Environmental & Social Justice Action Plan Version 2.0

Environmental & Social Justice Action Plan

Version 2.0

April 7, 2022

California Public

Utilities Commission

Contents

EXECUTIVE SUMMARY .......................................................................................................... 1

Background & Progress on Implementation ........................................................................ 1

Critical Topics for Consideration in Version 2.0 ................................................................. 2

ESJ Action Plan 2.0: Updated Goals & Objectives ............................................................ 3

Utilizing the ESJ Plan as Resource .......................................................................................... 5

INTRODUCTION & BACKGROUND .................................................................................... 7

Need for the Environmental & Social Justice (ESJ) Action Plan ................................... 7

Purpose of the ESJ Plan ........................................................................................................... 8

Origins of the ESJ Action Plan – Past Leadership and Version 1.0 ............................... 8

PROGRESS ON IMPLEMENTATION ................................................................................... 12

Implementation Structure ...................................................................................................... 12

Status Report and Accomplishments Thus Far................................................................. 13

CRITICAL TOPICS FOR CONSIDERATION FOR VERSION 2.0 .................................. 17

Racial Equity + Diversity, Equity & Inclusion ...................................................................... 17

Engagement with California Native American Tribes .................................................... 17

Individuals and Communities with Access & Functional Needs

................................. 18

COVID-19 Pandemic: Immediate Response and the “New Normal” ........................ 18

Wildfire Events .......................................................................................................................... 20

Workforce Development and the High Road Transition ................................................ 20

Priority Populations for Future Consideration in the Definition of

“Environmental and Social Justice Communities” .......................................................... 20

Considerations of Rate Burdens on Low-Income Customers ....................................... 21

Timeline for Providing ESJ Action Plan Status Reports and Updates .......................... 21

ESJ ACTION PLAN 2.0: UPDATED GOALS & OBJECTIV ES ...................................... 22

Goal 1: Consistently integrate equity and access considerations

throughout CPUC regulatory activities ............................................................................ 22

Goal 2: Increase investment in clean energy resources to benefit ESJ

communities, especially to improve local air quality and public health ........................ 22

Goal 3: Strive to improve access to high-quality water, communications,

and transportation services for ESJ communities .......................................................... 23

Goal 4: Increase climate resiliency in ESJ communities .............................................. 23

Goal 5: Enhance outreach and public participation opportunities for ESJ

communities to meaningfully participate in the CPUC’s decision-making

process and benefit from CPUC programs ........................................................................ 23

Goal 6: Enhance enforcement to ensure safety and consumer protection

for all, especially for ESJ communities ............................................................................. 24

REVISED Goal 7: Promote high road43F career paths and economic

opportunity for residents of ESJ communities ..................................................................... 24

Goal 8: Improve training and staff development related to environmental

and social justice issues within the CPUC’s jurisdiction ............................................... 25

Goal 9: Monitor the CPUC’s environmental and social justice efforts

to evaluate how they are achieving their objectives ................................................. 25

Utilizing the ESJ Plan as Resource ........................................................................................ 25

Compliance and Enforcement ............................................................................................. 25

APPENDICES ......................................................................................................................... 26

APPENDIX A: ESJ ACTION ITEMS ..................................................................................... 27

APPENDIX B: SUMMARY OF FEBRUARY 2021 WORKSHOP ..................................... 52

WORKSHOP SESSION SUMMARIES .................................................................................. 54

CPUC Programs and Policies ................................................................................................ 54

BREAKOUT SESSIONS: ESJ in CPUC Industry Divisions ....................................................... 55

Transportation & Rail ............................................................................................................ 55

Telecommunications .............................................................................................................. 56

Wildfire Safety ........................................................................................................................ 57

Systematizing ESJ Considerations: Incorporating ESJ Issues in to CPUC

Proceedings and Processes .................................................................................................... 58

Tracking and Measuring: Data Collection to Better Understand CPUC

Impact in ESJ Communities.................................................................................................... 59

Public Comment Session ........................................................................................................ 61

BREAKOUT SESSIONS: ESJ in CPUC Industry Divisions ....................................................... 62

Energy ...................................................................................................................................... 62

Safety & Enforcement ..........................................................................................................

Wat

er ....................................................................................................................................... 64

Making the Most of Marketing, Education & Outreach (ME&O):

Maximizing Impact and Aligning Strategies ...................................................................... 65

APPENDIX C: KEY ESJ DEFINITIONS & STATUTES ........................................................ 67

Environmental Justice and Equity Concepts .................................................................... 68

CPUC Definitions for Environmental and Social Justice and

Disadvantaged Communities ............................................................................................... 73

Eligibility Criteria Requirements for CPUC Energy, Communications,

and Water Consumer Programs ........................................................................................... 78

Additional Definitions in State Government ...................................................................... 91

APPENDIX D: SELECT CASE STUDIES OF ESJ IN CPUC PROCEEDINGS ................ 94

Communications ....................................................................................................................... 95

Energy ......................................................................................................................................... 96

Rail Safety .................................................................................................................................. 99

Transportation .......................................................................................................................... 100

Water ........................................................................................................................................ 102

Language Access and Partnership with Community Based Organizations ............ 103

Metrics for Utility Outreach & Engagement Activities .................................................. 106

Workforce D

evelopment ...................................................................................................... 108

APPENDIX E: CPUC MEMORANDUM OF UNDERSTANDING WITH THE ……………..102

WORKFORCE DEVELOPMENT BOARD

APPENDIX F: CPUC TRIBAL CONSULTATION POLICY…………………………………. 110

APPENDIX G: CPUC ENFORCEMENT POLICY………………………………………….. 118

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Executive Summary

Background & Progress on Implementation

The CPUC’s Environmental and Social Justice (ESJ) Action Plan serves as both a commitment to furthering

principles of environmental and social justice, as well as an operating framework with which to integrate ESJ

considerations throughout the agency’s work. Version 1.0 of the CPUC’s ESJ Action Plan, adopted in

February 2019 consisted of nine overarching goals, clear objectives, and 95 concrete action items to ensure

agency-wide collaboration, accountability, and forward movement in meeting ESJ principles.

The ESJ Action Plan 1.0 also established a definition of “Environmental and Social Justice (ESJ)

Communities” for the purposes of CPUC policy and programs, as predominantly communities of color or

low-income communities that are underrepresented in the policy setting or decision-making process, subject

to a disproportionate impact from one or more environmental hazards, and are likely to experience

disparate implementation of environmental regulations and socioeconomic investments in their

communities. Under this definition the CPUC aimed to target the following communities:

• Disadvantaged Communities, defined as census tracts that score in the top 25% of CalEnviroScreen 3.0,

along with those that score within the highest 5% of CalEnviroScreen 3.0's Pollution Burden but do not

receive an overall CalEnviroScreen score;

• All Tribal lands

;

• Low-income households (Household incomes below 80 percent of the area median income); and

• Low-income census tracts (Census tracts where aggregated household incomes are less than 80 percent

of area or state median income).

Since adopting Version 1.0 of the ESJ Action Plan, the CPUC has made significant progress in

incorporating ESJ considerations into its work, as well as creating a culture that takes into serious account

the lived experiences of ESJ communities. Version 2.0 of the ESJ Action Plan is updated to reflect a

continuation of efforts to systematize the consideration of ESJ principles across Commission activities and

incorporates two years of learnings from engagement with ESJ communities, advocates, and other

stakeholders.

https://calepa.ca.gov/wp-content/uploads/sites/6/2017/04/SB-535-Designation-Final.pdf

This definition of “Disadvantaged Communities” reflects a small change from Version 1.0 of the ESJ Action Plan to reflect the

most recent designation of “Disadvantaged Communities” by the California Environmental Protection Agency (CalEPA) in

CalEnviroScreen, Version 3.0,. A new version of CalEnviroScreen, Version 4.0, was finalized in October 2021 and CalEPA will

make a subsequent designation of “Disadvantaged Community” given the new data. The definition in the ESJ Action Plan will be

subsequently updated to reflect this change once it is in effect.

Land within any Indian reservation as defined in 18 U.S.C. 1151 subsection (a)

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from two feedback internal implementation structure has been established, consisting of a Core Team and

ESJ Liaisons from each of the CPUC’s divisions. A Status Report on Version 1.0 was published in May

2020, outlining progress made on implementing each of the action items in the ESJ Action Plan. A few

highlights of progress thus far include:

• Goal 1: Established internal guidance for staff to scope ESJ issues into all proceedings;

• Goal 3: Ordered significant investments in ESJ communities including transportation electrification

investments in Disadvantaged Communities through Southern California Edison’s Charge Ready 2

Infrastructure Program;

• Goal 1 and 4: Continued and deepened prioritization of ESJ communities and related issues in key

proceedings and programs, including the Climate Adaptation proceeding (R.18-04-019) and the

Affordability proceeding (R. 18-07-006);

• Goal 5: Added a new Public Comment feature to the CPUC Docket Card to encourage wider public

participation;

• Goal 5: Continued to improve outreach and engagement with community-based organizations and the

public;

• Goal 5: Launched an overhauled, consumer focused CPUC website;

• Goal 5 and 6: Established new requirements for utilities to conduct in-language

outreach in the instance

of wildfire in D. 20-03-004 of the Wildfire Mitigation Plans proceeding;

• Goal 7: Entered into a Memorandum of Understanding (MOU) with the California Workforce

Development Board (CWDB) to receive their expertise and recommendations on maximizing access to

good jobs for individuals in ESJ communities;

• Goal 7: Published “Economic Opportunities in Environmental and Social Justice Communities,”

outlining the success of the Utility Supplier Diversity Program in reaching ESJ communities;

• Goal 8: Established an introduction to ESJ session for the CPUC’s New Employee Orientation; and

• Goal 9: Staff and management participated in the Capitol Collaborative on Race and Equity (CCORE).

Critical Topics for Consideration in Version 2.0

In addition to incorporating learnings from ongoing implementation activities, national discussions to

address race based disparities, which often align with disparities experienced in ESJ communities social and

political events, alongside other parallel efforts that occurred between 2019 and 2021 served as

Decision 20-03-002: Order Instituting Rulemaking to Implement Electric Utility Wildfire Mitigation Plans Pursuant to Senate

Bill 901 (2018). 329824881.PDF (ca.gov)

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opportunities to deepen and enhance the goals of the ESJ Action Plan. Version 2.0 of the ESJ Action Plan

includes:

• Racial Equity + Diversity, Equity, and Inclusion (DEI): Acknowledging solidarity and alignment

with broader racial equity work, specifically the CCORE cohort and the DEI Working Group, being led

concurrently with the implementation of the ESJ Action Plan.

• Engagement with California Native American Tribes: Working alongside the CPUC Tribal Office

to implement the Tribal Land Transfer Policy and the Tribal Consultation Policy.

• Individuals with Access and Functional Needs (AFN): Collaborating with communities with AFN

to understand and ensure CPUC efforts serve their needs.

• COVID-19 Pandemic: Immediate Response and the “New Normal”: Taking action to protect the

state’s most vulnerable residents with measures such as disconnection moratoriums, arrearage

management, and increased access to public meetings and hearings.

• Wildfire Events: Continuing to incorporate the needs of ESJ communities in high fire threat districts.

• Workforce Development and the High Road Transition: Delivering on principles of economic

equity and focusing workforce-related provisions on job quality and access.

• Priority Populations for Future Consideration in the Definition of “Environmental and Social

Justice Communities”: Acknowledging potential gaps in the current definition of “ESJ communities”

and consider updating the definition in the future.

• Considerations of Rate Burdens on Low-Income Customers: Ensuring the clean energy transition

does not unduly increase rate burdens on lower income communities nor increase existing disparities

between lower-income communities and others.

• Timeline for Providing ESJ Action Plan Status Reports and Updates: Ensure that the ESJ Action

Plan is an iterative document with a three-year time frame between adopting proposed revisions and

should include a mid-point Status Report.

ESJ Action Plan 2.0: Updated Goals & Objectives

The inaugural version of the ESJ Action plan served as a foundation upon which to build the consideration

of ESJ principles into the agency’s work. Included in Version 1.0 was a requirement to update the plan every

two years through an informal public process. For Version 2.0 of ESJ Action Plan, revisions to eight of the

nine goals clarify existing language; and Goal 7, related to workforce development, has been revised to

include an emphasis on job quality and access. Appendix A lists 91 new action items that reflect present-day

priorities and efforts.

Goal 1: Consistently integrate equity and access considerations throughout CPUC regulatory

activities.

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1.1 Build Systematic Approaches for ESJ Priorities

1.2 Expand Opportunities for Access

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to

improve local air quality and public health.

2.1 Enhance Outreach & Engagement

2.2 Continue Research & Analysis to Understand Impact

2.3 Move Towards Mutual Eligibility & Maximizing Impact

2.4 Address Impacts in ESJ Communities

2.5 Continue Ongoing Investment

Goal 3: Strive to improve access to high-quality water, communications, and transportation services

for ESJ communities.

3.1 Ensure Equitable Clean Transportation

3.2 Ensure Water Customer Resilience

3.3 Extend Rail Safety to ESJ Communities

3.4 Extend Essential Communications Services to ESJ Communities

Goal 4: Increase climate resiliency in ESJ communities.

4.1

Emphasize Adaptive Capacity

Goal 5: Enhance outreach and public participation opportunities for ESJ communities to

meaningfully participate in the CPUC’s decision-making process and benefit from CPUC

programs.

5.1 Improve Communication with ESJ Lens

5.2 Continue to Emphasize Engagement with CBOs

5.3 Build Pathways for Public Participation

5.4 Enhance Engagement with Particular ESJ Communities and Individuals

Goal 6: Enhance enforcement to ensure safety and consumer protection for all, especially for ESJ

communities.

6.1 Protect ESJ Consumers

6.2 Conduct Proactive Action & Analysis in Transportation and Utility Enforcement

6.3 Apply ESJ Lens to CPUC Enforcement Policy

6.4 Maximize Opportunities within Utility Audits

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Goal 7: Promote high road

career paths and economic opportunity for residents of ESJ

communities.

7.1 Maximize Authority to Promote High Road

7.2 Educate on High Road Careers

7.3 Partner with Utilities and Sister Agencies

Goal 8: Improve training and staff development related to environmental and social justice issues

within the CPUC’s jurisdiction.

8.1 Bolster Staff Knowledge on ESJ Issues and Resources

8.2 Support Emerging Priorities and Skill Needs

Goal 9: Monitor the CPUC’s environmental and social justice efforts to evaluate how they are

achieving their objectives.

9.1 Establish Consistent Quantitative Metrics

9.2 Promote Meaningful Feedback Loops

9.3 Establish Accountability Measures

Utilizing the ESJ Plan as Resource

The ESJ Action Plan is intended to serve as a resource for CPUC staff, intervenors, stakeholders, and the

public. The goals and objectives provide the broad vision and steps the CPUC will take to ensure equity in

its programs and services. The action items serve as a tracking mechanism to remain transparent about the

concrete actions the CPUC is taking with regards to embedding ESJ principles into its work. Finally, the

appendices which include definitions, program criteria, and examples of past decisions are included as

reference materials to be cited or used as reference material by CPUC staff and/or any individual or

organization that interacts with the CPUC.

https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=UIC&division=7.&title=&part=&chapter=2.

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Introduction & Background

Need for the Environmental & Social Justice (ESJ) Action Plan

The mission of the California Public Utilities Commission (CPUC) is to regulate essential utility services to

protect consumers and safeguard the environment, assuring safe and reliable access to all Californians. In

accordance with the CPUC’s institutional values of accountability, excellence, integrity, open

communication, and stewardship, the CPUC has created the Environmental and Social Justice (ESJ) Action

Plan to serve as both a commitment to furthering ESJ principles, as well as an operating framework with

which to integrate ESJ considerations throughout the agency’s work.

“Environmental justice” means the fair treatment of people of all races, cultures, and incomes with respect

to the development, adoption, implementation, and enforcement of environmental laws, regulations, and

policies.

Because the CPUC regulates utility services beyond those tied to the environment, the term

“environmental and social justice” has been adopted to capture a broader effort and potential population.

What do you think of when you hear Environmental Justice?

Image 1: Word Cloud from New Employee Orientation. May 2021.

Additional and equally important concepts are - “equity,” which involves “increasing access to power,

redistributing and providing additional resources, and eliminating barriers to opportunity, to empower low-

income communities of color to thrive and reach full potential;”

and “inclusion” which involves active and

Gov. Code, § 65040.12, subd. (e)

https://greenlining.org/publications/reports/2019/making-equity-real-in-mobility-pilots-toolkit/

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intentional efforts to ensure all individuals and communities can participate in policy development activities

that impact their everyday lives. Environmental and social justice efforts seek to foster equity for

marginalized communities, including addressing historic underinvestment and exclusionary policies and

practices that have allowed inequity to flourish.

The CPUC is tasked with serving all Californians, and to do so equitably while reaching the state’s climate

goals, it must acknowledge that some populations in California face higher barriers to access to clean, safe,

and affordable utility services. To fulfill its mission, the CPUC acknowledges it must focus resources on

communities that have been underserved, as this plan outlines. Additionally, the CPUC acknowledges that

its decisions have the potential to perpetuate and exacerbate existing disparities in ESJ communities. As

such, the ESJ Plan serves as an ongoing commitment to mitigate and eliminate, harms to these

communities. As the CPUC fulfills the goals and objectives listed in this ESJ Action Plan and improves its

ability to serve ESJ communities, it will become even more transparent, accessible, and effective for all the

communities it serves.

Purpose of the ESJ Action Plan

The ESJ Action Plan is intended to serve as a resource for CPUC staff, intervenors, stakeholders, and the

public. The goals and objectives provide the broad vision and steps the CPUC will take to ensure equity in

its programs and services. The action items serve as a tracking mechanism to remain transparent about the

concrete actions the CPUC is taking with regards to embedding ESJ principles into its work. Finally, the

appendices which include definitions, program criteria, and examples of past decisions are included as

reference materials to be used by CPUC staff and/or any individual or organization that interacts with the

CPUC.

Origins of the ESJ Action Plan – Past Leadership and Version 1.0

PAST LEADERSHIP

The CPUC has broad authority and the administrative discretion to shape programs and direct resources in

a manner that furthers its equity objectives. The CPUC has issued directives and programs to invest in ESJ

and disadvantaged communities (DACs) more broadly since the 1990s. The adoption of the original ESJ

Action Plan in 2019 builds on many years of leadership from the California Legislature and the CPUC on

environmental justice and broader social justice issues. Key efforts that demonstrate this leadership include,

but are not limited to:

• Under General Order 156, the CPUC’s Utility Supplier Diversity Program

monitors supplier diversity

in procurement by participating utilities and oversees a clearinghouse of women, minority, lesbian, gay,

bisexual, and transgender (LGBT), and disabled veteran-owned business enterprises.

https://www.cpuc.ca.gov/supplierdiversity/

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• Since 2001, the CPUC has convened the Low-Income Oversight Board (LIOB)

which advises the

CPUC on low-income electric and gas customer issues and serves as a liaison for the CPUC to low-

income ratepayers and representatives.

• The CPUC has provided utility bill assistance and consumer education to Californians with limited

English proficiency via the TEAM (Telecommunications Education and Assistance in Multiple-

Languages) and CHANGES (Community Help and Awareness of Natural Gas and Electric Services)

Programs,

which were founded in 2006 and 2015, respectively. These programs leverage a statewide

network of community-based organizations (CBOs) to provide services in over a dozen commonly

spoken languages.

• Many of the CPUC’s energy-related programs use the CalEnviroScreen tool,

developed by the Office

of Environmental Health Hazard Assessment (OEHHA) of the California Environmental Protection

Agency (CalEPA), as a means of focusing efforts and prioritizing investment in communities

disproportionately affected by air pollution and facing socioeconomic burdens. CalEnviroScreen

identifies “disadvantaged communities,” (DACs)

using indicators such as environmental, health, and

socio-economic burdens. While the list of indicators is not exhaustive, CalEnviroScreen is one of several

tools available for identifying ESJ communities. The DAC-Single Family Affordable Solar Homes

(DAC-SASH) Program, the Solar on Multifamily Affordable Housing (SOMAH) Program, the DAC-

Community Solar, and DAC-Green Tariff Programs, as well as the Self-Generation Incentive Program

(SGIP) Are among a few programs that utilize CalEnviroScreen to prioritize investments.

• In 2012, California officially passed the Human Right to Water Act,

providing that, “every human

being has the right to safe, clean, affordable, and accessible water adequate for human consumption,

cooking, and sanitary purposes.”

The CPUC continues to act for all Californians to have access to

clean, safe, and affordable water supplies.

• The Clean Energy and Pollution Reduction Act of 2015

requires a reduction in greenhouse gases in

California by increasing the procurement of renewables and other clean energy resources. The Act also

requires the CPUC to prioritize disadvantaged communities in its integrated energy resources planning

processes. The statute further requires the establishment of a Disadvantaged Communities Advisory

Group (DACAG)

which advises the CPUC and the California Energy Commission (CEC) on clean

energy and pollution reduction programs. The 11-member group meets several times a year to review

CEC and CPUC clean energy programs and policies to ensure that disadvantaged communities,

https://liob.cpuc.ca.gov/

https://www.cpuc.ca.gov/about-cpuc/divisions/news-and-public-information-office/consumer-affairs-branch/team-and-

changes-programs

https://oehha.ca.gov/calenviroscreen

California Health and Safety Code Section 39711

California Water Code Section 106.3

AB 685 (Eng, 2012)

Senate Bill 350 (de Leon, 2015).

https://www.cpuc.ca.gov/dacag

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including tribal and rural communities, benefit from proposed clean energy and pollution reduction

programs. Group members are either from or represent disadvantaged communities.

• Governor Gavin Newsom’s 2020 Broadband for All Executive Order aims to provide high speed

broadband to all Californians, with a focus on reaching previously underserved communities.

The goal

is to eliminate the “digital divide” by enhancing broadband infrastructure and access of service via key

public purpose programs such as California Lifeline and the California Advanced Services Fund.

ESJ Plan Version 1.0

In addition to implementing legislation and spearheading programs, such as those outlined above, the

CPUC further sought to achieve environmental and social justice goals by strategically targeting investment,

engagement, and enforcement efforts in ESJ communities. Under the leadership of Commissioner Guzman

Aceves and Commissioner Rechtschaffen. the ESJ Action Plan Version 1.0 was adopted in February 2019

and provided the CPUC with a roadmap for advancing these equity-related goals across the agency’s

industry areas and create a culture that takes into serious account the lived experiences of ESJ communities.

The ESJ Action plan’s framework of nine overarching goals, clear objectives, and 95 concrete action items

was developed with input from stakeholders, including community-based organizations serving ESJ

communities, sister state agencies, and the DACAG. The public process ensured agency-wide collaboration,

accountability, and forward movement in meeting ESJ principles.

Critical to the ESJ Action Plan was the establishment of a definition of “Environmental and Social

Justice Communities” or “ESJ Communities”

as low-income or communities of color that have been

underrepresented in the policy setting or decision-making process, are subject to a disproportionate impact

from one or more environmental hazards, and likely to experience disparate implementation of

environmental regulations and socio-economic investments in their communities. In addition, ESJ

communities include: Disadvantaged Communities, defined as census tracts that score in the top 25% of

CalEnviroScreen 3.0, along with those that score within the highest 5% of CalEnviroScreen 3.0's Pollution

AB 1665 (Garcia, 2017)

See ESJ Plan Version 1.0 Microsoft Word - Env and Social Justice Action Plan_ 2019-02-21.docx (ca.gov)

Use of the term “environmental and social justice” is not intended to create a new class of customers. Individual CPUC

programs may focus on environmental and social justice communities in different ways.

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Burden but do not receive an overall CalEnviroScreen score

; all Tribal lands

; low-income

households

; and low-income census tracts

Image 2: Residents from the San Joaquin Valley attend CPUC Voting Meeting. December 2018.

https://calepa.ca.gov/wp-content/uploads/sites/6/2017/04/SB-535-Designation-Final.pdf

This definition of “Disadvantaged Communities” reflects a small change from Version 1.0 of the ESJ Action Plan and is

changed to reflect the most recent designation of “Disadvantaged Communities” by the California Environmental Protection

Agency (CalEPA). A new version of CalEnviroScreen, Version 4.0, was finalized in October 2021 and CalEPA will make a

subsequent designation of “Disadvantaged Community” given the new data. This definition in the ESJ Action Plan will be

subsequently updated to reflect this change once it is in effect.

Can utilize definition of “California Indian Country” https://www.courts.ca.gov/8710.htm .

Household incomes below 80 percent of the area median income.

Census tracts with household incomes less than 80 percent area or state median income.

19F 20F

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Progress on Implementation

Since the adoption of Version 1.0 of the ESJ Action Plan, the CPUC has made significant progress in

incorporating ESJ considerations into its work, as well as creating a culture that takes into serious account

the lived experiences of ESJ communities.

Implementation Structure

To ensure compliance with the actions outlined in the ESJ Action Plan, the CPUC created an

implementation structure to maximize effective coordination and sharing of lessons learned across the

agency. Staff from the Executive Division serves as the primary staff lead, as they can work and

communicate with staff and leadership across the CPUC. Advisory staff from the Office of the

Commission, Executive Office, and Commissioner offices support the lead staff. Together, these individuals

make up the “Core Team” implementing the ESJ Action Plan and work together on coordination and

strategic planning.

For the purposes of industry division coordination, the Core Team established “ESJ Liaisons” in each

Division across the CPUC. These ESJ Liaisons provide status updates on action items listed in the ESJ

Action Plan. Alongside the Core Team, ESJ Liaisons participate in an ESJ Working Group which promotes

the goals of the plan across the CPUC and increases staff capacity to addresses ESJ issues in their daily

work.

Table 1: ESJ Working Group Structure

CORE

TEAM AND

CROSS- COMMISSION ESJ LIAISONS

INDUSTRY DIVISION ESJ LIAISONS

Lead

: News and Outreach Office (NOO) Communications Division (CD)

Commissioner Offices Consumer Protection and Enforcement Division (CPED)

Executive Office Energy Division (ED)

Office of the Commission Rail Safety Division

Administrative Law Judge Division (ALJ) Safety and Enforcement Division (SED)

Legal Division Safety Policy Division (SPD)

Office of Governmental Affairs (OGA) Water Division (WD)

The following Divisions serve in an advisory capacity and do not have ESJ Liaisons: Human Resources Division (HR),

Information Technology Services Division (ITSD), Administrative Services, Office of Internal Audits, Utility Audits, Risk &

Compliance.

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Image 6: CPUC ESJ Liaisons. January 2020.

Status Report and Accomplishments Thus Far

As a means of ensuring proper accountability to the commitments made within the ESJ Action Plan, the

ESJ Working Group published a Status Report

in May 2020, which documented progress on

implementing each of the ESJ Action Plan’s 95 action items. The Core Team also provided a presentation to

the Commission on this progress, alongside lessons learned and opportunities for continued prioritization of

ESJ-related work.

The accomplishments highlighted below demonstrate efforts to systemically instill ESJ considerations into

CPUC work and culture.

• The CPUC encourages its staff to consider ESJ issues at the beginning of all proceedings to ensure the

proceeding record incorporates meaningful discussion regarding potential impacts to ESJ communities.

Internal guidance has been circulated to CPUC staff and technical assistance is being provided to CPUC

staff by the Core Team and ESJ Liaisons.

Figure 1: Steps for Incorporating ESJ Considerations into CPUC Proceedings

https://www.cpuc.ca.gov/-/media/cpuc-website/divisions/news-and-outreach/documents/news-office/key-issues/esj/esj-

action-plan-status-update-presentation-2020.pdf

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• With the introduction of a new Public Comment feature on the CPUC Docket Card in February 2020,

as well as the introduction of remote access for all CPUC meetings in the wake of the COVID-19

pandemic, there has been a significant increase in the ability of people from ESJ communities and the

public-at-large to provide public comment and inform CPUC decision-making.

• In Decision 20-08-046 from the Climate Change Adaptation

proceeding,” Decision on energy utility

climate change vulnerability assessments and climate adaptation in disadvantaged communities, “the

CPUC established a new definition of “disadvantaged vulnerable communities” introducing the concept

of adaptive capacity and investigating the specific needs of these communities in the face of climate

change. Utilities are required to conduct robust community engagement as part of the process of

preparing climate vulnerability assessments.

• Decision 20-07-032 from the Affordability

proceeding, “Decision adopting metrics and methodologies

for assessing the relative affordability of utility service,” offers new affordability metrics that can be

utilized across energy, water, and communications industries to understand the impact

29F

of potential

rate changes and highlights the geographic concentration of unaffordability of key utility services.

• In Decision 20-03-004, “Community Awareness and Public Outreach Before, During, and After a

Wildfire,” utilities are required to perform in-depth analysis to understand language needs in their

service territories, and to extend communication to include indigenous languages. Utilities are also

required to perform quantitative and qualitative evaluations concerning the reach and impact of their

outreach.

• A new CPUC website

launched in July 2021 with a focus on the consumer as the primary audience,

presenting easy access to information related to low-income programs and filing complaints.

https://www.cpuc.ca.gov/about-cpuc/divisions/news-and-public-information-office/public-advisors-office/providing-public-

comments-at-the-cpuc

https://www.cpuc.ca.gov/industries-and-topics/electrical-energy/climate-change

https://www.cpuc.ca.gov/industries-and-topics/electrical-energy/affordability

https://www.cpuc.ca.gov/-/media/cpuc-website/industries-and-topics/reports/2019-annual-affordability-report.pdf

https://www.cpuc.ca.gov/news-and-updates/all-news/cpuc-unveils-new-website-to-better-serve-californians

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• CPUC Local Government and Community Liaisons have continued to emphasize relationship-building

with grassroots community-based organizations and introducing them to the CPUC process. Their

activities have included spearheading a quarterly webinar series highlighting CPUC efforts and

organizing tours with CPUC leadership in ESJ communities.

• The CPUC has entered a Memorandum of Understanding (MOU) with the California Workforce

Development Board (CWDB) to provide expertise and recommendations on how the CPUC can

maximize workforce development opportunities in ESJ communities. Recommendations have been

incorporated into several rulings, including the Transportation Electrification Framework (R.18-12-006)

and Self-Generation Incentive Program proceeding (R.20-05-012).

