N.Y. Comp. Codes R. & Regs. tit. 16 § 4.5

Current through Register Vol. 46, No. 45, November 2, 2024

Section 4.5 - General procedures

(a) At hearings, parties to the proceeding will be afforded reasonable opportunity to present evidence and examine and cross-examine witnesses. Examination of all witnesses will be conducted orally and stenographic minutes will be taken.

(b)

(1) Any party or prospective party presenting an initial or rebuttal case in a proceeding shall do so by means of prepared written testimony and exhibits, except that a presiding officer, for good cause in extraordinary circumstances, may allow direct oral testimony to be given.

(2) Prepared written testimony, in question-and-answer form, shall be received in evidence with the same force and effect as though it were stated orally by the witnesses, provided that each of the witnesses is present at the hearing at which his or her prepared written testimony is offered and adopts that testimony under oath. If cross-examination of a witness' prepared written testimony is waived by all other parties, that witness need not be present and his or her testimony may be adopted by affidavit submitted to the presiding officer.

(3) Anyone wishing or required to submit prepared written testimony shall comply with the following requirements:

(i) The testimony shall be prepared in question-and-answer form unless the presiding officer determines that use of some other form would enhance the record.

(ii) The testimony shall be double-spaced and the top, bottom and left-hand margins shall be at least one and one-half inches.

(iii) The name of the witness shall be at the top center of each page one inch from the edge, the case number, if already assigned, shall appear in the upper left corner of each page, and the page number for each page shall be located at the bottom center one inch from the edge. The number of each line of the testimony shall be set out on the left-hand side of each page, to the right of the area constituting the margin.

(iv) A square of approximately one and one-half inches in the upper right-hand corner of each page shall be left clear for Public Service Commission use.

(4) If written testimony is not filed in the proper form, it will be treated as the presiding officer may direct, taking account of such factors as timing, extent of noncompliance, and prejudice to other parties.

(5) Exhibits shall be prepared as a document separate from the testimony and shall be identified by the initials of the sponsoring witness and a number. Pages shall be single-sided and numbered.

(c)

(1) Except as otherwise provided in subdivision (d) of this section, a copy of written testimony and exhibits shall be filed with the secretary and shall be served on the presiding officer and on each party, unless the presiding officer or a provision of this Title otherwise directs.

(2) If an exhibit consists of a drawing, map, plan, or other information that is difficult to reproduce, parties may consult with the presiding officer regarding the preferred method of service upon other parties and shall consult directly with the secretary as to the format requirements for filing.

(d)

(1) In any case in which a major rate change (as defined in the Public Service Law) is proposed, the utility company shall submit with its tariff filing the prepared written testimony and exhibits that will comprise its initial case in support of its rate filing and shall forward a copy to the New York State Consumer Protection Board. In addition, the utility company shall serve a copy of the testimony and exhibits on each party appearing in the proceeding who so requests.

(2) At the hearing, the utility company's initial case shall be limited substantially to the material submitted with its tariff filing, except as otherwise provided in this Title or unless the presiding officer, for the purpose of promoting the fair, orderly, and efficient conduct of the case, shall rule otherwise.

(e) In proceedings set for hearing, discovery of information will be allowed in accordance with Part 5 of this Title.

(f) The presiding officer at any hearing shall have the powers granted by applicable statutes and regulations as well as all authority customarily exercised by presiding officers and not inconsistent with applicable statutes and regulations.

N.Y. Comp. Codes R. & Regs. Tit. 16 § 4.5