate as a motor vehicle contract carrier, or to extend an existing certificate or permit, or to assign, lease, or transfer a certificate or permit (including applications seeking approval of management agreements), or annual identification fee required by , C.R.S., for every vehicle owned, controlled, operated, or managed by a motor vehicle common or contract carrier, shall be as follows: (A) Applications for Intrastate Authority: Filing fee $35.00 Issuance fee 5.00 (B) Applications for Interstate Registration: Filing and issuance fee (C) Application for Transfer or Lease: Intrastate authority Interstate authority 5.00 (D) Annual identification fee: Per vehicle (valid from 5.00 February 1 through January 31 of the following year) (c)(2) The fee for an application to sell or transfer the capital stock of a corporation owning or controlling a certificate or permit is: Intrastate $35.00 Interstate 5.00

18 (3) No fee is required for the filing of an application to suspend, modify abandon or encumber an existing authority, for an application seeking an order to allow publication of rates on less than statutory notice (LSN), for an application seeking waiver of Commission rules, or for a declaratory order. (d) Reproduction and Certification of Public Records. The fee for reproduction of public records is found at , C.R.S. RULE 24 Noncontested - Unopposed Proceedings (a) General. For any matter that is noncontested and unopposed under (5), C.R.S., and a hearing is not requested, the matter may be determined by the Commission under its modified procedure as defined in Rule 4(b)(9) without a hearing and without further notice. A verified statement (affidavit) stating sufficient facts, together with verified exhibits which adequately support the filing must be filed within ten days after the matter had been designated to be determined under the Commission's modified procedure. The verified statement, affidavits, and exhibits shall be signed under oath by the person having knowledge of the stated facts, but do not have to be notarized. The statements, affidavits, and exhibits may be verified by the following oath, appearing above the signature line. Under the penalties of perjury, I declare that all statements made herein are true and complete to the best of my knowledge. I understand that any statement made in violation of this oath shall constitute grounds for the dismissal of my application, or revocation of any authority granted. If no verified statement, affidavits, and supporting exhibits have been filed within ten days after the matter has been assigned to modified procedure, the matter will be set for hearing and shall not be determined under the Commission's modified procedure unless good cause is stated for the failure to file the necessary verified statements, affidavits, and exhibits within the ten-day period. (1) An intervention will not be deemed to be a contest or opposition to a proceeding unless a statement specifying the grounds for the contest or opposition is included with the entry of appearance and notice of intervention or petition to intervene filed pursuant to Rule 64. (b) Withdrawal of Contest or Opposition. If all parties withdraw before completion of a hearing, the matter may be determined as a noncontested or unopposed proceeding under Rule 24(a). (c) Applicability of Other Provisions. A noncontested or unopposed proceeding shall be subject to all applicable provisions of these Rules and to all applicable provisions of The Colorado Revised Statutes. SOURCE: Rule 17, 1970, ed.; Rule 24, 1987 ed. RULE (4 CCR) ANNUAL REPORTS - UNIFORM SYSTEM OF ACCOUNTS. PRESERVATION OF RECORDS (a) Regulated Entities - General Rules (a)(1) Each entity operating in Colorado over which the Commission has jurisdiction except transportation utilities regulated pursuant to title 40, articles 10, 11, 13, and 16, shall file with the Commission, on or before April 30 of each year, an annual report for the preceding calendar year. The annual report shall be submitted on a prescribed form(s) and/or supplement(s) supplied by the Commission; shall be properly filled out; and shall