Image 3: Representatives from Community-

Based

Organizations

discuss

the

need

for

in-

language outreach. September 2019.

Image 4: CPUC staff attend a Community

Engagement and Outreach Workshop in

Sacramento. February 2020.

• The Utility Supplier Diversity Program’s July 2021 whitepaper, “Economic Opportunities in

Environmental and Social Justice Communities,” found that significant investment has been made in

ESJ communities on the part of utilities, with 42.2 percent of utility spending with diverse firms is

within ESJ communities.

https://www.cpuc.ca.gov/-/media/cpuc-website/divisions/news-and-outreach/documents/bco/utility-supplier-diversity-

program/economic-opportunities-in-esj-communities-paper.pdf

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• In May 2021, the CPUC’s New Employee Orientation established a 2-hour session focused entirely

focused on ESJ issues, providing incoming staff with a brief history of redlining and the environmental

justice movement, an introduction to the ESJ Action Plan, and offers resources to staff to implement

ESJ priorities in their work.

• CPUC staff participated in the Capitol Collaborative on Race and Equity (CCORE), which provides in-

depth training to state agency cohorts on racial inequities and equips staff with tools and resources to

further racial justice within their organizations.

The CPUC cohort will produce a Racial Equity Action

Plan for the agency in 2022.

https://sgc.ca.gov/programs/hiap/racial-equity/

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Critical Topics for Consideration

for Version 2.0

The ESJ plan is an iterative document. As such, the CPUC applied learnings from ongoing implementation

activities outlined in Version 1.0, social and political events, and other parallel efforts that occurred between

2019 and 2021, as opportunities to deepen and enhance the goals of the ESJ Action Plan.

Racial Equity + Diversity, Equity & Inclusion

Given that ESJ Communities include communities of color, it is critical for the ESJ Action Plan to both

acknowledge solidarity and align with broader racial equity work being led concurrently with the

implementation of the ESJ Action Plan.

In 2020, CPUC staff began participating in California’s Capitol Collaborative on Race and Equity (CCORE)

program. 16 CPUC staff members, representing different divisions across the agency, constitute a cohort

that is building a Racial Equity Action Plan for the CPUC with the support of executive sponsors.

In addition to participating in CCORE, the murder of George Floyd in the summer of 2020 centered the

Black Lives Matter movement in the consciousness of our society and created a sense of urgency and

necessity within the CPUC to embody diversity, equity, and inclusion. This has included the establishment

of the staff led Diversity, Equity, and Inclusion (DEI) Working Group, which helps identify, propose, and

assist with efforts to achieve diversity, equity, inclusion, and cultural competence at the CPUC. The DEI

Working Group implemented several initiatives to celebrate diverse communities, highlight their challenges,

and improve diversity of recruitment and hiring through training for all CPUC management, hiring panels

with diverse representation, and increased recruitment from diverse professional associations.

While the ESJ Action Plan certainly prioritizes communities of color and principles of racial equity, the Plan

should not be considered the CPUC’s primary effort to further racial equity work. CPUC staff working on

implementing the ESJ Action Plan will work alongside and in solidarity with the CCORE cohort and the

DEI Working Group to ensure shared goals and efforts are accomplished.

Engagement with California Native American Tribes

While the CPUC has had a Tribal Liaison for several years, since 2019 the work of the agency with tribes

has expanded and deepened. The CPUC welcomed a Governor-appointed Tribal Advisor in 2020 to

provide executive-level direction on how to effectively engage with tribal governments. Additionally, the

establishment of the Tribal Land Transfer Policy

, which allows for the transfer of land from investor-

owned utilities to Native American tribes with a historical interest in the land, as well as the continued

https://www.cpuc.ca.gov/-/media/cpuc-website/divisions/news-and-outreach/documents/bco/tribal/final-land-transfer-

policy-116.pdf

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implementation of the Tribal Consultation Policy

, which provides a framework to establish and maintain

effective relationships with Tribes while respecting sovereignty, have deepened the CPUC’s relationships in

Indian Country and have offered increasing insight into how to further adapt and learn.

Individuals and Communities with Access & Functional Needs

On November 22, 2016, the California Legislature and Governor approved AB 2311,

which required

emergency plans to integrate the needs of populations with access and functional needs (AFN). This

population includes individuals who live with developmental or intellectual disabilities, physical disabilities,

chronic conditions, injuries, limited English proficiency or who are non-English speaking, are older adults,

children, people living in institutionalized settings, or those who are low income, homeless, or

transportation disadvantaged, including, but not limited to, those who are dependent on public transit or

those who are pregnant.

In late 2019, communities across California experienced unprecedented use of Public Safety Power Shutoff

(PSPS) events, with over 975,000 customer accounts in 38 counties being affected in PG&E territory with

many customers losing power for nearly a week.

While electric utilities are to use PSPS events as a tool of

last resort only in the highest risk of infrastructure-ignited fire, the impacts of PSPS events can be perilous

to individuals with access and functional needs. In order to collaborate with communities with AFN to

understand and ensure CPUC efforts serve their needs, the CPUC hired a designated Senior Analyst for

Resilient Communities with Access and Functional Needs within the Safety Policy Division to focus on

ensuring proceedings, policies, and programs meaningfully account for and include the needs of people with

AFN.

COVID-19 Pandemic: Immediate Response and the “New

Normal”

On March 4, 2020, California Governor Newsom declared a State of Emergency to prepare additional

resources in light of rising case numbers due to the COVID-19 pandemic.

Given the immediate threat of

the global pandemic to the existence and livelihoods of millions of Californians, the Governor issued a “Stay

https://www.cpuc.ca.gov/-/media/cpuc-website/divisions/news-and-outreach/documents/bco/tribal/tribal-consultation-

policy-approved.pdf

CA Govt Code § 8593

AB 2311. https://leginfo.legislature.ca.gov/faces/billCompareClient.xhtml?bill_id=201520160AB2311&showamends=false

Presiding Officer’s Decision 2021. https://docs.cpuc.ca.gov/PublishedDocs/Efile/G000/M385/K400/385400379.PDF

Governor Newsom Declares State of Emergency to Help State Prepare for Broader Spread of COVID-19 | California

Governor. https://www.gov.ca.gov/2020/03/04/governor-newsom-declares-state-of-emergency-to-help-state-prepare-for-

broader-spread-of-covid-19/

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at Home” order on March 19, 2020.

In light of this emergency, the CPUC took immediate action to

protect the state’s most vulnerable residents:

1. The CPUC issued moratoriums on disconnections for nonpayment of service, which continued through

2021.

2. In February 2021, the CPUC opened a proceeding (R.21-02-014) to address the energy utility customer

bill debt accumulated during the COVID-19 pandemic. In October 2021, the CPUC ordered investor-

owned utilities to implement Percentage of Income Payment Plan (PIPP) pilot programs, which allow a

participant to pay a predetermined affordable percentage of their monthly income toward their

electricity or natural gas bill, in order to reduce residential disconnections.

3. Moving forward, the CPUC is proactively considering how to ensure Californians disproportionately

impacted, such as those in ESJ communities, continue to safely receive reliable utility service.

4. Additionally, the CPUC shifted all CPUC business to virtual platforms, which has facilitated significantly

more public access to CPUC meetings and hearings. If the future allows for the opportunity to hold

meetings in-person once again, it is likely that virtual engagement opportunities will remain to ensure

enhanced and broader access is still available to ESJ communities and the public.

Image 5: Community Meeting regarding Disconnection in San Bernardino. June 2019.

Governor Gavin Newsom Issues Stay at Home Order | California Governor. https://www.gov.ca.gov/2020/03/19/governor-

gavin-newsom-issues-stay-at-home-order/

CPUC

COVID-19

Actions.

https://www.cpuc.ca.gov/news-and-updates/newsroom/covid-19

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Wildfire Events

Since Version 1.0 of the ESJ Action Plan, California has experienced the largest wildfires in state history.

Additionally, electric utilities have used de-energization strategies more frequently to prevent ignition of

wildfires by electric utility infrastructure. These events have had massive implications for ESJ communities,

particularly low-income people in rural, high fire threat areas including people with access and functional

needs. While the CPUC oversaw the creation of the Wildfire Safety Division and its subsequent move to the

California Natural Resources Agency, CPUC staff continue to incorporate the needs of ESJ communities in

high fire threat districts as it advises the Commission and evaluates safety compliance and efficacy of

wildfire prevention work of the utilities.

Workforce Development and the High Road Transition

With the implementation of the ESJ Action Plan, the CPUC entered a Memorandum of Understanding

(MoU) with the California Workforce Development Board (CWDB) in October 2020 in order to receive

expertise from the CWDB about implementing Goal 7, “promoting economic and workforce development

opportunities in ESJ communities.” Energy efficiency, renewable energy, transportation electrification,

building decarbonization, and vegetation management are the five areas or topics of interagency

collaboration listed in the MoU, with the first three having been the immediate priority. In developing the

MoU, the agencies realized their shared interest in leveraging CPUC policies (e.g., incentive programs,

regulations and rulemakings, strategic plans, research studies, etc.) to deliver economic equity – i.e., the

elimination or reduction in income inequality and other economic disparities between ESJ and non-ESJ

communities.

Through the partnership, the CPUC has gained a much deeper and clearer understanding of the need to

leverage its authority and jurisdiction to focus on the jobs created or supported by CPUC policies, as well as

the training and services needed to develop a skilled and diverse workforce, addressing issues of quality and

access on both fronts. In other words, improving ESJ communities’ economic well-being, and advancing

economic equity in California, will require more of the CPUC than the conventional approach of simply

promoting job training or skill acquisition. As a result, Goal 7 of the ESJ Action Plan is updated to better

reflect the imperatives of quality and access in both employment and training, and further promote the high

road principles of equity, sustainability, and job quality across the CPUC.

Priority Populations for Future Consideration in the Definition of

“Environmental and Social Justice Communities”

Version 1.0 of the ESJ Action Plan established a definition for “ESJ communities,” which includes: (1)

Disadvantaged Communities; (2) Low Income Census Tracts; (3) Low Income Households; and (4) Tribal

Lands. While this definition captures a diverse group of communities in need of prioritization, some

additional priority communities are not specifically named. Notably, communities with AFN and those with

other medical vulnerabilities are not specifically captured, nor are communities that experience

Cal FIRE Stats and Events. https://www.fire.ca.gov/stats-events/

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disproportionate challenges with affording utility service, unhoused individuals, or indigenous populations

living off tribal lands. Version 2.0 of the ESJ Action Plan does not propose a revised definition of “ESJ

communities,” as we recognize there is not a one-size-fits-all definition of what encompasses a potential ESJ

community. Rather, we encourage CPUC initiatives to critically consider all the various kinds of populations

that warrant prioritization in policies and programs.

Considerations of Rate Burdens on Low-Income Customers

Ensuring the development of environmentally friendly and resource-responsible policies are essential to

maintaining a resilient utility service network, especially within the current climate change crisis. These

programs will provide substantial benefits to ESJ communities that are most harmed by pollution and

climate change impacts. However, as California transitions to a cleaner grid, the risk of a smaller number of

households, likely lower income households who cannot afford to upgrade their existing household

appliances to energy efficient and/or all electric, becoming increasingly financially responsible for

maintaining legacy infrastructure.

This is in addition to the overall utility rate increases residents are experiencing due to a variety of factors.

The CPUC acknowledges that increased rates place a large burden on ESJ communities who participate in

clean energy programs at a lower rate than others. Continuing to assess the cumulative impact of rates on

households and working to mitigate these impacts on the most burdened households will remain a priority

in all actions the CPUC takes.

Timeline for Providing ESJ Action Plan Status Reports and

Updates

Version 1.0 of the ESJ Action Plan calls for it to be an iterative document with a two-year update cycle.

Through implementation of the first iteration of the Plan, the ESJ Core Team organized a Status Report

delivered to the Commissioners in May 2020 on implementation of the action items. The Status Report

outlined forward movement in implementing the Action Items in the ESJ Action Plan and acknowledged

opportunities for improvement. This was an effective exercise to ensure accountability for the commitments

made in the Plan, empower the ESJ Liaisons in each Division to understand ESJ priorities in their division,

and understand where more energy needs to be focused to make strong progress on ESJ Action Plan

implementation.

Based on experience implementing the ESJ Action Plan and putting together the Status Report, staff

propose for the ESJ Action Plan to aim for a three-year time horizon for an update, with a mid-point status

report to the Commission. This will allow for a more reasonable timeframe with which to revisit action

items and ensure their proper implementation.

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ESJ Action Plan 2.0:

Updated Goals & Objectives

For Version 2.0 of ESJ Action Plan, revisions to eight of the nine goals clarify existing language; and Goal 7,

related to workforce development, has been revised to include an emphasis on job quality and access. The

objectives related to each goal have been revised to reflect the work of the CPUC for the upcoming three

years particularly related to institutionalizing ESJ considerations into the Commission’s decision-making

processes.

Finally, Version 2.0 of the ESJ Action Plan includes additional narratives. These sections clarify the CPUC’s

intent of the ESJ Plan to be used by staff and stakeholders as a reference document when developing or

responding to policies and programs under development, or as a resource document to gain a better

understanding of key definitions, eligibility criteria, and how the plan has been referenced in past

proceedings. Additional language reiterates that regulated entities under the CPUC’s jurisdiction continue to

be required to abide by all policy directives in the CPUC’s final decisions.

Appendix A includes a detailed list of action items, lead staff, and tentative work plans. The list remains

robust and demonstrates commitments from across our various offices and divisions, with an emphasis on

more cross-agency activities to deepen impact on ESJ issues.

GOAL 1: CONSISTENTLY INTEGRATE EQUITY AND ACCESS CONSIDERATIONS THROUGHOUT

CPUC

REGULATORY

ACTIVITIES.

REVISED OBJECTIVES:

1.1 Build Systematic Approaches for ESJ Priorities: Continue building systematic approaches for

considering ESJ issues in proceedings and decisions, as well as implementation processes included in

advice letters, general orders, and resolutions. Build understanding of critical ESJ concepts and

definitions to ensure alignment and deepen impact.

1.2 Expand Opportunities for Access: Continue pursuing innovative approaches to broadening access

to CPUC activities and decision-making.

GOAL 2: INCREASE INVESTMENT IN CLEAN ENERGY RESOURCES TO BENEFIT ESJ COMMUNITIES,

ESPECIALLY TO IMPROVE LOCAL AIR QUALITY AND PUBLIC HEALTH .

REVISED OBJECTIVES:

2.1 Outreach & Engagement: Broaden and deepen outreach and engagement with ESJ communities

early in proceedings and processes related to resilient, clean energy.

2.2 Research & Analysis to Understand Impact: Further research and analytical opportunities to

understand impacts in ESJ communities.

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2.3 Move Towards Mutual Eligibility & Maximizing Impact: Better leverage ongoing work by

fostering cross-division, cross-Commission, and cross-agency dialogues to move towards mutual

eligibility and maximizing impact.

2.4 Address Impacts in ESJ Communities: Continue to address ongoing and legacy impacts in ESJ

communities in the resilient, clean energy space.

2.5 Continue Ongoing Investment: Continue to make prioritized resilient, clean energy investments in

ESJ communities.

GOAL 3: STRIVE TO IMPROVE ACCESS TO HIGH-QUALITY WATER, COMMUNICATIONS, AND

TRANSPORTATION SERVICES FOR

ESJ COMMUNITIES.

REVISED OBJECTIVES:

3.1 Equitable Clean Transportation: Pursue opportunities for ESJ communities to access clean

vehicles and services from Transportation Network Companies (TNCs).

3.2 Water Customer Resilience: Support ESJ customers and communities with discounted rates for

low-income customers and sustainable systems.

3.3 Extend Rail Safety to ESJ Communities: Pursue opportunities to bolster safety along rail lines in

ESJ communities.

3.4 Extend Essential Communications Services to ESJ Communities: Ensure implementation of

new investments that offer ESJ communities’ access to essential

communications services at affordable

rates.

GOAL 4: INCREASE CLIMATE RESILIENCY IN ESJ COMMUNITIES.

REVISED OBJECTIVES:

4.1 Emphasize Adaptive Capacity: Ensure ESJ communities and considerations around their adaptive

capacity is incorporated into relevant programs and activities.

GOAL 5: ENHANCE OUTREACH AND PUBLIC PARTICIPATION OPPORTUNITIES FOR ESJ COMMUNITIES

TO MEANINGFULLY PARTICIPATE IN THE

CPUC’S DECISION-MAKING PROCESS AND BENEFIT FROM

CPUC PROGRAMS.

REVISED OBJECTIVES:

5.1 Improve Communication with ESJ Lens: Continue to build and improve CPUC communications

methods and materials to ensure ESJ audiences can better participate.

5.2 Continue to Emphasize Engagement with CBOs: Deepen relationships and network

connections with community-based organizations throughout the state.

43 43

Decision 20-07-032 http://docs.cpuc.ca.gov/SearchRes.aspx?DocFormat=ALL&DocID=344049206

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5.3 Build Pathways for Public Participation: Based on lessons learned and areas of improvement,

build additional and enhanced pathways to welcome and involve ESJ stakeholders into CPUC processes.

5.4 Enhance Engagement with Particular ESJ Communities: Consider the specific needs of

particular populations and work to create targeted engagement opportunities.

GOAL 6: ENHANCE ENFORCEMENT TO ENSURE SAFETY AND CONSUMER PROTECTION FOR ALL ,

ESPECIALLY FOR ESJ COMMUNITIES.

REVISED OBJECTIVES:

6.1 Protect ESJ Consumers: Track complaints from ESJ communities and protect against fraud and

unfair business practices in CPUC-regulated industries.

6.2 Conduct Proactive Action & Analysis in Transportation and Utility Enforcement: Utilize

existing data and enforcement authority to focus on serving ESJ communities and understanding their

needs.

6.3 Apply ESJ Lens to CPUC Enforcement Policy: Ensure implementation of Enforcement Policy

includes opportunities for ESJ communities to benefit from maximum compliance with CPUC rules and

regulations.

6.4 Maximize Opportunities within Utility Audits: Incorporate strategies for engaging with ESJ

communities and understanding cumulative impact.

REVISED GOAL 7: PROMOTE HIGH ROAD

CAREER PATHS AND ECONOMIC OPPORTUNITY FOR

RESIDENTS OF

ESJ COMMUNITIES.

REVISED OBJECTIVES:

7.1 Maximize Authority to Promote High Road: Continue implementing MOU with CA Workforce

Development Board to develop proceeding record and outreach to nontraditional partners to

understand opportunities for CPUC to maximize jurisdiction and authority to promote high road

careers.

7.2 Educate on High Road Careers: Provide opportunities to educate CPUC staff on high road

career paths, best practices, and opportunities to integrate into CPUC programs.

7.3 Partner with Utilities and Sister Agencies: Engage sister agencies with authority and expertise on

workforce-related issues and regulated utilities in promoting economic opportunity for ESJ

communities.

https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=UIC&division=7.&title=&part=&chapter=2.

&article

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GOAL 8: IMPROVE TRAINING AND STAFF DEVELOPMENT RELATED TO ENVIRONMENTAL AND SOCIAL

JUSTICE ISSUES WITHIN THE

CPUC’S JURISDICTION.

REVISED OBJECTIVES:

8.1 Bolster Staff Knowledge on ESJ Issues and Resources: Provide ongoing training to new and

existing employees on ESJ issues and continue to offer resources and tools to support staff learning.

8.2 Support Emerging Priorities and Skill Needs: Work in solidarity with other ESJ-aligned plans

and efforts and offer new training opportunities to support shared goals.

GOAL 9: MONITOR THE CPUC’S ENVIRONMENTAL AND SOCIAL JUSTICE EFFORTS TO EVALUATE

HOW THEY ARE ACHIEVING THEIR OBJECTIVES

REVISED OBJECTIVES:

9.1 Establish Consistent Quantitative Metrics: Pursue opportunities to standardize metrics related to

ESJ communities in CPUC programs and proceedings.

9.2 Promote Meaningful Feedback Loops: Cultivate and deepen avenues to receive feedback from

the public and demonstrate resulting impact back to members of the public.

9.3 Establish Accountability Measures: Establish a public mechanism for reporting the CPUC’s

progress towards achieving goals of the ESJ Action Plan.

Utilizing the ESJ Plan as Resource

The ESJ Action Plan is intended to serve as a resource for CPUC staff, intervenors, stakeholders, and the

public. The goals and objectives provide the broad vision and steps the CPUC will take to ensure equity in

its programs and services. The action items serve as a tracking mechanism to remain transparent about the

concrete actions the CPUC is taking with regards to embedding ESJ principles into its work. Finally, the

appendices which include definitions, program criteria, and examples of past decisions are included as

reference materials to be cited or used as reference material by CPUC staff and/or any individual or

organization that interacts with the CPUC.

Compliance and Enforcement

The CPUC expects regulated entities to conform to the goals and principles outlined in the ESJ Action Plan.

As the goals and objectives in the plan, or the plan itself, will be referenced and cited in Commission

decisions, when appropriate, regulated entities are expected to continue to abide by language in final

decisions. The CPUC will continue to use its discretion and broad authority to take enforcement actions as

appropriate.

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APPENDICES

APPENDIX A.

ESJ Action Items

APPENDIX B. Summary of February 2021 Workshop 50

APPENDIX C. Key ESJ Definitions & Statutes

APPENDIX D. Select Case Studies of ESJ in CPUC Proceedings

APPENDIX E.

CPUC Memorandum of Understanding (MOU) with the

California Workforce Development Board (CWDB)

109

APPENDIX F. CPUC Tribal Consultation Policy 112

APPENDIX G.

CPUC Enforcement Policy

114

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Appendix A:

ESJ Action Items

This Appendix includes 93 specific Action Items in service of fulfilling the Goals and Objectives of Version

2.0 of the ESJ Action Plan. Each Action Item includes a title, brief description, identified lead implementor,

and a tentative work plan.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 1: Consistently integrate equity and access considerations throughout CPUC proceedings and other efforts. (11 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

1.1 Build Systemic Approaches for ESJ Priorities

1.1.1

ESJ Impacts in CPUC

Processes

Continue to systematically incorporate ESJ

considerations into proceedings, and

further pursue opportunities to

incorporate ESJ into Advice Letters,

Resolutions, and other processes.

Cross-

Commission

ESJ Core Team

1- Create guidance for incorporating ESJ into Advice

Letters; 2- Consider a designated section on ESJ

impacts in decisions, resolutions, and advice letters

that impact customers, residents, or small businesses

in ESJ communities; 3- Explore mechanisms to ensure

applicants include ESJ consideration in application.

1.1.2

Institutionalize

Implementation of ESJ

Action Plan within

Divisions

Continue ongoing recruitment of ESJ

Liaisons to ensure representation from all

CPUC Divisions. Bolster opportunities for

ESJ Liaisons to lead ESJ Action Plan

implementation within their divisions.

Ensure staff-level ownership of

implementation.

Cross-

Commission

ESJ Core Team

1- Continue recruiting ESJ Liaisons for unrepresented

Divisions 2- Ensure administrative Divisions receive

biannual updates on implementation 3- Provide

opportunities for ESJ Liaisons to lead ESJ-related work

within their divisions. 4- Provide a mid-point status

update on implementation of ESJ Action Plan to

Commissioners and the public

1.1.3

Tracking Federal

Initiatives Related to

Environmental

Justice

Follow actions of the Biden

Administration that relate to the goals of

the ESJ Action Plan. Share with ESJ

Liaisons and broader CPUC staff

opportunities to inform, engage and

participate.

Cross-

Commission

Office of the

Commission

1- Create tracking mechanism for federal

environmental justice actions 2- Develop internal

information sharing system

1.1.4

Coordination with ESJ-

focused Staff at

Regulated Utilities

Convene and explore opportunities for

coordination and collaboration with

regulated utility staff that focus on ESJ-

related issues. Build understanding across

various program and policy areas on

shared ESJ-related priorities and work

together to ensure strong implementation

of the CPUC ESJ Action Plan.

Cross-

Commission

ESJ Core Team

1- Outreach to utilities to connect with staff focused

on ESJ-related issues; 2- Consider establishing an

informal working group to foster conversation and

collaboration; 3- Pinpoint priority areas for

coordination; 4- Leverage opportunities to meet key

ESJ Action Plan goals, such as those related to staff

training

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 1: Consistently integrate equity and access considerations throughout CPUC proceedings and other efforts. (11 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

1.1.5

ESJ Definitions:

Catalogue and Assess

Opportunities for

Mutual Eligibility

Catalogue definitions being used across

the CPUC for ESJ purposes and create a

framework for the creation of future

definitions. Consider opportunities for

alignment and mutual eligibility in

coordination with industry divisions.

Cross-

Commission

Office of the

Commission

1- Build upon Appendix B of ESJ Action Plan and create

consistently updated catalogue of ESJ-related

definitions that is accessible to staff; 2- Create an ESJ

Definition Framework that helps with decision-making

related to program targets; 3- Work with industry

divisions and CPUC leadership to consider

opportunities for potential alignment and mutual

eligibility of programs, in coordination with Energy

Division efforts

1.2 Expand Opportunities for Access

1.2.1

Evaluation of Intervenor

Compensation Program

(ICOMP)

Assess the current ICOMP successes and

challenges, and propose

recommendations for future

improvements, both administrative and

statutory.

Cross-

Commission

Office of the

Commission

1- Using monthly ICOMP analysis, perform evaluation

of existing ICOMP, including stakeholder experience,

diversity of intervenors, timeframe for awards to be

made, common intervenor errors, among other

metrics; 2- Present results of evaluation at a

Commission Committee Meeting

1.2.2

Consider Funded

Community Based

Organization (CBO)

Program

Explore concept of a paid CBO pilot

program that aims to facilitate deeper

involvement of CBOs in CPUC programs

and processes.

Cross-

Commission

News &

Outreach

Office

1- Explore and identify need and staffing sources for

the purposes of a pilot program; 2- Understand best

practices in CBO programs from sister agencies; 3-

Consider development and deployment of a pilot

program, including funding and authority; 4- Identify

any lessons learned and opportunities for a permanent

program

1.2.3

Implementation of

Tribal Consultation

Policy

Continue to educate CPUC staff and

stakeholders on Tribal Consultation Policy

and

pursue

opportunities

for

updates

and

deeper engagement with tribal

communities.

Cross-

Commission

Executive

Office - Tribal

Advisor

1- Offer presentation to CPUC staff and stakeholders

on Tribal Consultation Policy, as well as assistance in

implementation; 2-Consider opportunities for updates

and/or revisions

1.2.4

ADA Accessibility of

CPUC Internet

Ensure that CPUC internet and public

documents meets all accessibility-related

requirements.

Cross-

Commission

Executive

Office - ADA

Coordinator

1- Perform analysis on accessibility of CPUC internet

and public documents 2- Remediate documents as

necessary 3- Educate and train CPUC staff on

accessibility requirements 4- Perform ongoing

maintenance

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 1: Consistently integrate equity and access considerations throughout CPUC proceedings and other efforts. (11 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

1.2.5

Provide "Participate in

CPUC" training via

various methods

Provide information on "Participating in

CPUC Processes" to provide education on

proceedings, processes, programs, how to

engage, etc.

Cross-

Commission

News &

Outreach

Office

1- Develop presentations and materials ; 2- Post

recording to CPUC YouTube and advertise availability

to stakeholders

1.2.6

Explore Capacity

Building Initiatives

Explore methods of educating ESJ

communities on fundamental principles of

utility regulation and impacted industries

Cross-

Commission

ESJ Core Team

1- Explore the feasibility of developing educational

materials for ESJ communities on the fundamentals of

utility regulation including an overview of emerging

and key issues facing ESJ communities; 2- Explore

developing a public repository of ESJ-related reports or

other resources.

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

2.1 Outreach & Engagement

2.1.1

Alignment &

Coordination Across

Marketing, Education &

Outreach (ME&O) Plans

Leverage ongoing work across a multitude

of investor-owned utilities (IOU) initiatives

and programs to create synergy and

deepen impact in ESJ communities,

especially related to partnerships with

community-based organizations (CBOs).

Energy Division

ESJ Core Team

1- Compare ME&O plans of utilities and look for

commonality in approach and CBOs involved 2- Share

best practices in ME&O plans across utilities and,

if/when appropriate, create template guidance to

ensure future alignment; 3- Explore opportunities to

diversify CBOs with which IOUs work with for ME&O

2.1.2

Improve Feedback Loop

from Customers to

Foster Iterative Process

in Program Design

Conduct more robust outreach to specific

ESJ customer segments including

households, businesses, and communities

to understand program interest and

satisfaction. Set mechanisms into place to

adjust programs on an ongoing basis

based on this feedback. Ensure

appropriate data and metrics are utilized

that can be built into program design.

Energy Division

Energy

Efficiency

Procurement

& Portfolio

Management

1- Conduct workshop with program, community, and

customer stakeholders to help inform new customer-

centric Pilot Plus/Pilot Deep ESA program design that

will target customers with greatest need and that can

benefit most from deeper energy savings 2- Identify

and track new metrics on customer segments eligible

for programs and leverage data to target customer

segments that can be better served by and continue to

shape the new program design

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

2.1.3

Continue Support and

Coordination of the

Disadvantaged

Communities Advisory

Group (DACAG)

Work alongside the California Energy

Commission (CEC) to continue convening

the DACAG and maximize opportunities to

provide feedback to CPUC proceedings,

programs, and processes.

Energy Division

Climate &

Equity

1- Support regular public meetings of the DACAG,

including broad outreach for attendance 2- Continue

to build pathways for DACAG feedback to inform CPUC

proceedings and programs 3- Coordinate with Low

Income Oversight Board (LIOB) on shared interests

2.2 Research & Analysis to Understand Impact

2.2.1

Study: Reliability and

Emissions Impacts of

Fossil Generation In and

Around Disadvantaged

Communities, including

the Impact of Storage

Alternatives

Conduct study within the Integrated

Resource Planning (IRP) proceeding

related to the retirement of gas resources

and ensure considerations for ESJ

communities are incorporated, including

the role of energy storage technologies to

ensure local reliability and reduce

emissions.

Energy Division

Generation &

Transmission

Planning

1- Conduct study as outlined 2- Ensure IRP parties are

interviewed for the purposes of the study 3- Consider

recommendations that take into account the

particular experience of ESJ communities

2.2.2

Study: Societal Cost Test

in Integrated Resource

Plans

Study a three-part Societal Cost Test (SCT)

as ordered by Integrated Distributed

Energy Resources (IDER) decision

including Social Cost of Carbon, Air

Quality Adder, and Social discount rate to

study the impact of these societal costs

on resource procurement.

Energy Division

Generation &

Transmission

Planning

1- Conduct study as outlined by the IDER proceeding 2-

Consider recommendations related to health and air

quality in ESJ communities

2.2.3

Study: Quantifying the

Air Quality Impacts of

Decarbonization in

California

Conduct a sector-specific study of the air

quality impacts of Transportation

Electrification, Building Electrification, and

other Distributed Energy Resources and

ensure considerations for ESJ

communities are incorporated.

Energy Division

Generation &

Transmission

Planning

1- Conduct study as outlined 2- Consider

recommendations related to health and air quality in

ESJ communities

2.2.4

Study: Baseline of

Greenhouse Gas

Emissions of Small-Scale

Biomass

Conduct study on emissions of small-scale

biomass facilities to understand

greenhouse gas and air emission impacts.

Energy Division

Renewable

Procurement

& Market

Development

1- Conduct study 2- Ensure ESJ community

representatives are interviewed for the purposes of

the study 3- Consider recommendations that take into

account the particular experience of ESJ communities

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

2.2.5

Providing Electric

Program Investment

Charge (EPIC) Research

and Development

Program Benefits to ESJ

Communities

In implementing EPIC projects, the CPUC

will ensure administrators place

increasing emphasis on: early

engagement with vulnerable

communities, ensuring projects benefit

California ratepayers, and identify

creative ways of engagement and

compensation.

Energy Division

Climate &

Equity

1- Understand community needs as they relate to

energy research 2- Create events, platforms, or other

means to increase coordination between researchers

and communities

2.3 Move Towards Mutual Eligibility & Maximizing Impact

2.3.1

Distributed Energy

Resources (DER) Action

Plan

Ensure a strong ESJ lens in the creation of

the plan, particularly in the Vision and

Action

elements.

Energy Division

Grid Planning

& Reliability

1- Complete Plan 2- Ensure inclusion of

recommendations related to potential impact and

benefit to ESJ communities

2.3.2

Consider Streamlined

Application Processes

and Enhance

Coordination for Low

Income and Clean

Energy Programs

Provide customers a single statewide

application to enroll in CARE, FERA, ESA

programs and explore additional

coordination opportunities with other

income-qualified and clean energy

programs and statewide efforts, including

California Air Resource Board’s (CARB)

Access Clean California (ACC) platform.

Energy Division

Energy

Efficiency

Procurement

& Portfolio

Management

and Customer

Generation

1- Establish a working group to define goals for a

Universal Application System, system requirements,

and opportunities for inter- and intra-agency solutions

with involvement from program and community

stakeholders. 2- Define a recommended path forward

to develop a Universal Application System solution as

a result of working group discussions 3- Conduct public

workshop to explore how program administrators can

enhance coordination through aligning customer

eligibility and increasing referrals and enrollment

across multiple programs 4-Coordinate with ESJ Core

Team on Commission-wide ESJ definitions and

alignment work

2.3.3

Leverage Scale of

California Alternative

Rates for Energy (CARE)

and Energy Savings

Assistance (ESA)

Programs to Cross-Refer

to Other CPUC

Initiatives

Regulated entities are directed to share

information with customers about

affordable broadband plans and other

clean energy programs. Additionally,

energy and water investor-owned utilities

(IOUs) are encouraged to exchange

information in order to facilitate more

enrollment in low-income water

assistance programs. Follow

implementation and pursue additional

Cross-

Commission

Energy

Efficiency

Procurement

& Portfolio

Management

1- Track effectiveness of cross-marketing and cross-

referral efforts 2- Consider opportunities to deepen

coordination efforts to maximize program uptake of

income qualified, disadvantaged, and hard-to-reach

customers, many of which reside in ESJ communities

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

opportunities for customer-focused

coordination.

2.4 Address Impacts in ESJ Communities

2.4.1

Understanding Impacts

to ESJ Communities in

Biomethane

Procurement

Assess potential impacts to ESJ

communities when considering and

recommending strategies for biomethane

procurement.

Energy Division

Building

Decarbonizatio

n & Renewable

Gas

1 - Conduct outreach to ESJ communities to

understand issues related to biomethane production

2- Understand impacts and potential benefits of

biomethane production 3- Consider recommendations

that take into account the particular experiences of ESJ

communities

2.4.2

Long Term Relief Due to

COVID-19 Pandemic:

Arrears &

Disconnections

Taking lessons learned from the Covid-19

pandemic, pursue opportunities to

continue providing bill relief for ESJ

customers struggling with arrears and

disconnections.

Energy Division

Retail Rates

1- Ensure ESJ communities are meaningfully included

in relevant proceedings and their lived experiences

documented in the proceeding record 2- Work

alongside sister agencies to maximize opportunities to

provide bill relief 3- Establish capacity funding for

CBOs to assist customers with arrears management

2.4.3

Pilot Utilization of

Affordability Metrics in

CPUC Proceeding

Pilot the use of affordability metrics in a

General Rate Case (GRC). Develop

pathway for including affordability

metrics in future GRCs and consider

geographically deaveraged or location

marginal pricing.

Energy Division

Retail Rates

1- Select pilot GRC for use of affordability metrics 2-

Share lessons learned regarding how affordability

metrics impact costs and rates 3- Explore

opportunities for wider adoption in CPUC proceedings

4- Coordinate with internal electric costs and retail

rate design groups to understand overlap between

affordability and the approval of utility revenue

requirements and retail rate designs

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

2.4.4

Net Energy Metering

(NEM): Ensuring

Equitable Incentives

As changes to the NEM tariff are put

forth, ensure that non-participating ESJ

ratepayers will not be detrimentally

impacted by changes to the tariff and will

instead benefit.

Energy Division

Customer

Generation

1- Ensure meaningful involvement of ESJ communities

in relevant proceeding and that potential impacts are

thoroughly explored

2.4.5

Dynamic Pricing:

Implementing Rate

Flexibility &

Management

In recognition of the need to protect ESJ

customers, pursue opportunities to

implement dynamic pricing to create

more equitable rate structures.

Energy Division

Retail Rates

1- Ensure meaningful involvement of ESJ communities

in relevant proceeding and that potential impacts are

thoroughly explored

2.4.6

Long Term Gas Planning

In the Long-Term Gas Planning

Rulemaking, ensure meaningful

stakeholder involvement and thorough

exploration of ESJ-related issues.

Energy Division

Gas Policy &

Reliability

1- Conduct proactive outreach to ESJ communities and

organizations to encourage becoming a party to the

proceeding or submitting public comment 2- Provide

expanded opportunities for dialogue related to the

existing gas infrastructure landscape and key

considerations to be made in the rulemaking

2.4.7

Understanding Diesel

Back Up Generators

(BUGs) and Potential

Impacts on ESJ

Communities

Assist state and local agencies with BUG

data to the extent the CPUC has access to

such information.

Energy Division

Demand

Response

1- Work alongside stakeholders and state agencies to

understand potential impacts

2.4.8

California

Environmental Quality

Act (CEQA):

Opportunities for

Alignment with Local

Planning

As it makes sense within the CPUC's CEQA

authority, highlight ESJ considerations in

preparation of comments. Consider what

local planning efforts have included

environmental justice or other social

justice elements and ensure that CPUC

review takes this into account.

Energy Division

Infrastructure

Planning &

CEQA

1- On a case-by-case basis, research local General

Plans and other key planning documents include an

environmental justice element or related component

2- Consider additional opportunities to address ESJ

issues in CEQA review 3- Work alongside sister

agencies, such as the Office of Planning and Research,

to understand how to maximize CPUC effectiveness in

this regard

2.5 Continue Ongoing Investment

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

2.5.1

Establish Equity

Segment of Program

Administrators’ Energy

Efficiency (EE) Portfolios

Within EE Portfolios – Implement an

Equity Segment that does not have to

meet cost effectiveness criteria comprised

of programs that provide energy,

greenhouse gas, and non-energy benefits

to hard-to-reach and underserved

customers as well as disadvantaged

communities, with the intention of

serving households, businesses, and

communities that are historically or

currently marginalized.

Energy Division

Energy

Efficiency

1- Establish working group (WG) comprised of

California Energy Efficiency Coordinating Committee

(CAEECC) stakeholders and organizations championing

ESJ principles 2- WG develop objectives that define

success for the Equity segment and its programs 3-

Conduct public workshop to engage diverse

community members and obtain feedback on

important topics, actions, and customer groups 4- WG

develop metrics that measure progress toward

achieving success 5- Consider opportunities for Equity

offerings to enhance the societal benefit of offerings

within the Market Support Segment

2.5.2

Continue Prioritization

of ESJ Communities in

Building

Decarbonization

Programs

Ensure that funding for ESJ communities

continues to be prioritized in BUILD and

TECH.

Energy Division

Building

Decarbonizatio

n & Renewable

Gas

1- Incorporate definitions that prioritize ESJ

communities in new phases of programs

2.5.3

Document Analysis of

Investment in

Electrification in San

Joaquin Valley

proceeding

Follow ongoing implementation of the

San Joaquin Valley Affordable Energy

program to document engagement,

awareness, and capacity building lessons

learned in working with CBOs and ESJ

communities on an electrification process

and determine how to best invest in

remaining communities in Phase 3.

Energy Division

Building

Decarbonizatio

n & Renewable

Gas

1- Share lessons learned, especially related to

community engagement led by CBOs and how to reach

residents of ESJ communities, with broader CPUC staff;

2- Consider expanding pilot to remainder of

communities or consider how to merge with the other

electrification efforts at the commission; 3- Develop

statewide strategies to barriers encountered in SJV

communities

2.5.4

Continued Prioritization

of ESJ Communities in

Microgrid Incentive

Program

Disseminate $200 million to vulnerable

areas and ensure criteria bolsters

opportunities for low-income and

vulnerable communities, people with

access

and

functional

needs,

tribal,

and

people who are on medical baseline or

electrically dependent to access funding.

Energy Division

Microgrids &

Resiliency

1- Monitor implementation of program, including

effectiveness in reaching ESJ communities and those at

high risk of electrical outage 2- Ensure proper

outreach is conducted to targeted communities

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to improve local air quality and public health. (25 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

2.5.5

Improving Access to

Electric Vehicle Charging

for ESJ Communities

Between investments made via ratepayer

funded transportation electrification (TE)

programs and funding the IOUs oversee

from Low Carbon Fuel Standard (LCFS)

credit revenue, ensure robust equity

requirements are incorporated and are in

alignment with sister agencies like the

California Air Resources Board (CARB) and

the California Energy Commission (CEC).

Energy Division

Transportation

Electrification

Building on past track record, consider incorporating

higher set-asides and prioritization of ESJ and

underserved communities for investments 2- Ensure

communities are meaningfully involved in the

development of program proposals as well as program

implementation to ensure buy-in and strong utilization

of charging infrastructure in the future

2.5.6

Continue Tracking and

Evaluation of Customer

Generation Programs

and Improve

Effectiveness in

Reaching ESJ

Communities

Track outcomes and lessons learned from

the following programs to better

understand effectiveness of incentive

programs and how to ensure maximum

impact: Multi-family Affordable Solar

Housing (MASH), Single-family Affordable

Solar Homes (SASH), Disadvantaged

Communities-Single-family Affordable

Solar Homes (DAC-SASH), Solar on Multi-

family Affordable Housing (SOMAH), Self-

Generation Incentive Program (SGIP),

Green Tariff (GT), Disadvantaged

Communities - Green-Tariff (DAC-GT),

Community Solar Green Tariff (CSGT)

Energy Division

Customer

Generation

1- Monitor metrics and outcomes of customer

generation programs, both those specific to ESJ

communities and those that are more broadly

available 2- Consider conducting geospatial analysis to

understand concentration of program uptake in ESJ

communities 3- Explore opportunities for program

modifications, stacking incentives, auto-enrollment,

and improved outreach to best reach ESJ communities

Goal 3: Strive to improve access to high-quality water, communications, and transportation services for ESJ communities. (17 Action Items)

Index

Action Item

Description

Coordination

Level

Lead Tentative Work Plan

3.1 Equitable Clean Transportation

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 3: Strive to improve access to high-quality water, communications, and transportation services for ESJ communities. (17 Action Items)

Index

Action Item

Description

Coordination

Level

Lead Tentative Work Plan

3.1.1

Implementation and

Monitoring of

Accessibility of TNCs and

AVs

Identify opportunities through

transportation proceedings and their

implementation to improve

transportation accessibility for ESJ

communities

Consumer

Protection &

Enforcement

Division

Transportation

Licensing &

Analysis

1- Share all TNC Access for All Staff Reports with the

ESJ Action Plan Committee (as ordered in Decisions) 2-

Summarize Accessibility data collected in TNCs’ Annual

Reports and AVs’ Quarterly Reports annually

3.1.2

Implementation of

Clean Mile Standard and

Impact on Drivers from

ESJ Communities

Consider how TNC drivers from ESJ

communities and the communities who

rely on TNC transportation will be

impacted by the Clean Miles Standard

Consumer

Protection &

Enforcement

Division

Transportation

Licensing &

Analysis and

Administrative

Law Judge

Division

1- Seek feedback from drivers in ESJ communities as

part of the development of Clean Mile Standard 2-

Assess CMS impacts on ESJ communities as data

become available throughout the life of the program.

3.2 Water Customer Resilience

3.2.1

Maximize Customer

Assistance Programs

(CAPs) and Arrearage

Management Plans

(AMPs) for Low-Income

Water Customers

Ensure that CAPs and AMPs are

appropriately and effectively marketed to

ESJ communities. Given the realities of

the Covid-19 pandemic, consider new

strategies for assisting low-income water

customers with water bill payment.

Water Division

Small

Company &

Compliance

1- Track implementation and outreach efforts of water

company CAPs and AMPs 2- Encourage sharing of best

practices and lessons learned 3- Explore additional

opportunities to assist low-income water customers

3.2.2

Understanding and

Acting on Affordability

of Water Rates

Given both the opportunity to utilize new

affordability metrics and information from

the Drinking Water Needs Assessment

from the State Water Resources Control

Board (SWRCB), continue to understand

where ESJ customers are experiencing

disproportionately high water rates.

Water Division

ALJ Support &

Compliance

1- Consider affordability metrics in water General Rate

Cases (GRCs) 2- With the aid of information from the

Drinking Water Needs Assessment, evaluate whether

there are water systems within CPUC's jurisdiction

where customers experience high rates that could be

ameliorated with consolidation 3-Consider whether

the CPUC should open an OIR on the subject of new

standards for consolidation of water utility systems

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 3: Strive to improve access to high-quality water, communications, and transportation services for ESJ communities. (17 Action Items)

Index

Action Item

Description

Coordination

Level

Lead Tentative Work Plan

3.2.3

Water Resilience and

Reliability in the Face of

Drought

Work with water utilities to plan for

continued conditions of drought, with

emphasis on addressing ESJ community

needs.

Water Division

ALJ Support &

Compliance

1- Consider and evaluate the resilience and reliability

challenges of regulated utilities 2- Consider opening an

OIR on Water Resiliency and Reliability to have utilities

proactively plan for future resilience needs 3- Work

with State Water Resources Control Board (SWRCB)

and Department of Water Resources (DWR) on overall

water resiliency and reliability planning, as well as the

Energy Savings Assistance Program (ESA) and the Low

Income Home Energy Assistance Program (LIHEAP) on

water conservation measures

3.2.4

Incorporating ESJ

Considerations into

Consolidations of Small

Water Companies

When reviewing consolidation

applications, utilize Cal Enviro Screen

water-related indicators, other tools, and

local engagement opportunities to

understand if consolidation would benefit

an ESJ community.

Water Division

Small

Company and

Compliance

1- Train Water Division staff on Cal Enviro Screen and

water-related indicators 2- Run analysis for every

consolidation application 3- Incorporate discussion of

ESJ issues into decisions and resolutions

3.3 Extend Rail Safety to ESJ Communities

3.3.1

Section 190: Grade

Separation at Existing

Crossings - Outreach &

Prioritizing ESJ

Communities

Revise Section 190 formula to include a

prioritization for ESJ communities. Ensure

ESJ communities and their local

governments are aware of opportunity to

apply for Section 190 funding.

Rail Safety

Division

Rail Crossings

& Engineering

1- Meet with sister agencies to understand

prioritization of ESJ communities in other formula-

based funding programs 2- Do initial mapping to

understand overlap between high accident rates and

CalEnviroScreen-defined disadvantaged communities

3- Update formula to include some prioritization of ESJ

communities 4- Conduct more proactive outreach to

local governments to apply for funding

3.3.2

Homeless

Encampments:

Continued Collaboration

with Local Governments

Continue collaboration between Rail

Safety Division and the News and

Outreach Office to meet with local

governments and other transportation

partners to triage issues related to

homeless encampments and accidents

along rail lines.

Rail Safety

Division

Railroad

Operations

Safety Branch

and News &

Outreach

Office

1- Create a plan for outreach in key areas where

potential strikes along rail lines are increased due to

encampments; schools and businesses; any local

activities that may create risks along tracks. 2- Ensure

a diversity of local government and community

organizations are involved alongside regulated railroad

companies

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 3: Strive to improve access to high-quality water, communications, and transportation services for ESJ communities. (17 Action Items)

Index

Action Item

Description

Coordination

Level

Lead Tentative Work Plan

3.3.3

Opportunities for ESJ

Comments in

Environmental Letters

Explore opportunities to incorporate

general comments in environmental

letters about assuring the consideration

of environmental and social justice issues

when designing and approving a project.

Rail Safety

Division

Rail Crossings

& Engineering

and Rail

Transit Safety

1- Create boilerplate language that can be adapted by

staff that speaks to ESJ issues 2- Disseminate amongst

staff and provide resource to assist in incorporating

comments

3.3.4

Involving ESJ

Communities in Rail

Proceedings

Work with News and Outreach Office to

ensure applications and proceedings are

proactively publicized to relevant local

governments and CBOs, especially those

in ESJ communities.

Rail Safety

Division

Rail Crossings

& Engineering

1- Contact News and Outreach Office when new rail

crossing application is received 2- Promote

opportunities to provide public comment in the

Docket Card

3.4 Extend Essential Communications Services to ESJ Communities

3.4.1

Increase Collaboration

and Knowledge Share

Across

Telecommunications

Public Purpose

Programs

Bring together Public Purpose Program

staff - including Lifeline, California

Advanced Services Fund (CASF), California

Teleconnect Fund (CTF), California High

Cost Fund (CHCF) Parts A & B, and Deaf

and Disabled Telecommunications

Program (DDTP) - to talk about shared

priorities, lessons learned, opportunities

to leverage advisory committees, and to

understand programmatic impact in ESJ

communities.

Communications

Division

Consumer

Programs

1- Establish staff-level working group. 2-Host meetings

to educate each other about programs and shared

issues. 3- Conduct cross-program analyses using GIS to

assess program impact across different geographical

areas.

3.4.2

Implementation of $6

billion Broadband

Legislation

Given significant new investment and

expansion of programs, ensure that

investments are benefiting as many ESJ

community members as possible, that

essential speeds are more available, and

that ESJ communities meaningfully

participate in the planning and

implementation of the programs and

investments.

Communications

Division

Consumer

Programs;

Broadband

Deployment

Branch

1- Ensure planning and implementation meaningfully

involves community-based organizations and

representatives from ESJ communities. 2- Use GIS to

identify ESJ communities that lack fixed broadband

speed of 25/3 or better. 3- Further, for areas that do

have 25/3 or better, ensure their rates do not create

affordability concerns.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 3: Strive to improve access to high-quality water, communications, and transportation services for ESJ communities. (17 Action Items)

Index

Action Item

Description

Coordination

Level

Lead Tentative Work Plan

3.4.3

Implementation and

Lessons Learned from

Tribal Technical

Assistance (TA) Program

Continue conducting outreach to

California tribes and disbursing funds as

part of the Tribal TA Program. Share

lessons learned and best practices related

to outreach, program structure, and

implementation.

Communications

Division

Tribal/Rural

Area

1 - Per D. 20-08-005, Communications Division is

assigned responsibility and authority to use California

Advanced Services Fund state operations funds to

provide technical assistance for Tribes. 2- Ensure tribes

across the state are aware of available grant funds and

opportunities to apply 3 - Continue ongoing outreach

4 - Update leadership and CPUC staff on successes and

lessons learned from the program, and how to utilize

as a model to reach other key ESJ populations

3.4.4

Continue Understanding

Challenges of ESJ

Communities with

Communications

Affordability

Understand more about concentrations of

unaffordability of communications

services in ESJ communities. Explore

opportunities to leverage new

investments to lower costs and increase

essential speeds.

Communications

Division

Broadband

Video

Markets;

Consumer

Programs;

[Broadband

Deployment

Branch

1- Utilize the Commission-adopted Affordability

Framework to inform programmatic and investment

work moving forward 2- Continue exploring what fixed

broadband speed should be deemed as part of

essential communications service.

3.4.5

Phone and Video Service

for Incarcerated Persons

Follow outcomes and lessons learned

from the proceeding. Continue to develop

innovative outreach, engagement, and

regulatory strategies to alleviate cost for

the priority population.

Communications

Division

Consumer

Programs

1- The Commission adopted Interim Rates for

Incarcerated Calling Services in D.21-08-037, on

August 19, 2021. Service providers were required to

submit an Interim Rate Compliance Report to the

Communications Division within 45 days of adoption,

and on a quarterly basis after that. The report must

include the current rate, billed minutes, revenues, and

ancillary fees, broken down by interstate and

intrastate.

3.4.6

Lessons Learned from

Lifeline Assessment

Understand lessons learned in conducting

a robust program assessment of a public

purpose program. Consider

recommendations related to prioritizing

ESJ communities.

Communications

Division

Consumer

Programs

1- Complete assessment 2- Understand lessons

learned from contractor related to outreach and

engagement for the purposes of the assessment 3-

Explore opportunities to prioritize ESJ communities in

outcomes of assessment

3.4.7

Continue Efforts to

Increase Access to

Continue

pursue

permanent

program

to improve access for foster youth, after

examining lessons learned from the i-

Communications

Division

Consumer

Programs

Continue

monitoring

outcomes

extended

iFoster

pilot program 2-Explore opportunities to partner with

state agencies or other organizations to close

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 3: Strive to improve access to high-quality water, communications, and transportation services for ESJ communities. (17 Action Items)

Index

Action Item

Description

Coordination

Level

Lead Tentative Work Plan

Lifeline Program for

Vulnerable Populations

Foster pilot program and begin to develop

similar programs either pilot or

permanent to address special needs of

other vulnerable populations such as

homeless and recently released

incarcerated people.

enrollment gaps for other vulnerable populations 3-

Consider permanent program changes to address gaps

identified by partners or in the Lifeline Assessment.

Goal 4: Increase climate resiliency in ESJ communities. (4 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

4.1 Emphasize Adaptive Capacity

4.1.1

Initiate Climate Change

Adaptation Planning

with Emphasis on

Disadvantaged

Vulnerable Communities

The CPUC will ensure electric and gas

utilities engage disadvantaged vulnerable

communities and describe specific actions

they will take in those communities, as

they assess the long-term vulnerabilities

to climate change of their infrastructure,

services, and operations, as well as share

best practices that are developed in the

process.

Energy Division

Climate &

Equity

1-Begin developing Community Engagement Plans 2-

Begin conducting climate change vulnerability

assessments with community engagement 3-

Summarize lessons learned

4.1.2

Consider Safety Policy

Responses to Climate

Change

Develop a visual tool to make California

climate change scenarios more accessible

to all in the context of utility

infrastructure impacts. Understand

downstream consequences to ESJ

communities and ensure meaningful

collaboration with ESJ representatives in

adaptation actions.

Safety Policy

Division

Security &

Resilience

1- Develop GIS tool 2- Develop situation report 3-

Ensure findings incorporate ESJ community

considerations based on collaborative community

engagement

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 4: Increase climate resiliency in ESJ communities. (4 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

4.1.3

Framework for

Integrating Resiliency

Planning and Evaluation

into Current Grid

Planning Policy

Devise a standardized view of the concept

of resiliency and adaptive capacity, and

how it can be measured.

Energy Division

Microgrids &

Resiliency

1- Continue alignment with Climate Adaptation

proceeding and subsequent implementation, as well

as other key processes such as the Risk Assessment

Mitigation Phase (RAMP) and General Rate Cases

(GRCs) 2- Develop tools to guide utilities in resilience

planning

4.1.4

Propose new RAMP

requirement in the

SMAP OIR proceeding to

address ESJ in the RAMP

reports.

Require IOU's to overlay planned

infrastructure mitigations on the

CalEnviroScreen map to identify what

portions of the mitigations would occur

within disadvantaged communities, when

geographic locations of proposed

mitigations are known. Include the DAC

proportion percentage of the mitigation in

the RAMP narrative and what risk

reduction is estimated for the DAC

portion.

Safety Policy

Division

Risk

Assessment &

Safety

Analytics

(RASA)

1-Propose this ESJ requirement in the next phase of

the SMAP 2.0 OIR proceeding.

Goal 5: Enhance outreach and public participation opportunities for ESJ communities to meaningfully participate in the CPUC’s decision-making process and benefit from

CPUC programs. (10 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

5.1 Improve Communication with an ESJ Lens

5.1.1

Fact Sheets and

Collateral Materials

Continue to update CPUC Fact Sheets and

Brochures to ensure information is up-to-

date and accessibly written.

Cross-

Commission

News &

Outreach

Office

1- Ensure CPUC website includes collateral materials

for key programs and initiatives 2- Revise and post

materials in need of updates 3- Consider developing

fact sheets for proceedings that may impact an ESJ

community which include key information such as

timelines to submit comments.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 5: Enhance outreach and public participation opportunities for ESJ communities to meaningfully participate in the CPUC’s decision-making process and benefit from

CPUC programs. (10 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

5.1.2

Translation of Key

Documents and

Collateral Materials

Translate key Fact Sheets and Brochures,

especially those aimed at consumers, into

critical languages spoken by Californians,

including Spanish, Chinese, and other

languages.

Cross-

Commission

News &

Outreach

Office

1- Prioritize what materials are in need of translation

2- Understand what key languages are needed 3- Post

to website

5.1.3

Email Communication

and Newsletters

Explore opportunities to streamline email

communications from the CPUC, including

establishing a centralized platform for

proactive and targeted communication.

Cross-

Commission

News &

Outreach

Office and IT

1- Explore opportunities to expand use of existing

email software to meet communications need 2-

Understand if existing capacity can handle a

centralization process 3-Understand if existing

capacity can handle targeted communications using

tags on proceeding related documents 3- Roll out any

new plan to relevant CPUC staff

5.1.4

Interpretation

Availability at CPUC

Meetings

Pursue standard policy for when to

incorporate interpretation services

outside of request process.

Cross-

Commission

News &

Outreach

Office

1- Explore the feasibility of providing in-language

technical assistance prior to hearings. 2- Draft

materials and share with CPUC staff regarding how to

request interpretation services, both for internal

purposes and for external needs 3- Consider a policy

with concrete criteria for when to incorporate

interpretation on a proactive basis.

5.2 Continue to Emphasize Engagement with Community Based Organizations (CBOs)

5.2.1

Engage CBOs Statewide

Work alongside utilities to understand

partnerships with CBOs, including their

statewide spread, funding landscape, and

opportunities to deepen engagement in

ESJ communities.

News & Outreach

Office and Energy

Division

News &

Outreach

Office

1- Gather information related to CBO partnerships and

their geographic reach 2- Consider opportunities for

deeper engagement in key geographies 3- Explore

areas for coordination between CPUC outreach efforts

and utility partnerships

5.2.2

Deepen Relationships

with CBOs in TEAM and

CHANGES

Continue to explore opportunities to

leverage network of CBOs working under

TEAM and CHANGES programs.

News & Outreach

Office

News &

Outreach

Office

1- Continue to work with lead contractor to

understand what CBOs are learning on the ground 2-

Continue to channel feedback within CPUC 3- Consider

convening CBO partners to share insights, lessons

learned, and explore further collaboration

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 5: Enhance outreach and public participation opportunities for ESJ communities to meaningfully participate in the CPUC’s decision-making process and benefit from

CPUC programs. (10 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

5.3 Build Pathways for Public Participation

5.3.1

Best Practices for Virtual

and Hybrid Meetings

Coming out of COVID-19 Pandemic,

promote virtual meetings that facilitate

broad participation.

Cross-

Commission

News &

Outreach

Office

1- As events return to being conducted in-person,

include a remote access option as appropriate and

ensure that remote participants can meaningfully

participate in event 2- Explore mobility challenges

related to accessing in-person events 3- Continually

review best practices and lessons learned on hybrid

community engagement, including when to

incorporate interpretation services, to offer internal

guidance for continual improvement

5.3.2

Public Participation in

Transportation

Proceedings

Work to create pathways for CBOs and

other intervenors to be able to better

participate and provide feedback for

proceedings and programs related to

transportation network companies

(TNCs), autonomous vehicles (AVs),

charter-party carriers (TCPs), passenger

stage corporates (PSGs), and vessel

common carriers (VCCs)

Consumer

Protection &

Enforcement

Division and

Administrative

Law Judge

Division

Transportation

Licensing &

Analysis

1- Explore opportunities to expand Intervenor

Compensation Program (ICOMP) for purposes of

funding participation in transportation proceedings 2-

Work with the Public Advocates Office (PAO) to

identify CBOs for ESJ communities and proactively

engage them to participate through CPUC’s public

comment options and transportation proceedings

5.4 Enhance Engagement with Particular ESJ Communities

5.4.1

Engage and Serve

Communities with

Access and Functional

Needs

Work with AFN representatives to better

understand key issues, collaborate with

communities with AFN, and serve their

needs in CPUC regulatory policy.

Safety Policy

Division

Security &

Resilience

1 - Continue with baseline work within Safety Policy

Division; 2 - Determine overlapping proceeding work

and/or outcomes with ESJ priorities 3 - Determine

which CPUC regulatory policies at year 1 and year 2

serve the needs of individuals and communities with

AFN.

5.4.2

Bolster CPUC's Tribal

Land Transfer Policy

Via a rulemaking process, revisit the Tribal

Land Transfer Policy and ensure lessons

learned thus far ensure that tribal

communities can maximize benefits and

opportunities available.

Executive

Office

Executive

Office - Tribal

Advisor

1- Open rulemaking to consider key questions in

updating the Policy 2- Ensure a diversity of tribal

perspectives are included in the rulemaking process 3-

Maximize opportunities for tribes to take advantage of

the Policy

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 6: Enhance enforcement to ensure safety and consumer protection for ESJ communities. (10 Action Items)

Index

Action Item

Description

Coordination

Level

Lead

Tentative Work Plan

6.1 Protect ESJ Consumers

6.1.1

TEAM/CHANGES

Program Updates

Have TEAM/CHANGES contractor present

to the Low-Income Oversight Board (LIOB)

annually to offer on-the-ground

perspectives of customers with Limited

English Proficiency (LEP).

News & Outreach

Office

News &

Outreach

Office

1- Work with LIOB to set briefing on calendar 2 -

Prepare presentation and post online for remote

access 3- Consider other venues and opportunities to

share insights

6.1.2

Strategize Use of

Consumer Affairs Data

in ESJ Policies

Work with ESJ liaisons to determine if and

how Consumer Affairs Branch (CAB) data

can contribute to and inform ESJ policies.

Cross-

Commission

News &

Outreach

Office

1- CAB will present to ESJ liaisons and explain the type

of data that is collected 2 - ESJ Liaisons and CAB will

brainstorm whether this data could contribute to any

existing or future ESJ policies at the CPUC

6.2 Conduct Proactive Action & Analysis in Transportation and Utility Enforcement

6.2.1

Proactively Initiate

Compliance Checks in

ESJ Communities

Consider opportunities to proactively

work in ESJ communities to ensure

compliance with CPUC regulations.

Consumer

Protection &

Enforcement

Division

Transportation

Licensing &

Analysis,

Transportation

Enforcement,

Utility

Enforcement

Analyze complaint data to understand overlap with

ESJ communities and adjust enforcement strategies as

appropriate

Consider prioritizing ESJ communities when

performing compliance checks or conducting field

enforcement work

6.2.2

Include ESJ filters in

quarterly scanning of

CAB complaints to

identify trends and

patterns of consumer

issues in ESJ

communities

Identify potential targets for inquiries

and/or investigations using Census data to

identify complaints occurring within ESJ

communities.

Consumer

Protection &

Enforcement

Division

Utility

Enforcement

UEB analyzes CAB data to identify targets for inquiries

and/or investigations. Using Census data, staff will

identify ESJ communities to further delineate

complaints from these communities

1-Analyze monthly energy and telecommunications

CAB complaint data 2-Filter complaints for relating to

ESJ

communities

using

census

data

3-Identify

patterns

and changes 4-Target subjects for inquiry or

investigation

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 6: Enhance enforcement to ensure safety and consumer protection for ESJ communities. (10 Action Items)

Index

Action Item

Description

Coordination

Level

Lead

Tentative Work Plan

6.2.3

Expand Opportunities to

Leverage Enforcement

Action Settlements for

ESJ Purposes

Building on long-running practice of

supporting low-income and ESJ-related

programs, consider ESJ communities

when considering alternative

enforcement options.

Consumer

Protection &

Enforcement

Division

Transportation

Enforcement

and Utility

Enforcement

Develop internal CPED guidance on how to optimize

settlement agreements to benefit ESJ communities

when settlement funds are available stemming from

UEB / TEB enforcement actions

Implement this practice of considering ESJ

communities in all future settlement agreements

stemming from enforcement actions when legally

permitted

6.2.4

Analysis of Potential

Redlining in ESJ

Communities by

Transportation Network

Companies (TNCs)

Analyze existing data to understand if

passenger carriers are systematically

serving ESJ communities differently.

Consumer

Protection &

Enforcement

Division

Transportation

Licensing &

Analysis

Branch

1- Determine if patterns of bias exist in TNC service to

ESJ communities compared with others, by analyzing

TNC data to include drop-off and pick-up locations,

fares charged, and trip acceptance rate 2- Explore

opportunities to publish report with findings

6.2.5

Analysis of Potential

Redlining in ESJ

Communities by

Transportation Network

Companies (TNCs)

Analyze existing data to understand if

passenger carriers are systematically

serving ESJ communities differently.

Consumer

Protection &

Enforcement

Division

Transportation

Enforcement

Branch

1- Open an investigation if analysis and report by

Transportation, Licensing, and Analysis Branch (TLAB)

suggests probable violations 2- Take appropriate

enforcement action as warranted by the facts of the

investigation

6.3 Apply ESJ Lens to CPUC Enforcement Policy

6.3.1

Develop an ESJ Lens for

New CPUC Enforcement

Policy

Based on lessons learned from sister

agencies, develop a training on ESJ issues

and guidance on how to approach

enforcement from an ESJ perspective.

Consider

pilot

opportunities.

Cross-

Commission

ESJ Core Team

1- Consult sister agencies on opportunities to do

targeted enforcement actions in ESJ communities.

Gather best practices. 2- Develop ESJ lens for CPUC

Enforcement Policy. 3- Consider pilot exercises.

6.4 Maximize Opportunities within Utility Audits

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 6: Enhance enforcement to ensure safety and consumer protection for ESJ communities. (10 Action Items)

Index

Action Item

Description

Coordination

Level

Lead

Tentative Work Plan

6.4.1

Develop a Community

Engagement Step to Gas

and Electric

Infrastructure Safety

Inspection Process

In performing ongoing audits and

inspections of both electric and gas

infrastructure, add a step that includes

outreach and engagement with the

community to develop a more holistic

picture of on-the-ground safety

conditions. Consider specific guidance for

conducting safety inspections in ESJ

communities.

Safety &

Enforcement

Division

Electric Safety

& Reliability

and Gas Safety

& Reliability

1. Add a step to existing safety inspections and audits

that engages the community to record any

experiences and/or concerns with safety of the

infrastructure. 2. Ensure SED staff know how to access

support resources and consider training on

implementation. Involve New & Outreach staff in area

for assistance with community outreach.

6.4.2

Data Analysis and

Mapping of Audit Data

and Incident Reports to

Understand Geographic

Distribution and

Potential ESJ Cumulative

Impact

Work with existing data from past gas and

electric infrastructure audits and

inspections to understand if ESJ

communities suffer safety burdens or any

potential "hotspots" of issues. Consider

development of process for ongoing

geographic analysis to identify safety

problems in these communities.

Safety &

Enforcement

Division

Electric Safety

& Reliability

and Gas Safety

& Reliability

1. Conduct a pilot to map selected citation data from

selected safety inspections and audits, to identify

possible correlation with the number of safety

citations in a location and the type of community. 2.

When an inspection team audits an operator’s records

and facilities, SED should confirm that it reviewed an

adequate number of field facilities located in ESJ

communities. 3. Develop an internal process to

continue ongoing geographic analysis of safety

incidents and how to handle potential identification of

"hotspots". 4. Consider opportunities to publish

results of analysis.

Goal 7: Promote high road career paths and economic opportunity for residents of ESJ communities. (5 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

7.1 Maximize Authority to Promote High Road

7.1.1

Implementation of MOU

with CA Workforce

Development Board

Continue working with CWDB to provide

recommendations to CPUC proceedings

to encourage utilities to foster high road

career paths.

Cross-

Commission

ESJ Core Team

1- Develop best practices resource with input from

stakeholders and ESJ communities 2- Share lessons

learned, and best practices developed thus far with

CPUC staff and sister agencies 3- Provide direct

feedback and recommendations to CPUC staff on what

workforce-related components could be incorporated

into policies and programs

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Goal 7: Promote high road career paths and economic opportunity for residents of ESJ communities. (5 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

7.2 Educate on High Road Careers

7.2.1

Share CPUC-specific Best

Practices

Provide presentations, training, and

resources to CPUC staff regarding

strategies and practices of a high road

approach to workforce development, as

well

other

practices

already

underway

within the CPUC and best practices from

other regulatory agencies.

Cross-

Commission

ESJ Core Team

1- Develop a brief primer on the high road, including

Governor's Executive Orders, key principles and

definitions, and examples of incorporation into CPUC

programs and/or policies 2- Disseminate across CPUC

7.3 Partner with Utilities and Sister Agencies

7.3.1

Expand the Impact of

Best Practices

Provide presentations, training, and

resources to regulated utilities and sister

agencies in support of replicating the high

road measures adopted by the CPUC

across California's portfolio of clean

energy and transportation investments.

Cross-

Commission

ESJ Core Team

1- Develop a brief primer on the high road, including

Governor's Executive Orders, key principles and

definitions, and examples of incorporation into CPUC

programs and/or policies 2- Disseminate across state

government

7.3.2

Leverage Sister Agencies

to Maximize High Road

Opportunities for ESJ

Communities

Build relationships and partnerships with

sister agencies with business-related

missions, including the Contractors State

Licensing Board (CSLB), to maximize high

road job opportunities for ESJ

communities in industries under CPUC

oversight.

Cross-

Commission

ESJ Core Team

1- Work with CWDB to understand sister agencies with

potential mission and industry alignment 2- Build

relationships and pursue partnership opportunities to

improve labor practices and working conditions within

industries that are under CPUC oversight and target

ESJ communities for services and employment

7.3.3

Furthering Utility

Supplier Diversity

Examine

how

proceedings

impact

supplier

and workforce diversity and assess

resulting impacts on ESJ communities.

News & Outreach

Office

News &

Outreach

Office

outcome

proceedings,

especially

relates to supplier diversity and impacts on ESJ

communities

Goal 8: Improve training and staff development related to ESJ issues within the CPUC’s jurisdiction. (8 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

8.1 Bolster Staff Knowledge on ESJ Issues and Resources

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Goal 8: Improve training and staff development related to ESJ issues within the CPUC’s jurisdiction. (8 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

8.1.1

Division-Specific

Training on

Incorporating ESJ Issues

into Proceedings

Work within each CPUC division to

provide tailored trainings for staff on how

to incorporate ESJ issues into CPUC

processes.

Cross-

Commission

ESJ Core Team

1- Create a baseline training 2- Engage industry

division leadership to schedule training and develop

division-specific content 3- Deliver in partnership with

ESJ Liaison

8.1.2

ESJ Session at New

Employee Orientation

(NEO)

Continue to host ESJ session at NEO,

including background on redlining and the

environmental justice movement, key

definitions, and where staff can access

resources.

Cross-

Commission

ESJ Core Team

1- Continue refining curriculum 2- Pursue

opportunities to provide similar training to staff that

are not new employees

8.1.3

Web Resources - CPUC

ESJ Action Plan

Webpage and Internal

ESJ Resource Website

Update and maintain ESJ Action Plan

webpage. Build out internal ESJ

SharePoint website and ensure it is

updated with helpful resources and tools

for CPUC staff.

Cross-

Commission

ESJ Core Team

1- Update ESJ Action Plan webpage with relevant

information and remove old content 2- Update

internal ESJ SharePoint to include external guides and

resources, as well as library of all internal training

materials and additional state resources 3- Ensure

staff are aware of different webpages

8.1.4

Tribal Engagement

Training

Establish commission-wide protocols for

training on engaging with tribes.

Cross-

Commission

Executive

Office - Tribal

Advisor

1- Develop training materials to improve staff

awareness of best practices for tribal engagement 2-

Develop plan for disseminating information to relevant

commission staff 3- Consider including Tribal

Engagement training in New Employee Orientation or

other commission-wide professional development

opportunities

8.2 Support Emerging Priorities and Skill Needs

8.2.1

Alignment with

Upcoming Racial Equity

Action Plan (REAP)

Support CCORE cohort to implement

forthcoming CPUC REAP and support any

efforts to conduct training for staff on

racial equity issues.

Cross-

Commission

Office of the

Commission

1- Follow development and finalization of Racial Equity

Plan 2- Understand where there is alignment with ESJ

Action Plan and opportunities for collaboration 3- Be

strong, visible allies and proponents of the Racial

Equity Plan

8.2.2

Community Engagement

Training for CPUC Staff

Based on existing Community

Engagement and Outreach Curriculum,

modify, and implement a training to

educate

staff

effective

and

meaningful

practices for involving ESJ communities in

CPUC efforts.

Cross-

Commission

ESJ Core Team

1- Review State Agency CEO Curriculum 2- Confer with

CCORE staff on CEO best practices and adapt for CPUC

CEO purposes 3- Offer training opportunities on a

regular basis 4- Partner with News and Outreach to

deliver training

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Goal 8: Improve training and staff development related to ESJ issues within the CPUC’s jurisdiction. (8 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

8.2.3

Advance Diversity,

Equity, and Inclusion

Continue to pursue staff training to foster

a work culture that values diversity and

aims to be representative of California

populations.

Cross-

Commission

Human

Resources

Division

1- Continue offering trainings to promote diversity in

hiring 2- Detail success, challenges, and opportunities

in annual Human Resources Division Annual Review

8.2.4

Meeting Facilitation

Training for Staff

Offer training to CPUC staff on facilitation

and how to run effective workshop

and/or community meeting.

Cross-

Commission

ESJ Core Team

1- Review existing curricula on effective meetings and

workshop ideas 2- Work with HR Training Office to

adapt for CPUC purposes 3- Consider having an

outside consultant or sister agency deliver

components of training 3- Deliver to CPUC staff and

offer a virtual option for ongoing access

Goal 9: Monitor the CPUC’s ESJ efforts to evaluate how they are achieving their objectives. (4 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

9.1 Establish Consistent Quantitative Metrics

9.1.1

Metrics to Measure

Impact, Community

Outreach & Engagement

Develop metrics, criteria, and guidance to

ensure that programs and/or funds are

having the intended effect and measure

meaningful and effective outreach and

engagement.

Cross-

Commission

ESJ Core Team

1-Catalogue the existing set of data and metrics

currently being used by utilities to measure

community engagement 2- Review best practices in

the field and consult sister agencies 3-Develop

customizable set of criteria for utility outreach,

engagement,

and

benefit

community

Sync

with

efforts to align Marketing, Education, and Outreach

(ME&O) Plans within Energy Division

9.1.2

Data Collection:

Standardizing Data

Requests & Key ESJ

Indicators

Create an internal working group to look

at issues related to standardization in

data requests, the quality of the data,

how it can be shared and used given

privacy concerns, and how to utilize key

indicators to perform equity/ESJ analyses.

Cross-

Commission

Office of the

Commission

1- Create Working Group; 2- Create data request

templates for various categories of data requests; 3-

Highlight key indicators/metrics that should be used to

understand ESJ impacts; 4- Explore the need for a

working group of internal and external stakeholders

impacted by CPUC’s data collection efforts.

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Goal 9: Monitor the CPUC’s ESJ efforts to evaluate how they are achieving their objectives. (4 Action Items)

Index

Action Item Description

Coordination

Level

Lead Tentative Work Plan

9.1.3

Geographic Distribution

of Low-Income

Programs + Ongoing

Analyses

Institute practice of evaluating geographic

distribution of program uptake and policy

implementation to understand outreach

gaps and if ESJ communities are especially

impacted.

Cross-

Commission

ESJ Core Team

1- Ensure CPUC staff is well educated in

CalEnviroScreen and other equity tools, as well as how

to perform simple geospatial analysis 2- Initiate

analysis in key programs, with the goal of making it

standard practice across all programs 3- If there are

particular ESJ impacts (i.e., program not reaching

priority communities or a particular policy

disproportionately impacting ESJ communities), take

steps to address the issue

9.2 Promote Meaningful Feedback Loops

9.2.1

Metrics to Measure

Satisfaction,

Comprehension, and

Experience

Identify qualitative information-gathering

strategies of utilities and evaluative

spectra to help measure issues such as

comprehension, satisfaction, and

effectiveness of utility marketing,

education, and outreach. Ensure there are

pathways to act on information received.

Cross-

Commission

ESJ Core Team

1- Review best practices in the field and consult sister

agencies 2-Develop customizable set of qualitative

criteria for satisfaction, comprehension, and

experience 3- Sync with efforts to align Marketing,

Education, and Outreach (ME&O) Plans within Energy

Division 4- Develop strategy which includes but is not

limited to interviews and surveys in collaboration with

ESJ communities on key issues of interest 5- Conduct

surveys in ESJ communities and analyze results.

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Appendix B:

Summary of February 2021 Workshop

This Appendix provides a summary of the CPUC ESJ Action Plan – Update Workshop held on February 3

& 4, 2021. This summary highlights commentary shared during the various sessions of the workshop and

feedback received via email. It is not a full transcript, nor does it include everything submitted via the chat

box. To view session recordings and full chat logs from the workshop, please visit:

www.cpuc.ca.gov/ESJActionPlan.

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Turn Out Numbers for February 2021 ESJ Action Plan - Update Workshop

External Participants (Utilities, Community Based Organizations, etc.) 438

Internal Participants (CPUC Staff) 190

TOTAL PARTICIPANTS 628

Comments Received via Email

Small Business Utility Advocates East Bay Community Energy

Institute for Governance & Sustainable Development

(IGSD)

Richard Skaff

California Water Association HolLynn D’Lil

Pacific Gas & Electric (PG&E) Connie Arnold

Steven Birdlebough and William Smith

Key Themes from Workshop

• Partnerships with community-based organizations (CBOs) are essential to reaching and

benefitting ESJ communities. Ensure these partnerships are resourced and that CBOs are given

room to deploy a variety of strategies to meet community needs.

• Think about what it takes to do meaningful engagement. CPUC meetings and activities should

strive to be more accessible and welcoming.

• Coordinate and align as much as possible. In order to best reach ESJ communities and maximize

impact, programs and policies should align both eligibility criteria and outreach efforts. Leverage

work of sister agencies as well.

• Work towards more transparency of data and information. Provide stakeholder and CPUC staff

with tools and resources to facilitate analysis of ESJ issues and impacts.

• Reconsider traditional cost-effectiveness measures. Understand how investments benefit ESJ

communities.

• Prioritize accessibility of programs and meetings to populations with access and functional needs.

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Workshop Session Summaries

CPUC Programs and Policies

• Introductory remarks from Kathleen Yip (CPUC) focused on how there are many different

definitions and terms used to define vulnerable and disadvantaged communities. Definitions are

important because they are used to make decisions and to determine eligibility in programs. The

goal with this session is to raise awareness around definitions, and to discuss how to update

these terms to further ESJ Action Plan goals.

• Remarks from Amee Raval (Asian Pacific Environmental Network) addressed three main points.

First, that definitions matter. Definitions especially matter when targeting protections and

investments, especially for communities that have experiences historical injustices, such as

redlining and underinvestment. Communities face multiple complex challenges, and there is

therefore a need for a range of different tools to capture and address those. Second, having an

adaptive approach to crafting definitions is important for balancing tension between inclusive

approaches and more targeted approaches. A balanced approach, for the purposes of ESJ

definitions, means that the definition arrived at will depend on the problems a program or policy

is meant to solve. If decision makers take into consideration and evaluate these problems, they

should land in an appropriate definition. But they should be guided by some form of general

framework. Third, definitions should be guided from a community perspective. A people

centered approach helps to maximize community benefits.

• Kathleen Yip (CPUC) notes that having many different definitions can create confusion for both

state agency staff and the public. There will be an attempt to catalogue all used definitions with

the CPUC. Beyond that, should a framework or template for definitions be developed to help

guide CPUC staff and stakeholders?

• Key takeaways from discussion include:

» No single definition can be applied to a multitude applications and programs. That would be

reductive. A definition, just like criteria, needs to be adaptive to sets of issues that are

distinct. But a foundation, baseline, or an analysis of overlap and distinctions, would be

helpful.

» We must understand that a group has names for itself that we need to be mindful and

respectful of, rather than just calling them “Disadvantaged Communities.”

» There is a need to balance between having very prescriptive, targeted definitions that are

hard to communicate with ensuring that wealthier communities do not take advantage of

incentives, for example. Collaboration and being adaptive will be key here.

» Interagency cooperation is very important, both to understand their definitions and priorities

and to move quickly to meet climate change demands.

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» How do we get communities to the table, what are their barriers and how can they overcome

them? We must recognize racism and other inequalities that have ensured that some

communities do not even get information on decision-making, and that some communities

technically, on paper, do not “exist,” and do not even know about their barriers. We must

think about adaptive and flexible methods to address their needs.

» Could consider a “baseline” definition with “plug and play” options to help with

streamlining definitions.

» Tools like CalEnviroScreen are very useful, but not inclusive of all needs especially around

vulnerability. Tools should be adaptive.

BREAKOUT SESSIONS: ESJ in CPUC Industry Divisions

TRANSPORTATION & RAIL

• Matthew Bond (CPUC) and Terra Curtis (CPUC) ask for suggestions of how the ESJ Action

Plan can incorporate action items related to transportation network companies (TNCs) and rail

safety.

• Section 190 is a state program that funds grade separation for existing at-grade rail crossings.

Could consider opportunities to prioritize ESJ communities for this program.

• Data related to TNCs (such as Lyft and Uber) could be looked at in a geographic way to

understand impacts in ESJ communities. Especially related to where pick-ups are or are not

happening. There has not been much TNC data published publicly since 2015. Within this year,

should be able to share more about that question.

• Are there opportunities to regulate TNC-related smog and congestions, such as limiting number

of TNC drivers that can be on the road? This is likely a question for local governments and

CPUC could engage and collaborate more at the local level on these kinds of questions.

• How can CPUC help with issues of homeless encampments along railroads? How can we bring

people together around the issue?

• How can we involve more community in transportation and rail related proceedings? The

process can be complicated, and Intervenor Compensation is not available for these categories

of proceedings. Need to be proactive in engaging people and seek opportunities to fund down

the road.

• Planning for electric vehicle charging infrastructure occurs within the Energy Division, currently

being thought through in the Transportation Electrification Framework.

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TELECOMMUNICATIONS

• Wylen Lai (CPUC) and Michael Minkus (CPUC) ask participants to reflect on the experience of

their communities with broadband/internet during the COVID-19 pandemic, about how to

better understand the impact of communications public purpose programs from a geographic

perspective, and to highlight any other issues.

• Broadband access in rural communities is challenging with such limited infrastructure. Families

are having to choose between rent, food, and broadband during this time all while losing

employment. Programs and opportunities are not always made to service residents. Without

broadband access, can feel cut off from the rest of society.

• Many monolingual families rely on their children to familiarize with technology and how to

transition to online learning. Those that have children in school have better access to broadband

resources.

• Southern California experiences a lot of challenges, especially related to affordability.

• Need to see big companies, like T-Mobile and Frontier, more involved in these discussions.

• Digital divide is not new, some sort of technical assistance or incentive for jurisdictions to apply

to these programs is needed. Also, need to ensure mobile homes are eligible for programs.

• Public purpose programs need to have a true social justice lens and barriers to applying need to

be removed. There used to be funding for direct community outreach and support, this

approach is stronger than leaving the carriers to do it.

• Consider leveraging existing advisory groups to involve communities. Also, if phone companies

having people in parking lots to get customers to sign up for carrier phones, why are they not

also signing customers up for Lifeline?

• Can we use examples of creative partnerships formed during the COVID-19 pandemic (between

schools and businesses) to better promote broadband access?

• As we move towards more remote access, going to perpetuate same inequities we’ve always had

– monolingual, immigrant, black, brown and people of color being excluded from decision-

making process. CPUC and carriers must hear directly from residents about broadband issues.

• Need to also keep an eye on internet speed.

• Rethink cost effectiveness strategies. If we continue to work within that framework, it will

continue to perpetuate same inequality we have today.

• Communities are limited in ability to participate on advisory committees. Need to consider

having funding and stipends, a welcoming environment, bring information to the community

and work on their turf. Also there used to be limitations that if you participated in an advisory

committee than you could not participate in CPUC-funded grant projects. Hopefully that has

changed.

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WILDFIRE SAFETY

• Koko Tomassian (CPUC) introduces topic of the Wildfire Threat Maps. These maps were

scoped and developed to identify areas prone to catastrophic fires and areas for increased safety

regulations. Adopted for a specific proceeding and a specific purpose, with a ten-year refresh

schedule. This map underpins utility operations and decision making to mitigate wildfire risk. As

use of map evolves and we evaluate how or whether the map should be updated, how can we

place ESJ considerations of the map?

» Map could be adapted related to the objectives of the CPUC. For example, if the objective

to look at prevention, then the map would look different.

» Can also consider how does it integrate with other maps (such as the community wildfire

protection plans that exist in local government level)?

» Could incorporate fire threat map with other programs. How does this map influence other

types of decision making? What other contextual factors can the map account for?

» What are the goals for the map? Do utilities know where medically vulnerable groups are?

Safety is important and need maps of these populations

» Need to also consider safety for those who have already experienced fires and the effect of

that.

» Could also consider a communications dependence overlay. May be useful for evacuation

purposes and emergency communications.

• Shrayas Jatkar (CA Workforce Development Board) introduces topic of wildfire preparation

industry and vegetation management. This is a very fast-growing industry and there are

implications for worker safety, climate change, grid resilience and increased employment

opportunities.

» Need to think about the quality of jobs. Currently a lot of reliance on foreign guest workers

to do work for low pay and in hazardous working conditions. There is no standardized set of

skills or training. Some new policy tools, such as SB 247 and a new training program, are

helping in this space.

» Need to encourage workforce development in this field as there is a big need. Need to be

cautious this does not distract utilities from their responsibilities. Should get more voices

involved, including wildfire survivors, and more meaningfully consider public comments.

» There is a high fatality rate and very little safety training in forestry workforce. Another issue

is lack of enforcement. Need to create a requirement that contractors must demonstrate that

workers receive adequate training before getting into state contracts.

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Systematizing ESJ Considerations: Incorporating ESJ Issues in

to CPUC Proceedings and Processes

• Mad Stano (Greenlining Institute) remarks that pollution burden and burden of utility costs are

truly life threatening. We must root our thinking on viewing it as such and not just on processes

and intending that these processes will resolve impacts at local levels. There is now legislative

guidance to require meaningful conversations from communities most impacted by pollution.

We cannot decarbonize without centering voices of community, and we cannot implement just

and reasonable rates without centering those most impacted. We need to make a case for

systematizing this approach. Communities and justice are administered through CPUC activities

and actions. How do we reform criteria that leadership is held to when making decisions?

• Administrative Law Judge (ALJ) Ava Tran (CPUC) shares that the CPUC has been working on

how to approach ESJ issues within its proceedings. ALJs are being encouraged to discuss ESJ

issues within rulings to determine whether or not there are any impacts and to cope in any

issues. News and Outreach team can assist by creating an outreach plan to inform interested

parties and advise local organizations on how to become parties to proceedings. There are other

opportunities to get involved, such as providing public comment. How do we ensure we have

sufficient representation in proceedings? How do we better scope ESJ issues into proceedings?

What should we be looking at to consider any potential impacts?

• Key takeaways from discussion include:

The CPUC has been one of the most difficult organizations to create a pipeline for

communication and brining community participation forward. There needs to be an

emphasis on hearing from local voices.

» The San Joaquin Valley Affordable Energy proceeding offers a better model.

» Incorporating a geographic analysis and pairing that with community engagement can help

drive a substantive and long-standing commitment to responding to issues.

» Could be good to learn from AB 617 Community Air Protection implementation. How can

the CPUC both learn from and implement community input through community-based

organizations and leveraging ongoing efforts of sister agencies?

» There is a difference between “service list” outreach and true community engagement and

outreach. It is scary to think of the small group of people that are involved as parties and

people that are apart of decision-making process, yet their decisions and processes impact a

larger population.

» Intervenor Compensation does not solve the issue of involving communities. One example

includes waiting 3-4 years for compensation.

» Community organizations need more technical assistance to support participation in

programs and proceedings. Often a lawyer is needed. Need to think about how community

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members can be involved, and be specific (I.e., a different strategy for Spanish speakers and

Hmong speakers).

» Need to build more public understanding of the CPUC’s role. Local folks to not know the

connection or the importance of the CPUC’s role.

» While a lot of money has become available because of the pandemic, it has revealed a

“digital desert” with communities not having enough expertise to be able to apply to

programs to connect communities with resources. Need technical assistance to help with

access.

» If there is a way to create meaningful conversations and discussions to allow community

members to learn and provide input on proceedings. As a community organization, it is hard

to find proceedings, so hard to imagine the energy and work it would take for community

members. Encourage the CPUC to make information more accessible- visualization tools,

more outreach, videos, translation, —it can empower communities to provide their input.

Tracking and Measuring: Data Collection to Better

Understand CPUC Impact in ESJ Communities

• Kathleen Yip (CPUC) opens the session by highlighting the focus being on quantitative data and

issues of collection, transparency, tracking, and impact on ESJ communities.

• Jamario Jackson (Transform) remarks that the CPUC should recognize harms and injustices to

the communities it serves and protects. To do so, it must ask: what are indicators that can show

harms and injustices? Once the CPUC answers that, it can start making improvements.

Historically, government and industry have both created these harms. Some are intentional,

others are not. All these make for challenges. The CPUC covers many sectors so standardized

indicators are different across these, and so we need strategies to tackle that.

• Area where a lot of improvement can be made is to go beyond data and look at how is data

collected and its impact. Another area is to consider areas where there is no data, which requires

data stewardship, and ethical considerations, both internal and external. Yet another area of

improvement is transparency. Data should be accessible and easily discoverable.

• Iain Fisher (CPUC Public Advocates Office) highlights the challenge of getting a person-

centered approach to utility data management. In the CPUC, there are a vast range of

approaches to data. In sum, each proceeding has a set of question for which it gathers data,

which makes that dataset unique to that proceeding and question. But there are in the CPUC

examples of broad data collection efforts, e.g., broadband data, which answers many questions

that can be used in the future for different purposes. In general, there needs to be more cross-

division standardization.

• Kathleen Yip highlights that we cannot fix what we cannot measure. CPUC needs to be

accountable and show that we do what we say we will do. One primary issue is the lack of

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standardization. Because of this lack, we cannot compare programs or proceedings. Another

issue is that utilities can submit data in cumbersome formats and on different scales and metrics.

The quality of the data is inconsistent - how to address that? How do we make data both better

and more accessible to the public, given privacy and confidentiality issues? How do we measure

impact on public policy? One attempt at an answer is to create standard baseline. To do that, we

can ask: which indicators ought to be included from an ESJ perspective? What types of data

would be useful across proceedings, projects, and programs?

• Iain Fisher points out that to improve quality you need to understand the business process of

utilities: what points of the business process do you need to measure?

• Jamario Jackson looks back at the ESJ Action Plan and asks to focus on ensuring protection and

benefits to consumers. How do you measure that? Recommend breaking it into smaller chunks

and asking the community what the indicators they feel strongly about.

• Iain Fisher reminds that we need to ask what data utilities should collect and what do they have

the right to collect.

• Kathleen Yip remarks that a key challenge is to figure out how to publish data that protects

privacy on an accessible portal on the CPUC website that can be used by the public. Iain Fisher

further mentions that privacy is very important and affects utilities, customers, citizens.

Important to mention that part of reason why the CPUC is careful in treading into granular data

is privacy issues. Avoids collecting some levels of data for this reason. What we need to do is

build a framework on privacy for the CPUC.

• Jamario Jackson mentions one opportunity is that if data from different sources is imported into

the same tool, that is an opportunity to explore implications and see patterns. One example

could be to see how power shutoff data can be plugged in with redlining data to see if there’s

correlation. Such an approach would allow advocates to experiment with data. If CPUC

provided such data, community organizations could use it. However, even when we have data,

sometimes we are not heard by lawmakers and decisionmakers. Strength comes from marrying

data with ground troop communities.

• Key takeaways from discussion include:

» Being able to standardize data from the three big IOUs, specifically disconnections data,

would save a lot of time and energy on the analytical end.

» Could consider a geographically focused pilot on standardizing data.

» There is some standardization happening in wildfire space with GIS templates used to map

utility assets. Still big issues with quality of data and privacy issues when it comes to

publishing.

» Privacy becomes a hard challenge to manage. With transportation as an example - When you

want to improve service or understand behavior, you need pick up and drop off data, and

that can suggest movement patterns. On the other hand - as consumers we release a lot of

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such data to companies unknowingly and knowingly. Only some people should maybe see it.

Merits a larger conversation. Equity and integrity are important.

There is a dissonance between those that gather data and those that live the disparity. The

data gathering and data must be relevant for people affected, people who live the disparity.

Must be understanding when communities sometimes do not want to share information

with government. Need to consider strategies that don’t require add-on information (like

addresses, etc.)

» Organizational patterns of IOUs might be inappropriate for ESJ data gathering. We need

person or community level data. Collecting and ground truthing data with communities can

be married with utility level data collection.

Public Comment Session

• Consider how to keep workshop participants in contact and engaged. Could do quarterly or

regular engagement.

• All utilities should have a medical baseline program. Additionally, what is the CPUC doing to

ensure cell service has backup power during shut off events? What is the CPUC doing to ensure

utilities meet Public Safety Power Shut Off guidance? When will funds be added to the Self-

Generation Incentive Program (SGIP).

• Need to consider how Community Choice Aggregators (CCAs) play into these ESJ topics and

issues.

• Stakeholders with a lot of political and financial capacity can advocate for programs that fit their

needs. We need programs with less barriers so that they are equitable. Sometimes regulation

results in high barriers and it isn’t equitable.

• Take a closer look at consultants who prepare reports and analyses for the CPUC. Consultants

from out of state may have little connection to communities and history in California.

• Community is not involved in transition to solar and electrification. Mandates are coming top

down and not from community. Need to look at grassroots efforts. Education is missing in

these communities.

• On issues related to zero-emission vehicles (ZEVs) and equity, the Governor’s Office has

pointed to the CPUC. What is the CPUC doing to promote equity with ZEV deployment and

charging infrastructure?

• Shocked that there are no comments from the disability community today. It is indicative of a

lack of trust between the CPUC and the disability community. Disability needs vary. It is not

clumped together in zip codes. It is not a political group even though it has so many common

needs.

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• Should not use privacy as an excuse to hide or obscure data.

• We need backup power during shutoffs. There is also a lack of cell service during power outages.

Additionally, Transportation Network Companies (TNCs) do not provide service to people with

physical disabilities.

• Significant challenges with logging in to Web Ex Platform. Zoom should be used.

• CPUC is catering to the interest of the utilities and not disabled people. Concerns are life and

death. Knows of someone who had the power shut off by PG&E and died shortly thereafter

struggling to breathe. Need to make sure battery backup systems are available to disabled

community.

BREAKOUT SESSIONS: ESJ in CPUC Industry Divisions

ENERGY

• Amy Mesrobian (CPUC) and Alison LaBonte (CPUC) highlight there are currently 65 action

items from the Energy Division in the current ESJ Action Plan

• Communities of color and low-income communities require a greater amount of funds to reach

them and a more concerted effort. If programs are put out first come-first serve, early adopters

and those who are motivated would take first advantage of those opportunities. Therefore,

saying that that a budget is “equally available” is not equitable, because it might not reach ESJ

communities.

• CPUC and IOUs are outreaching to the same communities and others remain uncontacted.

Need more, smaller community organizations who can get outreach contracts as they will have

the relationships and time to explain programs to new customers.

• Information that the IOUs request is too detailed and hard for customers to access and provide.

Need to increase funding to smaller groups and provide adequate training to those doing

outreach.

• Customers on the ground are not as satisfied with the Energy Savings Assistance Program

(ESAP). IOUs are number driven and when another grassroots organization does outreach does

not produce the same numbers, but they do longer term personal relationships where people go

into the homes or on the phone to help these people make the changes. Need to accept a

transformation in how we outreach to people to educate and not just dropping literature at

people’s doors. Need to foster long term behavioral changes, which is a longer process

• CPUC should help community organizations get funding for outreach, education of their staff,

and education of the community.

• On solar issues, 80% of people are disqualified because they have bad roofs, so how are we

helping ESJ homeowners if we cannot help them repair their roofs?

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• As far as avoiding unintended impacts, be realistic and really evaluate what goes into making

these programs helpful to families you are trying to reach.

• There are also a lot of scammers out there. The CPUC needs to be more proactive in regulating

or screening for those scammers.

• Major challenges with how CPUC looks at cost-effectiveness. Need to consider non-energy

benefits which can include pollution reduction, quality of services, and person-oriented

decisions. CPUC is instead focused on IOU bottom line.

• To find best practices and good models, look to community organizations that are already doing

the work and have funding at risk of being taken away. Seek ways to support them in their

ongoing, grassroots efforts.

• Need to understand that a consumer’s life choices have many different factors, not just focused

on one specific issue. Assumptions in program design often do not take this into account.

• Standing relationships with community organizations can have the most benefit. Build in these

relationships when you are building a new program. Also consider working with Community

Choice Aggregators (CCAs) on program design issues.

• Create an institutional process map to make it clear to CPUC internally and externally – when

and where community engagement can make a difference.

• Consider opportunities to align eligibility criteria across programs, alongside need for home and

roof repairs.

SAFETY & ENFORCEMENT

• Liz Podolinsky (CPUC) and Nicole Cropper (CPUC) outline how the Safety and Enforcement

Division (SED) deals with both gas and electric safety issues as well as wildfire safety and can

identify violations and file citations.

• How can ESJ concerns be overlapped with safety considerations? Once example could be in

wildfire context and guidelines for alerting utility customers about events.

• It is important for SED to understand its role in terms of equity. For example, if a community

member saw a safety issue and had a concern and they made a call into the CPUC or they

provided a public comment. What is the expectation from SED in terms of that response? Is

expectation to respond to that in 24-48 hours? How does this relate to response time by utilities?

• Another way to look at this is looking at how public participation is measured. Is there a public

participation hearing (PPH) taking place? How is it seen and processed through proceeding? Do

public comments end up meeting requirements of proceedings? There needs to be an objective

or measure of proceedings in order to implement ESJ lens to this work.

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• PPHs are good. There should be no proceeding without a PPH. CPUC needs to ask how

hearings can be approached in different ways (due to time pressures in different proceedings but

also different community needs). CPUC should not bypass the opportunity to engage

community members into proceedings.

• Be descriptive of how public engagement is evaluated and how public participation will be

merged into decision making process.

• We must understand what contributes to risks, how are risks different within particular

communities—urban, rural environment. Understanding ESJ issues is within the expectations

and measurement of tools to understand the full scope of the issue.

• Hammering Home: how you engage the public is how risks can be measured.

• CPUC has recently adopted an enforcement policy to set forth policies for all divisions that are

under CPUC to take enforcement actions—investigations, penalties, settling cases. One thing we

have started to work on is guidelines when we approve supplemental environmental projects

SEPs) in lieu of penalties. How much of a penalty should be mitigated, what the nexus between

violation and remedial actions that are taken?

• Examples of SEPs that benefit disadvantaged communities include installing air filtration devices

in schools, community centers, and residences to reduce the community’s exposure to air

pollution; monitoring groundwater quality from infiltrating stormwater to detect harmful

contaminants; providing regular health screenings for affected communities; or providing

community members training to enable them to identify environmental violations and to notify

regulatory agencies of those violations.

• SED could consider using CalEnviroScreen to identify environmentally burdened communities

that may need tailored enforcement actions. Maybe those communities could receive more safety

audits? Perhaps the penalties for violations in these communities could be higher? Perhaps those

communities can get quicker service?

WATER

• Steve St. Marie (CPUC) and Jefferson Hancock (CPUC) describe key ESJ-related efforts within

the Water Division, including the Low-Income Water proceeding and the Affordability

proceeding.

• Interest in workforce development programming and existing partnership with the CA

Workforce Development Board, which looks to promote high quality jobs for ESJ communities

within CPUC programs and policies.

• Specific to consolidation of small water systems, what are opportunities to streamline the

consolidation process with benefits to ESJ communities? Need to better understand barriers for

acquisition from the utility perspective. CPUC is mostly interested in the cost of acquisition and

subsequent rate impacts to both new and existing customers.

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• How is the CPUC looking to diversify its own workforce? Currently has a cohort participating in

California Capital Cohort on Race and Equity to develop a CPUC Racial Equity Plan. Also have

a new Diversity, Equity, and Inclusion Working Group looking more internally at staff needs.

• Different tools for looking at disadvantaged communities are highlighted, including

CalEnviroScreen and tool from Department of Water Resources.

• Consolidation issue is challenging. A system may have low rates but may be poorly maintained

with poor water quality. But how do you protect against rate impacts? Sometimes people want to

be left alone in rural communities and do not want to be part of larger utility.

Making the Most of Marketing, Education & Outreach

(ME&O): Maximizing Impact and Aligning Strategies

• Whitney Richardson (CPUC) remarks that the CPUC has a strong interest in insuring utility

customers are well informed of programs and how dollars are being spent to reach program

goals. How can the CPUC ensure that programs reach specific customers?

• Alex Garibay (Southern California Edison) explains that utilities develop marketing and

education programs for customers and that equity is core to their work. SCE works closely with

community-based organizations that can share information across multicultural groups.

• Key takeaways from the discussion include:

» Leveraging 211/311 resources in local communities can be helpful. Ready-made

infrastructure for outreach.

» IOUs often look to quantify information (number of bill inserts, etc.) and in no other

industry would a marketing and communication campaign be looked at in such a way.

Instead, it Is critical to look at how that communication is being interpreted by the user. Not

just the number of pamphlets distributed.

» Need time and investment in hard-to-reach communities so they understand programs

available. Need to also have patience to have a conversation about the program.

Communities are capable of understanding, but a pamphlet may not be enough.

» Do not measure success based on cost effectiveness. Sometimes pamphlets do not work all

that well. Instead, a meeting with a giant poster may be more effective.

» Give community organizations the funding to do this type of engagement.

» Continual education is needed to achieve behavior change

» With partnerships with community organizations, it takes time and trust to build a

collaborative relationship. Make it clear this is teamwork.

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» Creative strategies with COVID-19 pandemic – Communities holding meetings through

WhatsApp as it uses much less bandwidth and using Facebook Live. Ask community

members how they get messages and what it takes to get them to engage. You are asking for

community time, have the resident feel valued.

» People can be wary of the CPUC and utilities. Need to take that into account.

» Consider using neighborhood faces in local outreach campaigns. Highlight community

organizations doing the work and celebrate it.

» Come up with a list of community organizations throughout the state that people can filter

and have easy access to for outreach purposes.

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Appendix C:

Key ESJ Definitions & Statutes

This guide is meant to be an initial resource to assist in incorporating ESJ issues into CPUC

proceedings, programs, and processes. This guide is NOT an exhaustive list of definitions, nor does

it reflect the only definition for a particular term. When using this guide, please note whether a term

is defined in statute (and therefore should not be modified for CPUC use) or if a term can be

adapted.

This resource will continue to be updated and available internally on the CPUC ESJ SharePoint

website.

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Environmental Justice and Equity Concepts

Term

(In

alphabetical order)

Definition

Adaptive Capacity

44F

The ability of systems, institutions, humans, and other organisms to adjust to potential damage, to take

advantage of opportunities, or to respond to consequences.

Climate Justice

45F

Ensures that the people and communities who are least culpable in the warming of the planet, and most

vulnerable to the impacts of climate change, do not suffer disproportionately because of historical

injustice and disinvestment.

Community Engagement

Cumulative Impacts

46F

Result when the effects of an action are added to or interact with other effects in a particular place and

within a particular time.

Disproportionate Impacts

47F

Occurs when policies, practices, rules, or other systems that appear to be neutral impact different groups

in different ways.

Distributive Justice

48F

Fairness in the distribution of rights or resources.

IPCC, 2014: Climate Change 2014: Impacts, Adaptation, and Vulnerability, Annex II, Glossary, p. 1758,

https://www.ipcc.ch/site/assets/uploads/2018/02/WGIIAR5-AnnexII_FINAL.pdf

https://www.environmentalhealth.org/index.php/en/what-we-do/climate-justice

https://www.epa.gov/sites/default/files/2014-08/documents/cumulative.pdf

https://www.shrm.org/resourcesandtools/tools-and-samples/hr-qa/pages/disparateimpactdisparatetreatment.aspx

https://post.ca.gov/procedural-justice-and-police-legitimacy

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Term

(In

alphabetical order)

Definition

Environmental Justice

49F

Environmental justice is the

fair treatment

and

meaningful involvement

of all people regardless of

race, color, national origin, or income, with respect to the development, implementation, and

enforcement of environmental laws, regulations, and policies. This goal will be achieved when everyone

enjoys:

• the same degree of protection from environmental and health hazards, and;

• equal access to the decision-making process to have a healthy environment in which to live,

learn, and work.

Equity

50F

Equity is transforming the behaviors, institutions, and systems that disproportionately harm people of

color. Equity means increasing access to power, redistributing, and providing additional resources, and

eliminating barriers to opportunity, in order to empower low-income communities of color to thrive and

reach full potential. Greenlining’s definition of equity is specific to racial equity, given the legacy of

institutionalized racism by government. Our emphasis on race is not about excluding other marginalized

groups. These equity approaches are intended to also be applicable to creating equitable outcomes for

other groups such as the elderly and people with disabilities.

Ground Truth

51F

Information obtained by direct observation of a real system, as opposed to a model or simulation.

High Road

52F

“High road” means a set of economic and workforce development strategies to achieve economic

growth, economic equity, shared prosperity, and a clean environment. The strategies include, but are not

limited to, interventions that:

Gov. Code, § 65040.12, subd. (e)

https://greenlining.org/publications/reports/2019/making-equity-real-in-mobility-pilots-toolkit/

https://www.lexico.com/en/definition/ground_truth

https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=UIC&division=7.&title=&part=&chapter=2.&article

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Term

(In

alphabetical order)

Definition

(1) Improve job quality and job access, including for women and people from underserved and

underrepresented populations.

(2) Meet the skill and profitability needs of employers.

(3) Meet the economic, social, and environmental needs of the community.

Institutional Racism

53F

Institutional racism refers to the policies and practices within and across institutions that, intentionally or

not, produce outcomes that chronically favor, or put a racial group at a disadvantage. Poignant examples

of institutional racism can be found in school disciplinary policies in which students of color are

punished at much higher rates that their white counterparts, in the criminal justice system, and within

many employment sectors in which day-to-day operations, as well as hiring and firing practices can

significantly disadvantage workers of color.

Japanese American

incarceration sites

Sakura Conservation Strategies

Meaningful Involvement

54F

Means that 1) potentially affected community members have an appropriate opportunity to participate

in decisions about a proposed activity that will affect their environment or health; 2) the public’s

contribution can influence an agency’s decision; 3) the concerns of all participants involved will be

considered in the decision-making process; and 4) the decision-makers seek out and facilitate the

involvement of those potentially affected.

Procedural Justice

55F

Fairness and the transparency of the processes by which decisions are made.

https://www.aspeninstitute.org/blog-posts/structural-racism-definition/

https://www.epa.gov/sites/production/files/2015-02/documents/team-ej-lexicon.pdf

https://post.ca.gov/procedural-justice-and-police-legitimacy

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Term

(In

alphabetical order)

Definition

Public Participation

Racial Equity

56F

Racial equity refers to what a genuinely non-racist society would look like. In a racially equitable society,

the distribution of society’s benefits and burdens would not be skewed by race. In other words, racial

equity would be a reality in which a person is no more or less likely to experience society’s benefits or

burdens just because of the color of their skin. This is in contrast to the current state of affairs in which

a person of color is more likely to live in poverty, be imprisoned, drop out of high school, be

unemployed and experience poor health outcomes like diabetes, heart disease, depression, and other

potentially fatal diseases. Racial equity holds society to a higher standard. It demands that we pay

attention not just to individual-level discrimination, but to overall social outcomes.

Stakeholder Engagement

Structural Racism

57F

A system in which public policies, institutional practices, cultural representations, and other norms work

in various, often reinforcing ways to perpetuate racial group inequity. It identifies dimensions of our

history and culture that have allowed privileges associated with “whiteness” and disadvantages associated

with “color” to endure and adapt over time. Structural racism is not something that a few people or

institutions choose to practice. Instead, it has been a feature of the social, economic, and political

systems in which we all exist.

Transportation

Network

Company

58F

Transportation Network Company (TNC) uses an online-enabled platform to connect passengers

with drivers using their personal, non-commercial, vehicles.

https://www.aspeninstitute.org/blog-posts/structural-racism-definition/

6-20-17 Item 14 Transportation Network Company Activity Report.pdf (sfmta.com)

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Spectrum of Community Engagement – International Association of Public Participation

Increasing Impact on the Decision

Inform Consult Involve

Collaborate Empower

Public

Participation

Goal

To provide the public

with balanced and

objective information to

assist them in

understanding the

problem, alternatives,

opportunities and/or

solutions.

To obtain public

feedback on analysis,

alternatives and/or

decisions.

To work directly with

the public throughout

the process to ensure

that public concerns and

aspirations are

consistently understood

and considered.

To partner with the

public in each aspect of

the decision including

the development of

alternatives and the

identification of the

preferred solution.

To place final decision

making in the hands of

the public.

Promise

to the Public

We will keep you

informed.

We will keep you

informed, listen to, and

acknowledge concerns

and aspirations, and

provide feedback on

how public input

influenced the decision.

We will seek your

feedback on drafts and

proposals.

We will work with you to

ensure that your

concerns and aspirations

are directly reflected in

the alternatives

developed and provide

feedback on how public

input influenced the

decision.

We will work together

with you to formulate

solutions and

incorporate your advice

and recommendations

into the decisions to the

maximum extent

possible.

We will implement what

you decide.

https://sustainingcommunity.wordpress.com/2017/02/14/spectrum-of-public-participation/

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CPUC Definitions for Environmental and Social Justice and Disadvantaged

Communities

Term (in alphabetical

order)

Definition

Access and Functional

Needs (AFN)

60F

This population includes individuals who live with developmental or intellectual disabilities, physical

disabilities, chronic conditions, injuries, limited English proficiency or who are non-English speaking, are

older adults, children, people living in institutionalized settings, or those who are low income, homeless, or

transportation disadvantaged, including, but not limited to, those who are dependent on public transit or

those who are pregnant.

California Native

American Tribe

“California Native American tribe” means a Native American tribe located in California that is on the contact

list maintained by the Native American Heritage Commission for the purposes of Chapter 905 of the Statutes

of 2004. See Public Resources Code § 21073. California Native American tribes include both federally

recognized and non- federally recognized tribes.

Community- Based

Organization

The term “community-based organization means a public or private nonprofit organization of demonstrated

effectiveness that—

A) is representative of a community or significant segments of a community; and

B) provides educational or related services to individuals in the community.

Disadvantaged

Communities (DAC)

61F

(Water)

“Disadvantaged community” means the entire service area of a community water system, or a community

therein, in which the median household income is less than 80 percent of the statewide annual median

household income level.

AB 2311. https://leginfo.legislature.ca.gov/faces/billCompareClient.xhtml?bill_id=201520160AB2311&showamends=false

Health and Safety Code Section 116426

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Term (in alphabetical

order)

Definition

Disadvantaged

Vulnerable

Communities (DVC)

62F

(Climate Adaptation)

“Disadvantaged Vulnerable Communities” or “DVCs” consist of communities in the 25% highest scoring

census tracts according to the California communities Environmental Health Screening Tool

(CalEnviroScreen); as well as all California tribal lands, census tracts with median household incomes less

than 60% of state median income; and census tracts that score in the highest 5% of Pollution Burden within

CalEnviroScreen, but do not receive an overall CalEnviroScreen score due to unreliable public health and

socioeconomic data.

Low Income

Households

63F 64F

Low-income households are those with household incomes at or below 80 percent of the statewide median

income or with household incomes at or below the threshold designated as low income by the Department of

Housing and Community Development's list of state income limits adopted pursuant to Section 50093.

Low Income

Communities

65F 66F

Low-income communities are census tracts with median household incomes at or below 80 percent of the

statewide median income or with median household incomes at or below the threshold designated as low

income by the Department of Housing and Community Development's list of state income limits adopted

pursuant to Section 50093.

D.20-08-046

HSC § 39713

Please note that individual CPUC programs may have low-income designations defined in statute that supersede this definition or may use federal poverty guidelines

to define low-income.

HSC § 39713

Please note that individual CPUC programs may have low-income designations defined in statute that supersede this definition or may use federal poverty guidelines

to define low-income.

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Term (in alphabetical

order)

Definition

Hard-to-Reach

(HTR)

67F

Two criteria are considered sufficient if one of the criteria met is the geographic criteria defined below. There

are common as well as separate criteria when defining hard-to-reach for residential versus small business

customers. The barriers common to both include:

• Those customers who do not have easy access to program information or generally do not participate

in energy efficiency programs due to a combination of language, business size, geographic, and lease

(split incentive) barriers. These barriers to consider include:

Language – Primary language spoken is other than English, and/or

Geographic – Businesses or homes in areas other than the United States Office of Management and Budget

Combined Statistical Areas of the San Francisco Bay Area, the Greater Los Angeles Area and the Greater

Sacramento Area or the Office of Management and Budget metropolitan statistical areas of San Diego

County

• For small business added criteria to the above to consider:

Business Size – Less than ten employees and/or classified as Very Small (Customers whose annual electric

demand is less than 20kW, or whose annual gas consumption is less than 10,000 therms, or both), and/or

Leased or Rented Facilities – Investments in improvements to a facility rented or leased by a participating

business customer

• For residential added criteria to the above to consider:

Income – Those customers who qualify for the California Alternative Rates for Energy (CARE) or the Family

Electric Rate Assistance Program (FERA), and/or

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Term (in alphabetical

order)

Definition

Housing Type – Multi-family and Mobile Home Tenants (rent and lease)”

Modification: include disadvantaged communities (as designated by CalEPA) in the geographic criteria for hard-

to-reach customers.

Indian Country The term Indian country is defined in 18 U.S.C. § 1151 and 40 C.F.R. § 171.3 as:

a. all land within the limits of any Indian reservation under the jurisdiction of the United States

Government, notwithstanding the issuance of any patent, and including rights-of-way running

through the reservation

b. all dependent Indian communities within the borders of the United States whether within the original

or subsequently acquired territory thereof, and whether within or without the limits of a state; and

c. all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way

running through the same.

Consistent with the statutory definition of Indian country, as well as federal case law interpreting this

statutory language, lands held by the federal government in trust for Indian tribes that exist outside of formal

reservations are informal reservations and, thus, are Indian country.

Socioeconomic

Vulnerability Index

(SEVI)

68F

The Socioeconomic Vulnerability Index (SEVI) metric represents the relative socioeconomic standing of

census tracts, referred to as communities, in terms of poverty, unemployment, educational attainment,

linguistic isolation, and percentage of income spent on housing. This metric therefore considers how a rate

change may affect one community’s ability to pay more than another’s.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=202120220SB156

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Term (in alphabetical

order)

Definition

Underserved

Communities

69F

Underserved community means a community that meets one of the following criteria:

• Is a “disadvantaged community” as defined by subdivision (g) of Section 75005 of the Public

Resources Code.

• Is included within the definition of “low-income communities” as defined by paragraph (2) of

subdivision (d) of Section 39713 of Health and Safety Code.

• Is within an area identified as among the most disadvantaged 25 percent in the state according to the

California Environmental Protection Agency and based on the most recent California Communities

Environmental Health Screening Tool, also known as CalEnviroScreen.

• Is a community in which at least 75 percent of public school students in the project area are eligible to

receive free or reduced-price meals under the National School Lunch Program?

• Is a community located on lands belonging to a federally recognized California Indian tribe?

Unserved Household

70F

(Broadband)

“Unserved area” for the California Advanced Services Fund broadband infrastructure grants means a

household for which no facility-based broadband provider offers broadband service at speeds of at least 25

megabits per second (mbps) downstream and one mbps upstream.

71F

https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=201920200AB841

https://codes.findlaw.com/ca/public-utilities-code/puc-sect-281.html

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Eligibility Criteria Requirements for CPUC Energy, Communications, and Water

Consumer Programs

Program

Eligibility Criteria

California Alternate Rates

for Energy (CARE)

72F

Income eligibility for CARE participation is set at 200% or less of Federal Poverty Guidelines.

Family Electric Rate

Assistance (FERA)

73F

Total family income eligibility for FERA participation is set between 200% and 250% of Federal Poverty

Guidelines.

Energy Savings Assistance

(ESA) Program

74F

Income eligibility for ESA participation is set at 200% or less of Federal Poverty Guidelines.

Multi-family Affordable

Solar Housing (MASH)

75F

• Solar energy system installations on existing multifamily affordable housing that meets the

definition of low-income residential housing established in Pub. Util. Code 2852

• Eligibility under Pub. Util. Code Section 2852 defines “low-income residential housing” as one of

the following: Multifamily residential complex financed with one or more of the following:

 low-income housing tax credits

 tax-exempt mortgage revenue bonds

 general obligation bonds

 local, state, or federal loans or grants

• Multifamily residential complex in which at least 20% of the total housing units are sold or rented

to lower income households

https://www.cpuc.ca.gov/consumer-support/financial-assistance-savings-and-discounts/california-alternate-rates-for-energy

https://www.cpuc.ca.gov/consumer-support/financial-assistance-savings-and-discounts/family-electric-rate-assistance-program

https://www.cpuc.ca.gov/consumer-support/financial-assistance-savings-and-discounts/energy-savings-assistance

Pub. Util. Code 2852; MASH Program Handbook.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

Single-family Affordable

Solar Homes (SASH)

76F

• Receive electrical service from Pacific Gas & Electric (PG&E), Southern California Edison (SCE),

or San Diego Gas & Electric (SDG&E),

• Own and live in their home,

• Have a household income that is 80% or below the area median income (AMI),

• Live in a home defined as “affordable housing” by California Public Utilities Code 2852.

Disadvantaged

Communities-Single-

family Affordable Solar

Homes (DAC-SASH)

77F

• Available to customers who live in DACs and meet the income eligibility requirements for the

CARE and FERA programs or residents of California Indian Country.

• Homeowners must live in one of the top 25 % most disadvantaged communities statewide

• Be a billing customer of Pacific Gas & Electric (PG&E), Southern California Edison (SCE), or

San Diego Gas & Electric (SDG&E)

Solar on Multi-family

Affordable Housing

(SOMAH)

78F

• Incentives for solar projects on affordable multifamily properties to achieve 300 MWs by 2030

• Available to affordable multifamily properties occupied by households with a majority of tenants

with incomes at or below 60% of the area median income or be located in a disadvantaged

community as identified by the California Environmental Protection Agency (CalEPA).

• Multifamily properties must be in PG&E, SCE, SDG&E, PacifiCorp, or Liberty territories to

participate

AB 217; SASH Handbook; https://www.cpuc.ca.gov/industries-and-topics/electrical-energy/demand-side-management/california-solar-initiative/csi-single-family-

affordable-solar-homes-program

SB 535 Disadvantaged Communities; AB 327; https://oehha.ca.gov/calenviroscreen/sb535; Decision D.18-06-027; D.20-12-003;

https://www.cpuc.ca.gov/industries-and-topics/electrical-energy/solar-in-disadvantaged-communities

AB 693 (2015) “Multifamily Affordable Housing Solar Roofs Program”; Decision 17-12-022; https://www.cpuc.ca.gov/somah; https://calsomah.org/

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

Green Tariff/Shared

Renewables Program

(GTSR)

(Enhanced Community

Renewables)

79F

• The 600 MW GTSR program includes a specific 100 MW reservation for customers and projects

in areas identified by the CalEnviroScreen tool as being in one of the 20% most disadvantaged

census tracts in each IOU

• Small projects—those under 1MW capacity—which are developed in EJ Communities are eligible

for a Utility Power Purchase Agreement if their prices fall within 200 percent of the maximum

executed contract price, rather than 120 percent for standard GTSR power purchase agreements.

Disadvantaged

Communities - Green-

Tariff (DAC-GT)

80F

• A 158MW program available for Residential customers in DACs who meet the income eligibility

requirements for the CARE and FERA programs.

• Homeowners must live in one of the top 25 % most disadvantaged communities statewide or the

census tracts in the highest 5 percent of CalEnviroScreen's Pollution Burden or;

• Be a billing customer of participating utility or Community Choice Aggregator.

Community Solar Green

Tariff (CSGT)

81F

• A 41MW program available for Residential customers in DACs or in San Joaquin Valley (SJV)

pilot communities identified in R.15-03-010.

• CSGT projects must be in DACs within 5 miles of DAC(s) where subscribing customers reside or

within 40 miles for SJV pilot communities.

• 50% of a project’s output must be subscribed by customers eligible for CARE or FERA.

• Customers must live in one of the top 25 % most disadvantaged communities statewide or the

census tracts in the highest 5 percent of CalEnviroScreen's Pollution Burden or;

• Be a billing customer of participating utility or Community Choice Aggregator.

SB 43; https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201320140SB43

327;

Decision

D.18-06-027,

D.18-10-007

and

D.20-07-008;

https://oehha.ca.gov/calenviroscreen;

https://www.cpuc.ca.gov/SolarInDACs/#DAC_GT

AB 327; Decision D.18-06-027 and D.18-10-007; R.15-03-010; https://oehha.ca.gov/calenviroscreen; https://www.cpuc.ca.gov/SolarInDACs/#CSGT

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

The CPUC plans to implement implements key changes in the CASF from SB 156, SB 4, and AB 14 for relevant accounts.

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

California Advanced

Services Fund (CASF)

Broadband

Adoption Account

82F

Eligible applicants are local governments, senior centers, schools, public libraries, nonprofit organizations,

and community-based organizations with programs to increase publicly available or after school

broadband access and digital inclusion, such as digital literacy training programs are eligible to apply for

grants.

California Advanced

Services Fund (CASF)

Rural and Urban Regional

Consortia Account

83F

An eligible Consortium, as specified by the Commission, may include representatives, of organizations

including, but not limited to, local and regional government, public safety, elementary and secondary

education, health care, libraries, postsecondary education, community-based organizations, tourism, parks,

and recreation, agricultural, business, workforce organizations, and air pollution control or air quality

management districts. An eligible Consortium is not required to have as its lead fiscal agent an entity with

a certificate of public convenience and necessity.

California Advanced

Services Fund (CASF)

Broadband Infrastructure

Account

84F

Senate Bill (SB) 156, enacted and effective on July 21, 2021, made many changes to the CASF.

Additionally, SB 4 and Assembly Bill (AB) 14, enacted and effective on October 8, 2021, continued

funding of the CASF program beyond 2022 to December 31, 2032.

Some of the changes relevant to the

85F

CASF Infrastructure Account include:

• Redefining “unserved area”—The previous definition was “unserved household,” meaning a household

with service at six megabits per second (Mbps) downstream and one Mbps upstream. The current

operative definition is: “unserved area means an area for which there is no facility-based broadband

provider offering at least one tier of broadband service at speeds of at least 25 Mbps downstream, three

Mbps upstream, and a latency that is sufficiently low to allow real-time interactive applications,

AB 1665

Decision (D.) 18-10-032

Pub. Util. Code Section (b)(2)(B)(i)

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

considering updated federal and state broadband mapping data.” The statute also replaced the references

to “households” with “areas.”

• Priority to areas with slow or no internet—Previously, the CPUC was to give preference to projects in

areas with only dial-up service or no service. Now, the CPUC is to “prioritize projects in unserved areas

where internet connectivity is available only at speeds at or below ten Mbps downstream and one Mbps

upstream or areas with no internet connectivity.”

• Serviceable locations—The CPUC “shall transition CASF program methodologies to provide service to

serviceable locations and evaluate other program changes to align with other funding sources, including,

but not limited to, funding locations.”

• Elimination of “indispensable middle-mile” language—The Legislature eliminated the section that

discussed the requirements for funding middle-mile infrastructure, if it is indispensable for last-mile

service, formerly Pub. Util. Code Sec. 281(f)(5)(B).

• • Elimination of prerequisites for local agency infrastructure grants—Formerly in Pub. Util. Code

Sec. 281(f)(9), local agencies could only receive an infrastructure grant if the CPUC “has

conducted an open application process, and no other eligible entity applied.” This section has

been eliminated, so that local agencies now have greater eligibility for funding.

California Advanced

Services Fund (CASF)

Public Housing Account

10B 86F

Senate Bill (SB) 156, enacted and effective on July 21, 2021, made many changes to the CASF.

Additionally, SB 4 and Assembly Bill (AB) 14, enacted and effective on October 8, 2021, continued

funding of the CASF program beyond 2022 to December 31, 2032.

Some of the changes relevant to the

87F

CASF Infrastructure Account include:

https://www.cpuc.ca.gov/-/media/cpuc-website/divisions/communications-division/documents/casf-adoption-and-access/bpha_guidelines_august_2020.pdf

The CPUC plans to implement implements key changes in the CASF from SB 156, SB 4, and AB 14 for relevant accounts.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

• Redefining “unserved area”—The previous definition was “unserved household,” meaning a household

with service at six megabits per second (Mbps) downstream and one Mbps upstream. The current

operative definition is: “unserved area means an area for which there is no facility-based broadband

provider offering at least one tier of broadband service at speeds of at least 25 Mbps downstream, three

Mbps upstream, and a latency that is sufficiently low to allow real-time interactive applications,

considering updated federal and state broadband mapping data.” The statute also replaced the references

to “households” with “areas.”

• Priority to areas with slow or no internet—Previously, the CPUC was to give preference to projects in

areas with only dial-up service or no service. Now, the CPUC is to “prioritize projects in unserved areas

where internet connectivity is available only at speeds at or below ten Mbps downstream and one Mbps

upstream or areas with no internet connectivity.”

• Serviceable locations—The CPUC “shall transition CASF program methodologies to provide service to

serviceable locations and evaluate other program changes to align with other funding sources, including,

but not limited to, funding locations.”

• Elimination of “indispensable middle-mile” language—The Legislature eliminated the section that

discussed the requirements for funding middle-mile infrastructure, if it is indispensable for last-mile

service, formerly Pub. Util. Code Sec. 281(f)(5)(B).

• Elimination of prerequisites for local agency infrastructure grants—Formerly in Pub. Util. Code Sec.

281(f)(9), local agencies could only receive an infrastructure grant if the CPUC “has conducted an open

application process, and no other eligible entity applied.” This section has been eliminated, so that local

agencies now have greater eligibility for funding.

California Advanced

Services Fund (CASF)

CASF Tribal Technical Assistance Grant Program aims to provide grants to California tribes to develop

market studies, feasibility studies, and business plans to pursue improved communications (voice and

broadband).

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

88F

Tribal Technical Assistance; see Decision (D) 20-08-005

https://www.cpuc.ca.gov/industries-and-topics/internet-and-phone/california-high-cost-fund-a

Program

Eligibility Criteria

11B

Tribal

Technical

Assistance Grant

Program

12B

California

High-Cost

Fund A (CHCF A)

89F

The 13 small LECs in California that are eligible to draw revenue from the CHCF-A program are:

• Calaveras Telephone Company

• California-Oregon Telephone Company

• Ducor Telephone Company

• Foresthill Telephone Company

• Happy Valley Telephone Company

• Hornitos Telephone Company

• Kerman Telephone Company

• Pinnacles Telephone Company

• The Ponderosa Telephone Company

• Sierra Telephone Company

• Siskiyou Telephone Company

• The Volcano Telephone Company

• Winterhaven Telephone Company

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

California High-Cost

Fund B (CHCF B)

90F

Carriers of Last Resort (COLRs) are given subsidies for providing basic telephone service to residential

customers in high-cost areas that are currently served by Pacific Bell Telephone Company dba AT&T

California, Verizon California Inc. dba Frontier Communications of California, Citizens

Telecommunications Company of California and Cox Communications. High-cost areas of California are

those in which the cost to the COLR to provide service is $36 or more per telephone line.

California Lifeline

91F

There are two ways to qualify for the California LifeLine Program. You may qualify for California

LifeLine via Program-Based OR Income-Based.

Program-Based Qualification Method:

You can qualify for California LifeLine if you or another person in your household is enrolled in any one

of these qualifying public assistance programs:

• Medicaid/Medi-Cal

• Low Income Home Energy Assistance Program (LIHEAP)

• Supplemental Security Income (SSI)

• Federal Public Housing Assistance or Section 8

• CalFresh, Food Stamps or Supplemental Nutrition Assistance Program (SNAP)

• Women, Infants and Children Program (WIC)

• National School Lunch Program (NSL)

• Temporary Assistance for Needy Families (TANF)

a) California Work Opportunity and Responsibility to Kids (CalWORKs)

b) Stanislaus County Work Opportunity and Responsibility to Kids (StanWORKs)

c) Welfare-to-Work (WTW)

https://www.cpuc.ca.gov/industries-and-topics/internet-and-phone/california-high-cost-fund-b

https://www.cpuc.ca.gov/consumer-support/financial-assistance-savings-and-discounts/lifeline/california-lifeline-eligibility#qualify

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

Greater Avenues for Independence (GAIN)

• Tribal TANF

• Bureau of Indian Affairs General Assistance

• Head Start Income Eligible (Tribal Only)

• Food Distribution Program on Indian Reservations

• Federal Veterans and Survivors Pension Benefit Program

Income-Based Qualification Method:

You can qualify for California LifeLine if your household's total annual gross income is at or less than

these annual income limits:

13B

Household Size Annual Income Limits

1-2 $28,500

3 $33,100

4 $40,300

Each Additional Member $7,200

Effective June 1, 2021 to May 31, 2022

California Teleconnect

Fund

(edited)

92F

The CTF Program categorizes applicants (and participants) into seven distinct groups:

Schools

To qualify for the CTF Program, a public school must:

•

Provide elementary or secondary education (grades K–12).

https://www.cpuc.ca.gov/-/media/cpuc-website/divisions/communications-division/documents/california-teleconnect-

fund/ctf_applicant_and_participant_guidebook.pdf

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

• Possess an active County District School code number from California Department of Education.

To qualify for the CTF Program, a private school must:

• Provide elementary or secondary education (grades K–12).

• Possess an active County District School code number from California Department of Education.

• Possess an annual endowment under $50 million.

• File taxes as a nonprofit entity with the Internal Revenue Service.

Libraries

To qualify for the CTF Program, a library must be eligible to participate in state-based plans for funds

under the federal Library Services and Technology Act. Eligibility for the CTF Program is further limited

to library outlet locations, which are the locations where library services are provided to the community.

Community Colleges

To qualify for the CTF Program, a community college must be a California Community College (as

determined by California Education Code Section 70900) and possess a Management Information System

(MIS) code.

Government Hospitals/Clinics

Hospitals and health clinics that are owned and operated by a municipal government, county government,

or a hospital district may qualify for the CTF Program as a Government Hospital/Clinic. Government

Hospitals/Clinics that participate in the CTF Program must have a valid healthcare license and

identification number from the Office of Statewide Health Planning and Development. Only locations

that provide healthcare services to the community can participate in the CTF Program.

Community-Based Organizations

To qualify for the CTF Program, a CBO must:

•

File taxes with the Internal Revenue Service as a 501(c)(3) organization.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

• Offer one or more of the following Qualifying Services to individuals and/or families in the

community:

Educational Instruction: These services include regular, ongoing, preschool or K-12 academic

educational or instructional programs that can also include ESL and language education,

literacy, job training, technology instructions and information on public benefit and social

services programs eligibility and access. Educational instruction must include the use of a

CTF-eligible communication service by community members.

Head Start Program: Refer to the Head Start Center Locator at

https://eclkc.ohs.acf.hhs.gov/center-locator.

Job Placement: These services provide community members with assistance in obtaining

employment, including activities related to job recruiting and placement. Eligible job

placement services must include the use of a CTF-eligible telecommunication service by

community members.

Job Training: These services provide community members with training or skill-building for the

purpose of obtaining employment. Eligible Job Training Services must include the use of a

CTF-eligible telecommunication service by community members.

Community Lab / Technology Center: To qualify, these services must provide the community training

and/or access to technology and advanced communication services. Eligible Community

Technology Programs must include the use of a CTF-eligible communication service by

community members.

• Offer one or more Qualifying Services directly to individuals at a specific geographic location

without charge or at a minimal fee.

• Utilize the advanced communication service(s) that receives the CTF discount when providing

one or more Qualifying Services.

• Provide the community access to the advanced communication service(s) that receives the CTF

discount.

•

Possess annual revenues less than $5 million.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Program

Eligibility Criteria

• A majority of the CBO’s board members must reside in California.

Healthcare Community-Based Organizations

To qualify for the CTF Program, a Healthcare CBO must:

• File taxes with the Internal Revenue Service as a 501(c)(3) organization.

• Offer healthcare services as their primary function directly to individuals at a specific geographic

location.

• Have licensed medical personnel on site providing healthcare services to individuals and/or

families within the community.

• Accept medical plans such as Medi-Cal, Medicare, Department of Veterans Affairs insurance,

and/or provide services without charge or at a minimal fee.

• Possess annual revenues less than $50 million.

• A majority of the Healthcare CBO’s board members must reside in California.

2-1-1 Providers

To qualify for the CTF Program, a 2-1-1 Service Provider must:

• Have existing authorization from the California Public Utilities Commission (via Resolution) to

operate as a 2-1-1 Service Provider.

• File taxes with the Internal Revenue Service as a 501(c)(3) organization.

• Possess annual revenues less than $5 million.

Deaf and Disabled

Telecommunications

Program

93F

To be eligible to receive free specialized telephone equipment through the Program, a person must:

• Live in California

• Have telephone service (Please note: The majority of Program equipment only functions with a

land line.)

https://ddtp.cpuc.ca.gov/faqs.aspx#Eligibility_and_Applying

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

94F

https://www.cpuc.ca.gov/consumer-support/financial-assistance-savings-and-discounts/water-company-assistance

Program

Eligibility Criteria

• Be certified as having one or more of the following disabilities:

o Hearing

o Vision

o Mobility

o Speech

o Cognitive

There is no age or income requirement.

Water Customer

Assistance Programs

(CAPs)

Income eligibility for ESA participation is set at 200% or less of Federal Poverty Guidelines.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Additional Definitions in State Government

Term Definition

Socially Disadvantaged

Farmers

95F

A farmer or rancher who is a member of a socially disadvantaged group. A “socially disadvantaged

group” means a group whose members have been subjected to racial, ethnic, or gender discrimination.

These groups include the following:

• African Americans

• American Indians

• Alaskan Natives

• Hispanics

• Asian Americans

• Native Hawaiians and Pacific Islanders

• Female farmers and ranchers of color

Disadvantaged

Unincorporated

Communities (DUCs)

96F

Defined as an area of inhabited territory located within an unincorporated area of a County in which the

annual median household income is less than 80 percent of the statewide median household income. State

law considers an area with 12 or more registered voters to be an inhabited territory.

AB 1348 - https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=201720180AB1348

SB 244 - https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201120120SB244

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

Term Definition

Under-resourced

Communities

97F

“Under-resourced community” is identified pursuant to one, some, or all of the following sections of the

Health and Safety Code:

• Section 39711, which reads, “The California Environmental Protection Agency shall identify

disadvantaged communities … [that] may include, but are not limited to, either of the following:

(1) Areas disproportionately affected by environmental pollution and other hazards that can lead

to negative public health effects, exposure, or environmental degradation. (2) Areas with

concentrations of people that are of low income, high unemployment, low levels of

homeownership, high rent burden, sensitive populations, or low levels of educational attainment.

• Subdivision (d) of Section 39713 of the Health and Safety Code, which reads, “(1) ‘Low-income

households are those with household incomes at or below 80 percent of the statewide median

income or with household incomes at or below the threshold designated as low income by the

Department of Housing and Community Development's list of state income limits adopted

pursuant to Section 50093. (2) ‘Low-income communities’ are census tracts with median

household incomes at or below 80 percent of the statewide median income or with median

household incomes at or below the threshold designated as low income by the Department of

Housing and Community Development's list of state income limits adopted pursuant to Section

50093.

• Subdivision (g) of Section 75005, which reads, “’Disadvantaged community’ means a community

with a median household income less than 80% of the statewide average. ‘Severely disadvantaged

community’ means a community with a median household income less than 60% of the statewide

average.”

SB 1072 - https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=201720180SB1072

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Term Definition

AB 1550 Priority

Populations

98F

Certain populations are especially vulnerable to the impacts of climate change. At least 35 percent of

California Climate Investments

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must benefit these populations, which include disadvantaged

99F

communities, low-income communities, and low-income households, also known as “priority

populations.”

Disadvantaged communities are identified by the California Environmental Protection Agency (CalEPA)

as the top 25% most impacted census tracts in CalEnviroScreen 3.0 - a screening tool used to help

identify communities disproportionally burdened by multiple sources of pollution and with population

characteristics that make them more sensitive to pollution.

Low-income communities and households are defined as the census tracts and households, respectively,

that are either at or below 80 percent of the statewide median income, or at or below the threshold

designated as low-income by the California Department of Housing and Community Development's

(HCD) 2016 State Income Limits.

https://ww2.arb.ca.gov/sites/default/files/auction-proceeds/communityinvestments.htm

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https://www.caclimateinvestments.ca.gov/

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Appendix D:

Select Case Studies of ESJ in

CPUC Proceedings

The below case studies represent examples of how the ESJ Action Plan can be incorporated into

proceeding rulings and resolutions. These highlighted examples are not an exhaustive list and only

represent a handful of cases where the ESJ Action Plan has been cited in CPUC proceedings.

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Communications

ORDER INSTITUTING RULEMAKING REGARDING BROADBAND

INFRASTRUCTURE DEPLOYMENT AND TO SUPPORT SERVICE PROVIDERS IN

THE STATE OF CALIFORNIA.

Rulemaking 20-09-001

Comments Requested

Parties are asked to comment on the following questions:

1. Are the inputs and assumptions of the studies

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discussed above accurate? How could one

improve these studies?

2. Do the findings of these studies provide evidence of a systemic problem in California?

3. Do these studies indicate discrimination based on race, socioeconomic status or otherwise, and, if

yes, what are the societal implications?

4. If the Commission were to undertake an investigation into whether ISPs are not serving certain

communities or neighborhoods within their service or franchise areas, a practice generally referred

to as redlining, how should the Commission conduct that investigation? What data should the

Commission rely on for its investigation?

5. Historically, redlining has meant that some neighborhoods, generally with affluent, white

residents, have access to a particular service while poorer residents do not. How should the

Commission define redlining? In the context of broadband Internet service, should Internet speeds

offered to residents be taken into consideration?

6. Does the table in Section 3 of this ruling indicate redlining or some other form of systemic issue?

It appears to indicate that poorer communities are more likely to be unserved, and wealthier

communities are more likely to be served. Is this analysis accurate? Please explain why it is or is not

accurate.

7. Are there other studies or analysis that parties wish to submit for the record in this proceeding?

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On the Wrong Side of the Digital Divide, released in June 2020 by the Greenlining Institute;

AT&T’s Digital Redlining: Leaving Communities Behind for Profit, released in October 2020 by the Communications Workers

of America (CWA) and the National Digital Inclusion Alliance (NDIA);

Who gets access to Fast Broadband? Evidence from Los Angeles County 2014-17, released in October 2019 by USC Annenberg

Research Network for International Communication (ARNIC) and the USC Price Spatial Analysis Lab (SLAB)

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Energy

DECISION ON LARGE INVESTOR-OWNED UTILITIES’ AND MARIN CLEAN

ENERGY’S CALIFORNIA ALTERNATE RATES FOR ENERGY (CARE), ENERGY

SAVINGS ASSISTANCE (ESA), AND FAMILY ELECTRIC RATE ASSISTANCE (FERA)

PROGRAM APPLICATIONS FOR PROGRAM YEARS 2021-2026

Decision 21-06-015

9. Environmental and Social Justice

9.1. Background

On February 21, 2019, the Commission adopted the Environmental and Social Justice (ESJ) Action

Plan1052 which serves to expand public inclusion in Commission decision-making and improve

services to targeted communities in California, specifically communities of color and/ or low-

income communities. The ESJ Action Plan defines environmental and social justice as:

Environmental and social justice seeks to come to terms with, and remedy, a history of unfair

treatment of communities, predominantly communities of people of color and/or low-income

residents. These communities have been subjected to disproportionate impacts from one or more

environmental hazards, socioeconomic burdens, or both.

The overall goals identified by the ESJ action plans include:

• Goal 1: Consistently integrate equity and access considerations throughout CPUC proceedings

and other efforts.

• Goal 2: Increase investment in clean energy resources to benefit ESJ communities, especially to

improve local air quality and public health.

• Goal 3: Strive to improve access to high-quality water, communications, and transportation

services for ESJ communities.

• Goal 4: Increase climate resiliency in ESJ communities.

• Goal 5: Enhance outreach and public participation opportunities for ESJ communities to

meaningfully participate in the CPUC’s decision-making process and benefit from CPUC

programs.

• Goal 6: Enhance enforcement to ensure safety and consumer protection for ESJ communities.

• Goal 7: Promote economic and workforce development opportunities in ESJ communities.

• Goal 8: Improve training and staff development related to ESJ issues within the CPUC’s

jurisdiction.

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• Goal 9: Monitor the CPUC’s ESJ efforts to evaluate how they are achieving their objectives.

ESJ communities are also identified as those where residents are predominantly communities of

color or low income, underrepresented in the policy setting or decision-making process, subject to a

disproportionate impact from one or more environmental hazards, and likely to experience disparate

implementation of environmental regulations and socio-economic investments in their communities.

On the ground, these targeted communities typically include but are not limited to, DACs, all Tribal

lands, and low-income households and census tracts.

9.2. Incorporating ESJ Goals and Efforts into CARE and ESA

As CARE and ESA program eligibility is set at or below 200 percent of FPG, most if not all, ESA

and CARE participants are part of an ESJ community. Through this proceeding, we prioritize

actions that improve local air quality, benefit public health, increase climate resiliency and provide

economic benefits within the ESJ communities. This decision makes great strides in prioritizing ESJ

issues and takes actions that advance equity and policies for ESJ communities. Below we outline the

efforts directed in this decision that specifically address and further the goals of the Action Plan.

• Requiring that all working groups, (who are tasked with final design and delivery of the

program), include representation specifically from community-based organizations, consumer

protection/advocates, and other special interest groups, which includes members or

representatives from ESJ communities; Furthers Goals 1, 5.

• Requiring the IOUs to hold annual public meetings to discuss program progress with

community members; Furthers Goal 5.

• Requiring the consideration of the development of a UAS that would provide low-income

customers various registration pathways into multiple affordable programs (including clean

energy programs), easing the enrollment process and decreasing barriers to participation;

Furthers Goals 1, 2, 5.

• Recommending IOU engagement and collaboration with CARB and GRID Alternatives on the

Access Clean California tool, which would provide a single application connecting residents with

the state’s clean energy and transportation equity programs; Furthers Goals 1, 2, 3, 5.

• Prioritizing the below customer segments for outreach, education, and treatment which are

inclusive of ESJ community members; Furthers Goal 1.

By Financials By Location By Health Condition

CARE DAC Medical Baseline

Disconnected Rural Respiratory

Arrearages Tribal Disabled

High usage PSPS Zone

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By Financials By Location By Health Condition

High energy burden Wildfire Zone

SEVI Climate Zone

Affordability Ratio CARB communities

• Approving advanced treatment offerings, and investment, for specific customer segments which

are inclusive of ESJ community members; Furthers Goals 1, 2, 4.

• Requiring the IOUs to track ESA treatment levels and efforts within specific customer segments

in their reporting to the Commission; Furthers Goals 1, 9.

• Approving funding agreements to those point persons in Tribal communities that assist with

outreach for ESA, FERA and CARE; Furthers Goals 1, 5.

• Requiring the IOUs to extend and encourage participation of the CARE/FERA capitation

program in Tribal communities; Furthers Goals 1, 5.

• Leveraging with LifeLine, CETF and water utilities, which include co-promotion and marketing

efforts, co-funding of water measures, and data sharing and customer referrals with LifeLine and

water utilities; Furthers Goal 3.

• Approving a Building Electrification pilot that will offer high usage, income-qualified single-

family households in DACs electrification measures at no cost; Furthers Goals 1, 2, 4.

• Approving a Clean Energy Homes pilot that will provide incentives for low-income housing

developers to incorporate electrification into the designs of new construction, with a goal to

reduce energy bills for the low-income customer, reduce GHG emissions associated with

burning fossil fuels, and ease participation in customer programs; Furthers Goals 1, 2, 4.

• Requiring the IOUs to ensure additional workforce development opportunities and hiring within

local communities, specifically in DACs (via IOU partnerships with the California Workforce

Development Board’s Energy and Climate Jobs Initiative, community colleges, and

organizations providing services in DACs); Furthers Goal 7.

• Requiring the IOUs to track ESA workforce, education, and training efforts in their annual

reporting to the Commission; Furthers Goals 7, 9.

We are confident that the objectives and actions taken here are necessary and will advance the

Commission towards the state’s equity goals.

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Rail Safety

APPLICATION OF THE CALIFORNIA HIGH-SPEED RAIL AUTHORITY FOR

APPROVAL TO CONSTRUCT THREE NEW GRADE SEPARATED CROSSINGS

OVER THE PROPOSED HIGH-SPEED RAIL TRACKS OPERATED BY CALIFORNIA

HIGH-SPEED RAIL AUTHORITY AT EXCELSIOR AVENUE (MP 218.83), FLINT

AVENUE (MP 220.86), AND FARGO AVENUE (MP 221.88) LOCATED IN THE

COUNTY OF KINGS, STATE OF CALIFORNIA.

Decision 21-01-007

Alignment with the Commission’s Environmental and Social Justice Action Plan

In February 2019, the Commission adopted its Environmental and Social Justice (ESJ) Action Plan

as a comprehensive strategy and framework for addressing ESJ issues in each proceeding.

The Final EIR/EIS identifies several impacts that were considered when choosing the route for the

Fresno-Bakersfield CHSTS Project, especially in the rural areas that will be affected by the three

crossings proposed in A.20-08-015. CHSRA and FRA worked with local, state, and federal officials

and stakeholders to identify a route intended to follow existing railway corridors, to minimize

relocation impacts and better align with current and planned land uses along the project corridor.

The route, including the three crossings proposed in A.20-08-015, was also designed to ensure

agricultural producers in the San Joaquin Valley still have access to railroad service necessary to

efficiently move their goods to market.

Here, CHSRA has coordinated with tribal communities and stakeholders in the regions impacted by

the project, and access to a high-speed rail option through the San Joaquin Valley would not only

provide cleaner transportation options to residents but could improve ambient air quality by

reducing the number of personal vehicle trips through the region.

Upon review of the Application and the record of this proceeding, including the Final EIR/EIS, we

find that the three grade-separated crossings proposed in this Application align with the

Commission’s ESJ Action Plan. CHSRA is encouraged to hire local contractors and conduct public

outreach about temporary street closures in multiple languages when constructing the three

crossings proposed in A.20-08-015.

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Transportation

DECISION AUTHORIZING DEPLOYMENT OF DRIVERED AND DRIVERLESS

AUTONOMOUS VEHICLE PASSENGER SERVICE

Decision 20-11-046

4.9. Goal: Equity and Environmental Justice

The December 19, 2019 Ruling asked how the Commission should incorporate equity and

environmental justice into its program goals.

4.9.1. Comments

Multiple parties emphasize the importance of ensuring the benefits of AV passenger service are

available to all of California’s communities including disadvantaged and low-income communities.

They reference state law, the Commission’s Environmental and Social Justice Action Plan (ESJ

Action Plan), and basic principles of equity.

SFMTA and SFCTA along with LADOT argue that, unless the Commission adopts environmental

justice goals, profit-driven business models may leave disadvantaged communities behind. UC Davis

and LADOT emphasize that even though disadvantaged communities are the communities that

could benefit most from improved transportation options, they are the most likely to suffer

environmental consequences from transportation operations. Sierra Club agrees.

SFMTA and SFCTA note that the Commission has adopted an ESJ Action Plan that establishes

several objectives related to transportation. In the ESJ Action Plan, the Commission states its intent

to “promote equitable transportation services regulated by the CPUC; encourage greater utilization

of Zero Emission Vehicles (ZEVs) by TNCs within ESJ communities, with a focus on communities

that have been underserved by existing transportation options; and encourage that autonomous

vehicles be available in disadvantaged communities.

Accordingly, SFMTA and SFCTA propose the goal that “AV Passenger Service should prevent

negative impacts on disadvantaged communities and improve transportation options for all, giving

priority to disadvantaged communities with unmet transportation needs.” SANDAG and SFO

support this goal.

While Waymo argues that it is too early to set prescriptive equity goals, they assert that authorizing

fare collection encourages companies to expand their service more broadly, including to low-income

communities. Waymo gives the example of a partnership they formed with a transit agency in

Arizona to provide first- and last-mile service to groups underserved by public transit.

4.9.2. Discussion

The Commission adopts the equity goal to “Improve transportation options for all, particularly for

disadvantaged and low-income communities.” The environmental justice goal is addressed by

ensuring that disadvantaged communities have preferential access to the greenhouse gas and air

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quality benefits of AVs. The latter goal is addressed more fully in the following section on

“Environmental and Climate Impacts.”

Parties are correct to highlight that the Commission already recognizes the many burdens faced by

DACs including a lack of access to transit options and a disproportionate share of the

environmental and health burdens caused by transportation services like particulate emissions from

passenger vehicles. As noted in Goal #2 of the ESJ Action Plan, the Commission aims to improve

the local air quality (i.e., criteria pollutants and air toxics) and public health in disadvantaged

communities. AVs may be an important service to reduce these burdens.

The Commission will collect data to evaluate progress toward this goal including the census tracts in

which trips begin and end; the volume and frequency of shared rides in each neighborhood; and

narrative descriptions of each permit holder’s outreach activities. These data are discussed in more

depth in [Section #] of this Decision.

As discussed above, it is too soon for the Commission to set uniform equity targets. Companies will

operate under different business models and at different scales. Some companies have stated they

intend to provide broad market ride hailing services while other companies focus exclusively on

shuttle services for single communities. As the market matures, the Commission can reconsider if

and when to impose uniform equity targets.

4.15. Data Reporting Requirements: Equity and Environmental Justice

4.15.1. Comments

Party comments about the data necessary to evaluate the impacts of AV service on equity and

environmental justice are largely covered in 4.12 on “AV Operations.”

Relevant excerpts:

“Greenlining, SFO, SFMTA and SFCTA, MTC, Sierra Club, and UC Davis all argue that the

Commission should expand its data collection to include detailed information about AV operations

including the location of pick-ups and drop-offs or at least whether the pick-up or drop-off site is

located in a Disadvantaged Community.”

“Multiple parties highlight the benefits of collecting location data to understand the impacts of AVs’

operations on the environment, equity, and traffic patterns. As Greenlining and Sierra Club note,

location data can be used to determine the level of service and the comparative environmental

impact of AVs on DACs.”

4.15.2. Discussion

As discussed in 4.12, the Commission requires companies to include in their quarterly program

reports information about the pick-up and drop-off locations of each trip, and the fuel type of the

vehicle for each trip. This enables stakeholders to compare service to neighborhoods in

disadvantaged communities vs neighborhoods outside disadvantaged communities. This provides

information about the equity of service as well the trips’ environmental impacts.

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Water

GOLDEN STATE WATER COMPANY. ORDER AUTHORIZING GOLDEN STATE

WATER COMPANY TO ACQUIRE ROBBINS WATER SYSTEM FROM SUTTER

COUNTY WATER WORKS DISTRICT NO. 1.

Resolution W-5237

This Resolution addresses Goals #1 and #3 of the ESJ Action Plan, “Consistently integrate equity

and access considerations throughout Commission regulatory activities,” and “Strive to improve

access to high-quality water, communications, and transportation services for ESJ communities.”

The Commission recognizes that some populations in California such as those served by Robbins,

face higher barriers in accessing safe and affordable utility services. The ESJ Action Plan tasks the

Commission with the responsibility to serve Californians in a way that helps address these inequities.

The Resolution for the acquisition of Sutter County’s Robbins Water System by Golden State

created a pathway to provide safe and reliable water service for the Robbins community that

currently does not have access to high-quality water with the previously mentioned water quality

issues related to arsenic, TDS, chloride, and specific conductance.

Robbins is classified as a disadvantaged community as defined by Health and Safety Code Section

116275, subd. (aa). The California Communities Environmental Health Screening Tool, Version 3

(CalEnviroScreen 3.0) provided by the California Environmental Protection Agency, identifies

disadvantaged communities by collecting multiple metrics and outputting a single value at the census

tract scale. CalEnviroScreen 3.0 ranks Robbins in the 65-70th percentile of the highest scoring

census tracts statewide, the census tract notably falls into the 98

percentile for Impaired Water, and

in the 91

percentile for Groundwater Threats. The acquisition provided direct relief to residents of

Robbins, who experienced disproportionately poor water quality.

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Language Access and Partnership with Community Based

Organizations

DECISION ON COMMUNITY AWARENESS AND PUBLIC OUTREACH BEFORE,

DURING AND AFTER A WILDFIRE, AND EXPLAINING NEXT STEPS FOR

OTHER PHASE 2 ISSUES

Decision 20-03-004

3.3. Discussion

3.3.1. In Language Requirements

Communication before, during and after a wildfire may be a life-or-death matter. The diversity of

California’s population and the vast number of languages spoken here is part of what makes the

state strong, vibrant, tolerant, and forward-looking. We should honor and support all residents of

the state, especially when dealing with public safety and catastrophic risk. However, people cannot

act on outreach they cannot understand; public safety requires that outreach actually reach the

intended audience. Outreach that is not in-language simply will not be effective in protecting all

California residents.

Therefore, the Commission will require each of the IOU and SMJU respondents in this proceeding

to communicate before, during and after a wildfire with community residents, businesses, state and

local first responders, and CBOs in all languages that are prevalent in their service territories.

Prevalent means that 1,000 or more people speak the language in an IOU's or SMJU's territory.

Further, nothing in this decision limits an IOU or SMJU from communicating in a language that is

not prevalent.

The communication methods need not all be the same, because different communities may get their

information in different ways. However, all IOUs and SMJUs, at a minimum, should consider using

radio, broadcast, cable, and print earned and unearned media, shareable video or audio content,

door-to-door contact, social media and websites, texting, and other communications-based methods

such as live phone calls, emergency alerts, emails, or prerecorded messages to communicate with

their customers in language.

To identify prevalent languages, the IOUs and SMJUs shall use U.S. Census data, where available, to

determine prevalent languages in their service territories, as well as the data sources suggested by

CEJA: “California Complete Count,” “Hard to Count” data, and the American Community Survey

(ACS) tabulated and untabulated data as a screening tool to identify where English-limited

individuals are likely to be in their service territory. They should also use lessons from the San

Joaquin Valley proceeding, R.15-03-010 to inform them on appropriate language outreach. CEJA

shall forward relevant information from that proceeding to the IOUs and SMJUs no later than 30

days after issuance of this decision.

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In addition to census analysis, the IOUs and SMJUs should include data based on prior experience

and information from CBOs, community representatives and leaders (i.e., identifying key sites like a

migrant housing site or mobile home park). To the extent the IOUs' and SMJUs' own customer data

reveals language usage or preference, they shall also utilize customer information data to determine

language prevalence.

IOUs and SMJUs shall, to the maximum extent, use their existing CBO networks, and partner with

new CBOs where they do not have existing relationships with a specific language minority

community. Some principles that should guide CBO relationships are the following:

• Ensure partnerships, particularly with community partners, are resourced and include a clear

Memorandum of Understanding to articulate roles, responsibilities, and activities. This should

include outreach and translation needs.

• Consider strategies such as phone trees to help quickly disseminate information across trusted

sources.

• Create a team of cross-sector partners, with a designated coordinator, to be able to work across

purposes, share feedback, and steer the effort.

• Include methods and strategies for information sharing and dealing with confidentiality between

partner organizations (both CBO and government).

The IOUs and SMJUs should consider the following community partnerships in developing and

carrying out community outreach:

• Community Organization Partnerships:

» Churches, schools, non-profits, medical clinics and hospitals, social service providers, legal

services, and small businesses.

• Local Government Partnerships:

» Emergency services, public health departments, other service providers, and first responders.

The IOUs and SMJUs shall take input from parties to this proceeding in a meet and confer format

to ensure they are reaching the appropriate CBOs. They need not communicate their meet and

confer process to the Commission unless there are problems or concerns. In the event of problems

or concerns, the parties shall first contact and work with Monica.Palmeira@cpuc.ca.gov (the

September 2019 workshop moderator), or such other contact person the Commission shall later

designate, and s/he will determine whether to involve the ALJ and other parties to the proceeding.

The IOUs and SMJUs shall also reach out to the telecommunications, water, and transportation

utilities in their territory in order to partner with language access services and CBO relationships

those utilities may have. Further, they shall gather – with the assistance of the parties to this

proceeding – information on available governmental and non-governmental communications

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before, during and after a wildfire and coordinate their efforts with those communications to the

maximum extent possible.

The IOUs’ and SMJUs’ communications methods shall accommodate language minorities without a

common written language, as well as the indigenous languages Mixteco and Zapoteco. At the

workshop, it appeared Triqui use is rare, but if it meets the definition of prevalence, the IOUs and

SMJUs should also use Triqui.

In summary, the IOUs and SMJUs shall be prepared to conduct the outreach before, during and

after a wildfire in time for the 2020 wildfire season.

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Metrics for Utility Outreach & Engagement Activities

DECISION ON COMMUNITY AWARENESS AND PUBLIC OUTREACH BEFORE,

DURING AND AFTER A WILDFIRE, AND EXPLAINING NEXT STEPS FOR

OTHER PHASE 2 ISSUES

Decision 20-03-004

3.3.2. Surveys and Metrics to Determine Effectiveness of Outreach

Public safety requires that the IOUs and SMJUs survey the communities where they conduct

outreach and use other metrics to determine that they are using effective methods. Several parties

have commented – both in this Phase and in Phase 1 – that community meetings, conference calls

or other group events the IOUs hold may not adequately inform communities about wildfire risk.

No later than May 30, 2020, the IOUs and SMJUs shall prepare, file, and serve the results of an

independent survey that assesses the effectiveness of their community outreach in 2019 pursuant to

Public Utilities Code Section 8386(c)(16)(B). For the 2020 wildfire season, the survey results are due

no later than December 31, 2020. At a minimum, the IOUs and SMJUs shall:

• Ask communities and individuals to which the IOU or SMJU has conducted outreach if the

outreach was effective in helping them before, during and after a wildfire.

• Provide survey responses categorized by type of outreach – e.g., community meetings, over the

air broadcast information, social media, print media, etc. – so that there is data in the proceeding

showing what outreach is most effective that the Commission and stakeholders may use to

direct future outreach.

• File and serve any existing survey results that assess the effectiveness of outreach before, during

and after a wildfire conducted since the passage of SB 901.

Prior to conducting either survey, the IOUs and SMJUs, alone or in combination, shall gather input

from the parties to this proceeding on appropriate survey questions and methodology through a

meet and confer process that is open to all parties. This meet and confer process shall conclude no

later than 30 days before the surveys are conducted.

In addition to surveys, the IOUs and SMJUs should use metrics to determine the reach of their

efforts. One set of metrics should be quantitative in nature, and include data related to web site

visits, click rates, conversions, in-person meetings, radio spots, number of partners, number of

customers reached, customer acknowledging information, read receipts, video shares, and other

quantitative measurement.

Another set of metrics should document comprehension, especially after a significant wildfire event.

Such metrics can be more qualitative in nature and include metrics collected from surveys and post-

event interviews/sessions with stakeholders and partners. Metrics should capture satisfaction with

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outreach and engagement from utility, understanding of information and whether communities or

individuals feel equipped to act, and whether communities or individuals feel connected to resources

they may call upon before, during and after a wildfire. Potential avenues for collecting this

information include debriefs with partners to discuss what could be improved, public listening

sessions to discuss what could be improved, and customer surveys to understand what could be

improved.

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Workforce Development

DECISION SETTING NEAR-TERM PRIORITIES FOR TRANSPORTATION

ELECTRIFICATION INVESTMENTS BY THE ELECTRICAL

CORPORATIONS

Decision 21-07-028

4.3.1. Equity and Environmental Justice Requirements for Near-Term Priority Program

Proposals

• Further the principles of economic equity and promote access to high quality jobs for residents

of underserved communities. The IOUs should articulate how each project incorporates any of

the following priority provisions:

» Job quality measures, such as wage and benefit standards and responsible

contractor standards;

» Job access measures, such as targeted hire requirements as well as specified targets

for residents of underserved communities;

» Comprehensive project agreements that address both job quality and job access, such

as application of the Skilled & Trained Workforce requirement, and use of Community

Workforce Agreements for large-scale TE projects;

» Funding directed to training partnerships that are guided in their programming to

ensure that investments in training are connected to and result in placement in high-

quality jobs.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N

102

Appendix E:

Memorandum of Understanding

(MOU) with the California

Workforce Development Board

MEMORANDUM

UNDERSTANDING

BETWEEN

THE

CALIFORNIA

PUBLIC

UTILITIES

COMMISSION

AND

THE

CALIFORNIA WORKFORCE DEVELOPMENT BOARD ON

WORKFORCE

DEVELOPMENT

FOR

ENVIRONMENTAL

AND

SOCIAL

JUSTICE

PURPOSE

Pursuant to the California Public Utilities Commission’s (CPUC) Environmental and

Social Justice Action Plan (ESJ Action Plan), as well as directives in Governor

Newsom’s Executive Orders N-79-20 (EO N-79-20)

and N-19-19 (EO N-19-19)

the CPUC and California Workforce Development Board (CWDB) (collectively

the Parties) enter into this Memorandum of Understanding (MOU) to coordinate

economic and workforce development planning, analysis, and implementation

activities.

The purpose of this agreement is to draw upon the expertise of the CWDB to

ensure the state has the workforce and industry-based training partnerships

necessary to meet its clean energy and clean transportation goals, while

building pathways into the middle class and beyond for Californians who have

been historically excluded from opportunity or shouldered a disproportionate

share of climate and environmental costs.

The scope of this agreement includes advice and recommendations to ensure

CPUC policies and regulated programs create or support high-quality jobs in the

energy and transportation sectors and expand access to those jobs for priority

populations through high-quality education and training.

BACKGROUND

On October 7, 2015, Governor Brown signed the Clean Energy and Pollution

Reduction Act of 2015 (SB 350). SB 350 established new energy efficiency and

renewable electricity targets to support California’s climate goal of reducing

greenhouse gas emissions to 40 percent below 1990 levels by 2030. In addition,

Executive Order N-79-20, September 2020: https://www.gov.ca.gov/wp-content/uploads/2020/09/9.23.20-

EO-N-79-20-Climate.pdf

Executive Order N-19-19, September 2019: https://www.gov.ca.gov/wp-content/uploads/2019/09/9.20.19-

Climate-EO-N-19-19.pdf

SB 350 directed the California Energy Commission (CEC) and the California Air

Resources Board (CARB) to, among other things, study and provide

recommendations on barriers for low-income customers to energy efficiency

and weatherization investments as well as clean transportation and mobility

investments, including those in disadvantaged communities.

On December 2016, the CEC published the SB 350 Low-Income Barriers Study,

Part A- Commission Final Report: Overcoming Barriers to Energy Efficiency and

Renewables for Low-Income Customers and Small Business Contracting

Opportunities in Disadvantaged Communities (Study A).

Study A recommends

promoting well-paying clean energy job opportunities for residents in

disadvantaged and low-income communities by creating opportunities to

“collaborate with state labor agencies such as the California Labor & Workforce

Development Agency, the California Workforce Development Board, and the

Employment Development Department on targeted workforce training and job

placement initiatives to create strategies that drive clean energy job

opportunities in low-income and disadvantaged communities.” (Study A, 77.)

In February 2018, CARB published the SB 350 Low-Income Barriers Study, Part B-

Overcoming Barriers to Clean Transportation Access for Low-Income Residents

(Study B).

Study B recommends maximizing economic opportunities and

benefits for low-income residents from investments in clean transportation and

mobility options by expanding workforce training and development. This

includes the CWDB taking a lead role, in partnership with other state and local

public agencies, to expand opportunities and create connections “for good

quality clean transportation jobs in low-income and disadvantaged

communities” as well as to expand access to workforce development programs

to “support clean transportation jobs and workforce development in low-

income and disadvantaged communities, especially for youth.” (Study B, 54-55.)

In February 2019, the CPUC adopted the Environmental and Social Justice

Action Plan to serve as a roadmap to expand public inclusion in Commission

decision-making and improve services to targeted communities in California.

One of the core tenets of the ESJ Action Plan, Goal 7, tasks the CPUC with

https://assets.ctfassets.net/ntcn17ss1ow9/3SqKkJoNIvts2nYVPAOmGH/7bc56e2692769abda31a2aace7b00

147/TN214830_20161215T184655_SB_350_LowIncome_Barriers_Study_Part_A

Commission_Final_Report.pdf

https://ww2.arb.ca.gov/sites/default/files/2018-08/sb350_final_guidance_document_022118.pdf

www.cpuc.ca.gov/ESJActionPlan

promoting economic and workforce development opportunities in ESJ

communities by developing workforce development guidelines in programs

overseen by the CPUC or CPUC regulated utilities.

In September 2019, Governor Newsom signed Executive Order (EO) N-19-19 to

further California’s commitment to mitigate the impacts of climate change. EO

N-19-19 directs all aspects of state government to continue to increase efforts to

reduce greenhouse gas emissions and mitigate the impacts of climate change

to build a sustainable and inclusive economy. In September 2020, Governor

Newsom signed Executive Order (EO) N-79-20 to redouble California’s efforts to

reduce emissions from the transportation sector. EO N-79-20 directs the CPUC

and other state agencies to accelerate the deployment of affordable fueling

and charging infrastructure for zero-emission vehicles, and promotes the

creation and retention of high-road, high-quality jobs in the transition to a

carbon neutral economy. These Executive Orders reinforced the ESJ Action Plan

goal and solidified CWDB’s commitment to collaborate with the CPUC to

improve workforce development opportunities.

In March 2020, the CWDB released California’s 2020-2023 Unified Strategic

Workforce Development Plan (State Workforce Plan)

featuring the CWDB’s

vision of a high road economy which is defined by a set of goals to be achieved

simultaneously: greater equity and mobility for workers, higher skills and

competitiveness for employers, and long-term environmental sustainability and

climate resilience for the state. Strategies to advance the high road vision

through policy and programs include administering the High Road Construction

Careers (HRCC) and High Road Training Partnerships (HRTP) workforce initiatives,

as well as establishing partnerships between the CWDB and other state

agencies – including the CPUC – to align California’s transition to carbon

neutrality with the State’s high road vision.

ROLES

AND

RESPONSIBILITIES

The CPUC regulates energy utilities, telecommunications, water, railroad, rail

transit, and passenger transportation companies’ services and utilities, protects

consumers, safeguards the environment, and assures Californians' access to safe

and reliable utility infrastructure and services.

https://cwdb.ca.gov/plans_policies/2020-2023-state-plan-draft/

The CWDB oversees and continuously improves the workforce system in

California, which encompasses a wide array of work including: policy

development, workforce support and innovation, and performance assessment,

measurement, and reporting. In addition to administering innovative workforce

development programs, the CWDB works with a multitude of public and private

organizations at the state and local levels to develop a common policy vision

for the provision of workforce services in the state.

SHARED

PRIORITIES

The Parties share the following priorities for effective communication and

coordination to support workforce development policies and practices to

implement the State’s and CPUC’S directives:

1. Establish regular intervals for information sharing on both the

management and staff levels, including a process for regular information

flow and opportunities for joint planning and goal setting;

2. Develop a near and long-term framework for high road economic and

workforce policy and practice to meet the goals of the state including

but not limited to those outlined in CPUC’s ESJ Action Plan and CDWB’s

2020-2023 State Workforce Plan;

3. Identify programs to examine the scope of CPUC workforce development

efforts. Possible program areas include energy efficiency, building

electrification, renewable energy, transportation electrification and

vegetation management programs;

4. Establish or advance a set of principles and practices that can guide any

CPUC-regulated program in updating or developing California’s

economy and workforce in a way that delivers measurable benefits for

ESJ communities. These principles and practices should directly aid

disadvantaged Californians by building clean energy and clean

transportation career pipelines, while taking into consideration ratepayer

impacts;

5. Establish targets and analyze metrics to assess economic and workforce

development related activities within CPUC programs and ESJ

communities.

CPUC

RESPONSIBILITIES

In order to achieve optimal results for the shared priorities, the CPUC will perform

the activities and functions summarized below:

1. CPUC will provide information and data to CWDB on workforce

development in the energy and transportation industries regulated or

overseen by the CPUC, which includes but is not limited to the following:

a. Elements of current workforce development programs overseen by

the CPUC or CPUC regulated utilities.

b. To the extent available, background information on prior and

current CPUC efforts to develop and implement workforce

development requirements.

c. Industries and occupations involved in CPUC workforce

development efforts.

d. Strategies used by CPUC to promote and track workforce

development programs and outcomes.

2. Review and analyze CWDB’s feedback to develop a standardized

workforce development framework.

3. Designate CPUC staff and management with relevant experience to

support MOU activities including data and information sharing, and other

related activities in coordination with CWDB.

CWDB

RESPONSIBILITIES

In order to achieve optimal results for the shared priorities, the CWDB will perform

the activities and functions summarized below:

1. Provide subject matter expertise related to high road economic and

workforce development strategies and best practices.

2. Evaluate, analyze, and provide feedback on CPUC or CPUC regulated

industries’ workforce development efforts.

3. Provide recommendations on program design, standards, and

requirements to promote high road economic workforce development

strategies and best practices.

4. Identify opportunities for upgrading workers’ skills and contractors’

competencies to perform high-quality work that meets clean energy and

clean transportation goals.

5. Provide recommendations related to tracking workforce development

impacts and outcomes.

6. Provide designated CWDB staff and management with relevant

experience to support data and information sharing, and other related

activities in coordination with CPUC.

PROTECTION

CONFIDENTIAL

INFORMATION

“Confidential Information” includes, but is not limited to, any information or data

obtained pursuant to California Public Utilities Code section 583 and CPUC

General Order 66-D, records exempt from public disclosure under the California

Public Records Act (Government Code Section 6250, et seq.), Evidence Code

section 1040, or any other applicable federal or state law, or information that is

appropriately designated by the Parties to be exempt, prohibited, or privileged

from disclosure by state or federal law.

The Parties shall take all necessary measures to protect Confidential Information

and, consistent with the Public Records Act and any other laws requiring

disclosure, treat any shared Confidential Information as confidential. The Parties

shall impose all the requirements of this MOU on all of their respective officers,

members, employees, and agents with access to Confidential Information. Any

Confidential Information obtained by the Parties shall only be used for purposes

that are consistent with existing law. The Parties agree to promptly notify each

other’s legal counsel of any public records act requests they receive seeking

information shared or obtained pursuant to this agreement.

All Confidential Information provided to the Parties pursuant to this MOU shall be

subject to Government Code Section 6254.5, subdivision (e), which exempts

from public disclosure under the California Public Records Act, confidential

records that one state or local agency has provided to another state or local

agency pursuant to an agreement that the latter will treat the disclosed records

as confidential. The Parties agree that, as provided in Government Code

Section 6254, subdivision (e), Confidential Information will only be shared with

persons authorized in writing by the Executive Officer of the relevant agency (or

by their authorized delegate), and that all information obtained by the Parties

pursuant to this agreement will be used only for purposes that are consistent with

existing law.

Confidential Information provided to the other party, shall be maintained as

confidential and shall not be released without an agreement in writing from the

other party, unless a court of competent jurisdiction order the release of the

Confidential Information.

The Parties will make all reasonable efforts to ensure that disclosure of

Confidential Information will not occur. In the event an inadvertent disclosure of

Confidential Information occurs, the party making such inadvertent disclosure

will notify the other party in writing and will make every reasonable effort to

promptly correct the inadvertent disclosure.

If either party receives a request to release, disclose, or access any of the

Confidential Information (for example, pursuant to a subpoena, discovery

request, or the California Public Records Act), the party receiving the request

shall promptly transmit a copy of the request to the other party that originally

generated the Confidential Information. The party who originally generated the

Confidential Information shall assume the lead responsibility for determining the

appropriate response required by California law, and shall consult with the other

party during the course of reaching its determination.

SCOPE

This MOU is made for the sole benefit of the Parties and no other person or entity

shall have any rights or remedies under or by reason of this MOU. Nothing in this

MOU may be the basis of any third-party challenges or appeals. Nothing in this

MOU creates any rights, remedies, or causes of action in any person or entity not

party to this MOU.

APPROVAL

This MOU is effective upon completion of the signatures listed below. This MOU

may be executed in counterparts. Each executed counterpart shall have the

same force and effect as an original instrument. Taken together, the executed

counterparts shall constitute one and the same agreement.

This MOU shall not be modified except by a written agreement signed by

authorized representatives of the Parties. The Parties shall meet and coordinate

on issues pertaining to the effectiveness and validity of this MOU on an annual

basis, or as mutually agreed upon by the Parties. Any determination that a

provision in this MOU is invalid does not invalidate any other provision of this MOU

or the MOU in its entirety.

This MOU shall continue unless or until either party to the MOU determines that

the MOU should be terminated. Unless otherwise provided for by the written

agreement of both of the Parties, unilateral termination of the MOU shall be

effected no sooner than 60 days from the date either party provides written

notice of its intent to terminate the MOU. Termination of this MOU shall not

affect the obligation of the Parties to maintain the confidentiality of information

pursuant to this MOU.

Each party represents and warrants that it has the right, power, and authority to

execute this MOU. Each party represents and warrants that it has given any and

all notices, and obtained any and all consents, powers, and authorities

necessary to permit that party, and the persons executing this MOU for the party

to enter into this MOU.

CALIFORNIA PUBLIC UTILITIES COMMISSION:

RACHEL PETERSON

Acting Executive Director

CALIFORNIA WORKFORCE DEVELOPMENT BOARD:

TIM RAINEY

Executive Director

October 2 , 2020

October 26, 2020

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

Appendix F:

CPUC Tribal Consultation Policy

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N 110

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

Introduction:

The CA Public Utilities Commission (CPUC or Commission ) adopts this Tribal Consultation

Policy, consistent with Executive Order B-10-11 issued by Governor Edmund G. Brown, Jr.

on September 19,

2011). Executive Order B-10-11 declares that the State is committed to

strengthening and sustaining

effective government-to-government relationships between

the State and the Tribes by identifying areas of mutual concern and working to develop

partnerships and consensu The Executive Order directs state executive agencies and

departments to encourage communication and consultation with California Indian Tribes.

It further directs state agencies and departments to permit elected officials and other

representatives of tribal governments to provide meaningful input into the development of

legislation, regulations, rules, and policies on matters that may affect tribal communities.

California is home to over 170 California Native American tribes.

Executive Order B-10-11

applies to federally-recognized Tribes and other California Native Americans. For purposes of

this policy, the terms tribes and tribal governments refer to elected officials and other

representatives of federally- recognized Tribes and other California Native Americans.

This policy is not intended to replace or supplant obligations mandated by federal law. It sets

forth provisions for consultation, communication and collaboration with tribes to the extent

that a conflict does not exist with applicable laws or regulations. This policy is not a regulation

and it does not create, expand, limit, waive, or interpret any legal rights or obligations.

Tribal Liaison:

The Commissio bal Liaison will assist with implementing this policy. The Tribal Liaison is

responsible for coordinating outreach, communication, education and other activities

affiliated with tribal interests. The Tribal Liaison will act as a point of contact for tribal

governments enabling participation in Commission proceedings and Commission-approved

programs. The Tribal Liaison will facilitate CPUC leadership availability for government to

government consultation. Alternatively, tribal governments may contact the Commission

Public Advisor for this assistance (Email: Public.Advisor@cpuc.ca.gov or phone: (866) 849-

8390). The Tribal Liaison and/or Public Advisor are additional resources, and tribal

governments may continue to directly contact relevant Commission staff regarding ongoing

issues.

California Native American tribe means a Native American tribe located in California that is on the

contact list maintained by the Native American Heritage Commission for the purposes of Chapter 905 of

the Statutes of 2004. See Public Resources Code § 21073. California Native American tribes include

both federally recognized and non- federally recognized tribes. Nothing in this policy prevents tribal

consultation with other Native American groups demonstrating an ongoing connection to a specific

place or cultural resource, or issue falling under the jurisdiction of the CPUC.

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

Policy Goals: The goals of this policy are as follows:

Recognize and respect tribal sovereignty

Encourage and facilitate tribal government participation in CPUC

proceedings

Give meaningful consideration to tribal interests in issues within the

Encourage and facilitate tribal government participation in CPUC-

approved utility programs

Protect tribal cultural resources

Encourage investments by tribal governments and tribal members in

onsite renewable energy generation, energy efficiency; low carbon

transportation and energy storage.

Background Regarding CPUC Authority:

The range of CPUC activities is extensive and includes regulation of privately-owned utilities,

including gas, electric and water utilities, and oil and gas pipeline companies, and approval of

the rates they charge to customers. The CPUC also regulates some aspects of

telecommunication companies, and the safety of utilities, railroads, common carriers, charter

rates. The CPUC implements laws that require the electric utilities to procure renewable

electricity to reduce greenhouse gas emissions, and that require electric and gas utilities to

offer incentives, grants or rebates for energy efficiency, installation of renewable energy or

energy storage, and installation of electric vehicle chargers. The CPUC also implements

programs that offer reduced rates for low income gas and electric customers (i.e., the

California Alternative Rate for Energy (CARE) and Family Electric Rate Assistance (FERA)

vice; subsidies for broadband services for underserved

communities; and utility programs that provide no-cost energy efficiency upgrades to low

income customers (the Energy Savings Assistance (ESA) Program).

The CP activities may affect tribal governments in several ways, including but not limited

to: 1) impacts on a tribe that is a utility customer at buildings and/or businesses owned or

operated by the tribe or tribal members; 2) impacts on the affordability, availability and

reliability of services provided to tribal members by utilities; and 3) potential impacts from

proposed construction of utility infrastructure on or near tribal property or property containing

tribal cultural resources. Tribes may also experience impacts from electricity outages, or de-

energizing of power lines during hazardous weather conditions.

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

Facilitating Tribal Government Participation:

1. The CPUC will encourage and facilitate tribal government participation in its

programs and proceedings.

a. Tribal governments may

initiate participation in a proceeding or consultation with CPUC staff or

decision-makers. If a tribe identifies a specific issue for consultation with

the CPUC, the Tribal Liaison will identify the appropriate Commission staff

and/or decision-makers to participate in the discussions and ensure that the

matter receives appropriate consideration.

b. The CPUC will give special consideration to tribal governments quests to

participate in Commission proceedings. Administrative law judges and

Commissioners are encouraged to grant a tribal governm request to

become a party in a proceeding, even if a request is untimely, if the

proceeding can continue under the existing schedule, or if it is reasonable to

modify the schedule and consistent with principles of due process.

c. Commission staff will assist tribal governments in locating relevant

information and documents that will help them participate in Commission

proceedings and/or Commission-approved programs. If necessary,

Commission staff will send the relevant information or documents to a tribal

government electronically or by regular mail.

d. Commissioners and their advisors will make every effort to grant tribal

governm requests for in person meetings with decision-makers,

consistent with the applicable law regarding ex parte communications, and

the equal time requirements.

Other Commission staff will also

accommodate tribal governm request for in person meetings,

whenever possible.

e. When Commissioners travel to different cities for public meetings, they will

seek to arrange separate meetings with local tribal governments, as time

allows.

f. Commission staff and Administrative Law Judges shall make efforts to

ensure that relevant information the Commission receives from a tribal

government is submitted into the record of a proceeding, consistent with

the confidentiality provisions of this policy set forth below. Where a tribal

government has submitted written comments in a proceeding, the decision

Public Utilities Code § 1701.3(h)(3).

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

explain the legal, practical, or policy considerations underlying its decision.

g. The Commission will make efforts to ensure that tribal governments are

aware of Commission- managed grant programs (such as the CA Advanced

Services Fund), and various Commission- approved utility incentive and

subsidy programs offered by the utilities, especially those that target

disadvantaged and/or remote communities

offer informational materials and meetings for tribal governments on these

various programs, if requested.

h. Where feasible, Commission staff will provide assistance so that tribal

governments and tribal members may seek to participate in (or benefit

from) grant programs implemented by the Commission and various

Commission-approved incentive and subsidy programs offered by the

utilities. The CPUC Tribal Liaison will offer assistance to navigate the

application process.

2. In its role as a member of the Pacific Forest and Watershed Lands Stewardship

Council, the Commission will encourage prioritizing donation of Pacific Gas &

Electric Company property to tribal governments and, where possible, facilitate

those donations.

3. In the event that a tribal government believes that consultation has not met the

standards set forth in this Policy, it may submit a written letter to the Executive

Director of the CPUC explaining the deficiencies. Within 30 days, the Executive

Director will either meet with the tribal government, or respond in writing, and

will then direct any further consultation that he or she believes is appropriate.

Confidentiality:

The Commission recognizes that confidentiality of information regarding tribal cultural

resources, history, traditions, religious activities and sites, and other matters is

important to tribal governments and tribal members.

The Commission will follow existing laws that protect confidentiality of tribal cultural

resources (including Pub. Res. Code §§§ 5097.9, 5097.933 and 21082.3(c); Government

Code § 6254(r) and Cal.Code Regs., tit. 14, § 15120(d)).

The Commission will not include any information provided by a tribal government in

environmental documents, or documents it files in proceedings, if it is deemed

confidential by the tribal government. The tribal government shall notify the CPUC if

any information it provides is confidential, and mark any such documents as

confidential.

If appropriate, the CPUC will work with tribes to enter into a non-disclosure agreement

for documents transmitted to the CPUC that contain confidential information.

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

If confidential information regarding the presence of tribal cultural resources is relevant

to a Commission decision, the Commission will work with the tribal government to reach

agreement on how to proceed, in an effort to allow the decision-makers to consider the

information, while also protecting its confidentiality.

Tribal Consultation Under CEQA:

For projects where the CPUC is the lead agency under CEQA, the CPUC will comply with the

statutory requirements regarding tribal consultation enacted by AB 52 (Gatto, 2014) (Pub.

Res. Code §§ 21080.3 et seq.). The CPUC may also consult the Gov Office of Planning

and Research Technical Advisory: AB 52 and Tribal Cultural Resources in CEQA (June 2017).

Summary of CEQA Consultation Process:

A tribal government may request CEQA consultation if it is traditionally and

culturally affiliated with the geographic area of a proposed project.

The consultation must take place prior to the release of a negative declaration,

mitigated negative declaration, or environmental impact report. (Pub. Res. Code

review process (see below under Timing of Consultation), the consultation will

ed negative declaration,

mitigated declaration, or environmental impact report.

The consultation must address alternatives to the project, recommended

mitigation measures, or significant effects, if requested by the tribe. (Pub. Res.

Code § 21080.3.2(a)).

If the agency determines that a project may cause a substantial adverse change

to tribal cultural resources, the agency must consider mitigation measures. The

Code 21084.3(a)). The statute describes mitigation

measures that the agency may adopt, if feasible, to avoid or minimize the

impacts. (Pub. Res. § 21084.3(b)).

The consultation concludes when either 1) the parties agree on measures to

recommend to mitigate or avoid a significant effect, if one exists, on a tribal

cultural resource (Pub. Res. Code § 21082

.3(a)), or 2) a party, acting in good faith

and after reasonable effort, concludes that mutual

agreement cannot be

reached. (Pub. Res. Code § 21080.2.2(b)).

In 2016, Appendix G of the CEQA Guidelines was amended to implement AB 52. The

Environmental Checklist in Appendix G of the CEQA Guidelines now directs lead agencies to

address tribal cultural resources in Question #11: Have California Native American tribes

traditionally and culturally affiliated with the project area requested consultation pursuant to

Public Resources Code section 20180.3? If so, has consultation begun? Appendix G of the

Guidelines also directs the lead agency to identify whether the project would cause a

substantial adverse change in the significance of a tribal cultural resource that is: listed or

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

eligible for listing in the California Register of Historical Resources; is listed in a local register

of historical resources; or that is significant pursuant to the criteria in Public Resources Code §

5024.1(c) (CEQA Guidelines, Section XVII).

Advance Request for Notice of Projects:

Pursuant to AB 52, a tribe may inform agencies in advance that it would like

orm has a form letter that tribal governments may

submit to the CPUC requesting advance notice of CEQA projects in its area. See:

http://www.cpuc.ca.gov/tribal/.

Timing of Consultation: The CPUC will follow the statutory deadlines for tribal consultation

under CEQA, which generally require the following:

When a tribe has requested notice of CEQA projects, the CPUC must provide

written notice to that tribe of a project in its area, within 14 days of determining

that the project application is complete.

A tribe may request to engage in consultation within 30 days of receipt of the

notice, and designate a lead contact person.

The CPUC will begin the consultation process within 30 days of receipt of the

request for consultation.

O The CPUC will hold a consultation meeting at one of the CPUC offices (in

Sacramento, San Francisco or Los Angeles) or at a tribal government office

within 30 days.

o If a meeting at a Commission office is not feasible for the tribal government,

the consultation may occur at a mutually agreeable alternative location or by

telephone.

o If the tribe requests that the consultation be scheduled for a time after the

30 day period, the CPUC will accommodate the request.

The CPUC will participate in additional consultation meetings as necessary to

address the issues and work in good faith to reach an agreement with the tribal

government on recommendations for project modifications or mitigation

measures.

equest for CEQA consultation that is made more

than 30 days after the tribe s receipt of notice, as long as there is still time for

meaningful consultation to occur.

Tribal Consultation Policy of the California Public Utilities Commission

California Public Utilities Commission

April 26, 2018

Other Situations:

When a tribe has not requested advance notice of all CEQA projects from the CPUC, if the

Commission is the lead agency, a request will be made to the Native American Heritage

Commission to identify tribal entities interested in the project area. Commission staff will

ensure that the identified tribal entities receive written notice of a proposed project in their

area at the beginning of the environmental review process. The Commission will carefully

consider all tribal government comments regarding potential impacts on tribal cultural

resources and suggested mitigation measures.

C P UC E N V I R O N M E N T A L & S O C I A L J US T I C E A C T I O N P L A N

Appendix G: CPUC

Enforcement Policy

C A L I F O R N I A P UB L I C UT I L I T I E S C O M M I S S I O N 110

California Public Utilities Commission

Draft Enforcement Policy

INTRODUCTION

A. Background

The California Public Utilities Commission (Commission) regulates a broad

array of entities and industries, that include privately owned electric, natural

gas, telecommunications, water, railroad, rail transit, and passenger

transportation entities (regulated entities). The Public Utilities Act (Public

Utilities Code § 201 et. seq.) requires the Commission to enforce the laws

affecting regulated entities by promptly investigating and prosecuting

alleged violations and imposing appropriate penalties.

The Commission considered its existing enforcement policies and practices

when developing this Commission Enforcement Policy (Policy). Nothing in this

policy document shall be used as the basis of a regulated

entities

’

defense

to any enforcement action or as justification for any ratemaking relief, nor in

any way relieve regulated entities of any duties and obligations they may

have under statutory law.

This Policy does not apply to any violation that, as of the effective date of the

Policy, is the subject of a citation, an Order to Show Cause, an Order

Instituting Investigation, or a referral to the Legal Division for the filing of a civil

or criminal action.

B. Policy Objectives

The goals of the Policy are to promote maximum compliance with

Commission rules and requirements through the adoption and application of

consistent enforcement practices and to develop a sufficient record that

ensures that regulated entities subject to an enforcement action receive due

process (e.g., notice and an opportunity to be heard). The purpose of these

goals is to ensure that regulated entities provide services and facilities to the

public in a manner that is safe, reliable, non-discriminatory and just, and

reasonable. The Commission intends for this Policy to promote a consistent

approach among Commission staff

to enforcement actions, to make

enforcement a high priority, and to promote the

Commission

’

enforcement

culture.

As used in this Policy the term staff refers to division staff or such other staff as may be designated by the

Executive Director or a Deputy Executive Director to carry out the functions involved in taking enforcement

action.

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The Policy provides guidance on:

1. Achieving a consistent approach to enforcement;

2. Enforcement actions;

3. Settlements; and

4. Setting penalties

C. Policy Components

Guiding Principles

The

Commission

’

enforcement actions will be guided by a standard set of

principles, as described in this Policy, within its jurisdictional authority for

energy, communications, water, and transportation.

Division Specific Enforcement Teams

This Policy creates division-specific enforcement teams made up of staff

handling enforcement work. Among other activities, staff will prioritize

enforcement cases, recommend appropriate enforcement actions, and

ensure that enforcement activities are monitored and documented and that

enforcement actions are made public to the extent possible.

Commission Enforcement Team

The Policy also creates a Commission Enforcement Team made up of at least

one enforcement liaison from each division. The enforcement liaisons shall

meet at least quarterly to discuss enforcement matters and procedures with

the goal of promoting consistency and efficiency throughout the

Commission.

Consistent Enforcement Actions

To provide a consistent approach to enforcement, the Policy standardizes

enforcement documents and procedures to the extent appropriate.

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II.

Guiding

Principles

A. Ensuring Compliance

The Commission will strive to ensure compliance with statutes, rules, orders

and other requirements and provide a meaningful deterrent to violations

through its enforcement actions.

B. Consistent Enforcement

Commission enforcement actions shall be consistent, while considering the

differences in the

Commission

’

statutory authority and programs for each

particular industry. The

Commission

’

enforcement actions shall be

appropriate for each type of violation and shall provide consistent treatment

for violations that are similar in nature and have similar safety and/or

customer protection impacts. Enforcement actions shall also require a timely

return to compliance.

C. Firm Enforcement & Meaningful Deterrence

Enforcement actions should provide a meaningful deterrent to non-

compliance. This requires, at a minimum, that the Commission seek

adequate remedies, including:

1. Refunding or depriving the economic benefit gained by the

noncompliance;

2. Penalties that are higher than the amounts required to be refunded or

deprived. In setting the penalty amount, Staff shall be guided by

statute and the factors in Appendix I, Penalty Assessment

Methodology, which include:

a. Severity or gravity of the offense (including physical harm,

economic harm, harm to the regulatory process, and the

number and scope of the violations);

b. Conduct of the utility (including the regulated

entity

’

prior

history of violations and actions to prevent, detect, disclose, and

rectify a violation);

c. The financial resources of the regulated entity (including the size

of the business, need for deterrence, and constitutional

limitations on excessive fines);

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d. The totality of the circumstances in furtherance of the public

interest; and

e. The role of precedent.

D. Timely Enforcement

The Commission shall pursue timely enforcement, consistent with the needs of

each case.

E. Progressive Enforcement

The Commission shall implement progressive enforcement. Progressive

enforcement is an important component of consistent and firm enforcement.

Progressive enforcement provides an escalating series of actions, beginning

with actions such as a warning letter or notification of violation followed by

actions that compel compliance and may result in the imposition of penalties

or fines (e.g., the issuance of an enforcement order or filing a civil or criminal

action). Progressive enforcement may not be an appropriate enforcement

response when violations result from intentional or grossly negligent

misconduct, where the impacts on ratepayers or other consumers are

widespread, or where impacts to safety are significant.

F. Transparency

The Commission shall provide clear and consistent information about its

enforcement actions and which entities it regulates. The Commission will

monitor and report its enforcement actions in a publicly accessible way,

including the extent to which regulated entities return to compliance.

G. Environmental Justice and Disadvantaged Communities

The Commission shall promote enforcement of all statutes within its

jurisdictions in a manner that ensures the fair treatment of people of all races,

cultures, and income levels, including minority and low-income populations

in the state. This includes tailoring enforcement responses to address the

needs of vulnerable and disadvantaged communities.

H. Adaptive Management

The Commission shall continuously monitor and update its enforcement tools,

programs and authorities to ensure that they remain protective of customers,

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ratepayers, and the environment. This includes keeping abreast of new

markets, business practices, and consumer abuses that might necessitate

changes to the enforcement program and authorities. The Commission will

prioritize regular communication among divisions to identify both specific

violations and trends.

The Commission should address new consumer issues as they arise. In

instances where the Commission lacks jurisdiction, the Commission will work

proactively to identify the appropriate local, state, or federal agency that

does have jurisdiction and will work with that agency to remedy the harm to

consumers.

I. Enforcement Prioritization

It is the policy of the Commission that every violation should result in an

appropriate enforcement action consistent with the priority of the violation.

In recognition of its finite resources, the Commission shall exercise its

enforcement discretion to prioritize enforcement actions. Enforcement

prioritization enhances the

Commission

’

ability to leverage its finite

enforcement resources and to achieve the general deterrence needed to

encourage the regulated community to anticipate, identify, and correct

violations. In prioritizing enforcement actions, the Commission shall consider

the impact of violations on vulnerable and disadvantaged communities.

III.

Enforcement

In carrying out the

Commission

’

mandate, staff may pursue different levels of

enforcement action. In some cases, an enforcement response, such as an oral

communication followed by a Warning Letter or Email or a Notice of Violation,

will be enough to notify a regulated entity that staff identified an issue or

violation that requires corrective action. Other cases may warrant a stronger

enforcement action in lieu of, or in addition to, a warning or other initial

enforcement response. All enforcement actions shall be designed and

implemented to ensure that timely action is taken to avoid or correct a violation

and return to compliance.

Division Enforcement Teams

Each division that participates in enforcement work shall establish a Division

Enforcement Team. The Division Enforcement Team is made up of the

managers or their delegates and an attorney[s] from the

Commission

’

Legal

Division. The Division Enforcement Teams shall prioritize division cases for

enforcement action to ensure the most efficient and effective use of available

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resources. The Division Enforcement Teams shall meet at least quarterly to

prioritize enforcement cases, continuously improve enforcement processes and

procedures, and make recommendations about how to proceed with cases,

including which enforcement action is appropriate for each case. The Division

Enforcement Team is also responsible for tracking and publishing information

about division cases in an enforcement database.

Commission Enforcement Team

The Commission Enforcement Team is made up of enforcement liaisons from

each division that maintains an enforcement team and attorney(s) from the

Commission

’

Legal Division. The enforcement liaisons and attorney(s) shall

meet at least quarterly to discuss enforcement matters of statewide concern

with the goal of promoting consistency and efficiency throughout the divisions.

A. Enforcement Actions

Staff may pursue the following enforcement actions:

1. In Person or Telephone Communication

a. Staff may, but is not required to, inform regulated entities in person

or by telephone of violations that must be corrected. Staff may also

orally inform regulated entities of weaknesses, safety concerns, or

opportunities for improvement that are not violations but should be

corrected to avoid a violation or to reduce safety risk. Staff shall

keep a detailed written record of such oral communications with

the regulated entity in the case file. The minimum requirements for

documenting an oral communication with a regulated entity are:

i. Date and time of the communication;

ii. The name of the staff member[s] and the representative[s] of

the regulated entity involved in the communication;

iii. The violation, weakness, safety concern, or opportunity for

improvement that was discussed;

iv. Actions for correcting the violation or addressing the

weakness, safety concern, or opportunity for improvement

that were discussed, including required timeframes for

completing such actions;

Nothing in this Policy shall be construed to constrain staff or the Commission from pursuing actions that are

otherwise authorized but are not specifically mentioned in the Policy.

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v. The regulated

entity

’

response to the communication of the

violation, weakness, safety concern, or opportunity for

improvement; and

vi. The evaluation of whether the response is sufficient and/or

warrants a follow-up investigation.

b. All oral communications shall be memorialized in a warning email or

letter, Notice of Violation, or other written communication. Oral

communications are not required in every case. Staff may issue a

Warning Letter or email, citation, Notice of Violation, or refer a case

for other enforcement in lieu of an oral communication.

2. Warning Letter or Email

Staff may send a regulated entity a letter or an email that identifies

program weaknesses, safety concerns, or opportunities for improvement.

A Warning Letter or Email should only be sent to a regulated entity to

address issues that are not being cited as violations but should be

corrected to avoid a citation or Notice of Violation or to reduce a safety

risk. Staff shall verify delivery of the Warning Letter or Email using a Proof of

Service form. A Warning Letter or Email shall be placed in the regulated

entity case file and recorded in the enforcement database and shall

include the following:

a. The date the letter or email was sent;

b. The date staff identified the situation or condition at issue;

c. The circumstances under which staff identified the situation or

condition at issue (e.g., during an inspection or by consumer

complaint); and

d. Actions recommended to address the situation or condition at issue,

including any recommended timeframes to complete such actions.

3. Request for Information

Staff are authorized to inspect the accounts, books, papers, and

documents of a regulated entity. Staff may request the production of

accounts, books, papers, and documents of a regulated entity. Failure to

make such records available may lead to the issuance of a subpoena or

other enforcement action.

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4. Subpoena

Staff may subpoena records from a regulated entity as permitted by the

Public Utilities Act. Staff may also subpoena the attendance of a person

for deposition or other examination under oath as permitted by the Public

Utilities Act. The issuance of a subpoena is not a prerequisite for the

exercise of Commission authority under Public Utilities Code section 313 or

any appropriate powers under the California Constitution and the Public

Unities Code.

5. Cease and Desist/Stop Work Order

Commission or staff may issue an order to cease and desist an activity or

an order to stop work to a regulated entity consistent with existing

Commission decisions and orders and as permitted by the Public Utilities

Act. Nothing in this Policy is intended to modify existing procedures

concerning such actions, including any right to appeal such actions.

6. Notice of Violation

a. When a violation is identified, staff may issue a Notice of Violation to

a regulated entity. Staff shall use a Notice of Violation form. Staff

shall verify delivery of the Notice of Violation using a Proof of Service

form. A Notice of Violation shall be placed in the regulated entity

case file and recorded in the enforcement database and shall

include:

i. The law or Commission order, decision or rule violated by the

regulated entity;

ii. The facts that form the basis for each violation;

iii. Information related to the potential for additional or ongoing

violations;

iv. A directive to correct each violation to avoid additional

enforcement action;

v. A date by which the regulated entity must submit a plan for

correcting each violation if a plan is appropriate;

vi. A date by which the regulated entity must certify that each

violation has been corrected;

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vii. A penalty amount if the Notice of Violation includes a

penalty;

viii. Staff contact information; and

ix. Information about how to respond to the Notice of Violation.

b. A regulated entity that receives a Notice of Violation shall be given

an opportunity to respond in writing to that Notice of Violation. The

response shall be provided to the enforcing division within 30 days

from the date the Notice of Violation was served upon the

regulated entity. The response time may be extended or shortened

by staff, depending on the exigencies of a case. The response shall

include:

i. If the regulated entity disputes that a violation has occurred,

a statement of the facts upon which the dispute is based;

ii. A plan to correct any undisputed violations;

iii. Confirmation that the regulated entity will correct any

undisputed violations by the date(s) specified in the Notice of

Violation or a proposal for a later date with an explanation of

the need for additional time; and

iv. Confirmation that a penalty assessed will be paid within 30

days of the issuance of the Notice of Violation or a proposal

for a lower penalty amount with an explanation of why the

lower amount is appropriate.

c. Staff shall review the regulated

entity

’

response to a Notice of

Violation and consider the regulated

entity

’

explanation or

defenses. Staff shall determine whether to accept the response or

proceed with additional enforcement. The reasons for a

determination that the regulated

entity

’

explanation or defenses

lack merit should be included in the regulated entity case file. After

Staff may decide that violations that are administrative in nature do not warrant the imposition of a

penalty given the facts known at the time. Administrative violations do not involve immediate safety

implications. Examples of administrative violations include: Inadvertent omissions or deficiencies in

recordkeeping that do not prevent staff from determining compliance; records not physically available at

the time of the inspection, provided the records exist and can be produced in a reasonable amount of

time; and inadvertent violations of insignificant administrative provisions that do not involve a significant

threat to human health, safety, welfare, or the environment. A recurring administrative violation may

warrant a penalty.

When

referred

this

policy,

days

means

calendar

days.

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reviewing the response, staff may take any appropriate action

including any of the following actions:

i. Send the regulated entity a draft Proposed Administrative

Consent Order and negotiate a proposed settlement for

Commission review;

ii. Request that the regulated entity provide additional

information; or

iii. Take the next appropriate enforcement action.

7. Administrative Consent Order

a. A negotiated proposed settlement shall be memorialized in a

proposed Administrative Consent Order, prepared using an

Administrative Consent Order form. The proposed Administrative

Consent Order shall become final upon review and approval by the

Commission. All proposed and final Administrative Consent Orders

shall be placed in the regulated entity case file and recorded in the

enforcement database and shall include:

i. The law or Commission order, resolution, decision, or rule

violated by the regulated entity;

ii. The facts that form the basis for each violation;

iii. The number of violations, including the dates on which

violations occurred;

iv. Information related to the potential for additional or ongoing

violations;

v. An agreement by the regulated entity to correct each

violation;

vi. A date by which the regulated entity must certify it corrected

all violations;

vii. An agreement by the regulated entity to pay any penalty by

a date specified.

b. The

Commission’s

Executive Director shall designate Commission

management at the Deputy Director level or higher (or designee)

to negotiate a proposed Administrative Consent Order.

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c. If a regulated entity does not respond to a Notice of Violation within

the required time frame, or if a proposed Administrative Consent

Order is not negotiated, staff shall take the next appropriate

enforcement action.

8. Citation and Compliance Programs

a. If staff discover a violation that can be addressed under an existing

Citation and Compliance Program, staff shall determine whether to

issue a citation as allowed under the Citation and Compliance

Program or take a different enforcement action. Factors to

consider in determining whether a different enforcement action is

appropriate include, but are not limited to:

i. Whether more flexibility in determining the penalty is

appropriate for the circumstances, including whether the

appropriate penalty is lesser or greater than the

administrative limit imposed by the Citation and Compliance

program (the remaining factors below may be relevant to this

determination);

ii. The culpability of the regulated entity  e.g., whether the

violation was negligent, knowing, willful, or intentional;

iii. Whether the regulated entity benefitted economically from

noncompliance, either by realizing avoided or reduced costs

or by gaining an unfair competitive advantage;

iv. Whether violations are chronic, or the regulated entity is

recalcitrant;

v. Whether violations can be corrected within 30 days;

vi. Whether the actual or potential harm from a violation is

substantial;

vii. Whether the case warrants specific corrective action

requirements that cannot be included in a citation; and

viii. Whether the case warrants a recommendation for an Order

Instituting Investigation and/or civil or criminal action.

b. If staff discover a violation that cannot be addressed through a

pre-existing Citation and Compliance program, staff should take

the next appropriate enforcement action.

c. Prescriptive and Proscriptive Requirements  All requirements

(including, but not limited to, complaint procedures, an action or

failure to act identified as a violation in a Citation and Compliance

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Program, and requirements to report actual or potential violations

to any entity, e.g. local authorities or the Commission), that are

otherwise applicable to a regulated entity shall continue to apply

and remain enforceable, regardless of whether staff choose to issue

a citation for a violation under a Citation and Compliance Program

or pursue a different enforcement action.

9. Administrative Enforcement Order

a. Staff may issue a proposed Administrative Enforcement Order to a

regulated entity, prepared using an Administrative Enforcement

Order form. Staff shall verify delivery of the proposed Administrative

Enforcement Order to the regulated entity using a Proof of Service

form. Proposed Administrative Enforcement Orders shall be placed

in the regulated entity case file and recorded in the enforcement

database and shall include:

i. The law or Commission order, resolution, decision, or rule

violated by the regulated entity;

ii. The facts that form the basis for each violation;

iii. The number of violations, including the dates on which

violations occurred;

iv. Information related to the potential for additional or ongoing

violations;

v. A directive to correct each violation;

vi. A date by which the regulated entity must certify that it

corrected all violations;

vii. A directive to pay a penalty by a date specified;

viii. Staff contact information; and

ix. Information about how to request a hearing on the proposed

Administrative Enforcement Order.

b. The

Commission

’

Executive Director shall designate Commission

management at the Deputy Director level or higher (or designee)

to transmit a proposed Administrative Enforcement Order to a

regulated entity.

c. The regulated entity may request a hearing on the proposed

Administrative Enforcement Order by filing a Request for Hearing

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form within 30 days of the date the proposed order is served on the

entity. The right to a hearing is forfeited if a Request for Hearing is

not timely filed. If a timely Request for Hearing is not filed, the

proposed Administrative Enforcement Order shall become final

upon adoption by the Commission. Corrective action requirements

in a proposed Administrative Enforcement Order remain in effect,

notwithstanding the filing of a Request for Hearing. Neither

payment of the penalty nor filing a timely Request for Hearing shall

excuse the regulated entity from curing a violation. The hearing

shall be conducted by an ALJ in accordance with the hearing

provisions in the Citation Appellate Rules. A draft ALJ resolution

approved by the Commission is subject to rehearing pursuant to

Public Utilities Code section 1731 and to judicial review pursuant to

Public Utilities Code section 1756. The amount of the penalty shall

continue to accrue on a daily basis until the violation is corrected or

until the appeal, rehearing, and judicial review process is fully

concluded, a penalty is found to be appropriate, and the penalty is

paid in full. The requirement that a penalty be paid shall be stayed

during the hearing and rehearing process. Interest may be

charged on unpaid balances and staff may take whatever actions

are provided by law to recover unpaid penalties.

10. Order Instituting Investigation

Staff may recommend that the Commission issue an Order Instituting

Investigation. Factors that may be considered in determining whether

to recommend an Order Instituting Investigation include, but are not

limited to:

a. The appropriate penalty for the case exceeds limits set by resolution

or decision;

b. The matter is complex;

c. The violations caused fatalities, substantial injuries, and/or involved

significant property damage in a widespread area;

d. The matter includes allegations of fraud or knowing, intentional or

willful behavior;

e. The regulated

entity

’

potential explanation or defenses; and

f. The entity has repeatedly violated the law or Commission rules and

orders.

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11. Order to Show Cause

Staff may recommend that the Commission issue an Order to Show

Cause - an order that requires a regulated entity to show cause why a

specified Commission action should not be taken. In deciding whether

to recommend that the Commission issue an Order to Show Cause,

Staff shall consider:

a. Whether the regulated entity failed to comply with a Commission

order, general order, ruling, rule, data request, or statute; and

b. If the regulated entity failed to comply, whether the failure is a Rule

1.1 violation, a violation of Public Utilities Code section 2107, or its

actions meet the criteria for a finding of contempt.

12. Suspension, Alteration, Amendment, and Revocation/Receivership

Commission or staff may suspend, alter, amend, or revoke the license

or certification of a regulated entity consistent with existing Commission

decisions and orders and as permitted by the Public Utilities Act.

Nothing in this Policy is intended to modify existing procedures

concerning such actions, including any right to appeal such actions.

13. Civil or Criminal Action

Staff may request that the Commission refer the matter to the Legal

Division for the filing of a civil or criminal action, including requests for

injunctive relief. Factors staff may consider in determining whether to

refer the matter for civil or criminal action include, but are not limited

to:

a. The matter includes allegations of criminal behavior;

b. Any of the factors for recommending an Order Instituting

Investigation exist; or

c. Referral is appropriate given resource availability.

14. Referral to or from Another Agency

In some circumstances it may be appropriate to refer a case to

another local, state or federal agency for consideration of

enforcement action. If another agency refers a case to the CPUC,

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enforcement actions considered and/or taken will be in accordance

with this Policy.

B. Settlement of Enforcement Actions

The Policy does not list the full range of considerations that may be

relevant to negotiating a proposed settlement. However, the following

general considerations should be evaluated as part of any proposed

settlement to be submitted for Commission review:

1. Equitable factors;

2. Mitigating circumstances;

3. Evidentiary issues; and

4. Other weaknesses in the enforcement action that the division

reasonably believes may adversely affect the ability to obtain the

calculated penalty.

C. Penalties

The Commission and staff that choose not to take enforcement action

under a Citation and Compliance Program, shall calculate an

appropriate penalty using the methodology set forth in Appendix I

(Penalty Assessment Methodology).

D. Monitoring Compliance with Orders, Decisions, and Resolutions

Staff is responsible for monitoring compliance with all final orders

(including administrative consent orders), decisions, and resolutions. Staff

shall document compliance in the enforcement database and the

regulated

entity

’

case file.

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Appendix

Draft

Penalty

Assessment

Methodology

When a regulated entity violates the Public Utilities Act or Commission rules,

decisions, or orders, Commission staff may propose, and the Commission may

assess a penalty against the regulated entity. The penalty amount for each

violation may be proposed or assessed at an amount that is within the statutory

range authorized by the Public Utilities Act. This Penalty Assessment

Methodology sets forth the factors that staff and the Commission must consider

in determining the amount of a penalty for each violation. The factors are

consistent with those that the Commission previously adopted and has

historically relied upon in assessing penalties and restates them in a manner that

will form the analytical foundation for future decisions that assess penalties.

The purpose of a penalty is to go beyond restitution to the victim and to

effectively deter further violations by the perpetrator or others. Effective

deterrence creates an incentive for regulated entities to avoid violations.

Deterrence is particularly important against violations that could result in public

harm and other severe consequences. The following factors shall be used in

setting penalties that are appropriate to a violation:

Severity

Gravity

the

Offense

The evaluation of the severity or gravity of the offense includes several

considerations:

Economic harm to victims

Physical harm to people or property

Threatened physical harm to people or property

Harm to the integrity of the regulatory processes, including disregarding a

statutory or Commission directive

The number of violations

The number of consumers affected

Economic harm reflects the amount of expense that was imposed upon victims.

In comparison, violations that cause actual physical harm to people or property

are generally considered the most severe, followed by violations that threaten

such harm. The fact that the economic harm may be difficult to quantify does

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not itself diminish the severity or the need for sanctions. For example, the

Commission has recognized that deprivation of choice of service providers,

while not necessarily imposing quantifiable economic harm, diminishes the

competitive marketplace and warrants some form of sanction.

Many potential penalty cases do not involve any harm to consumers but are

instead violations of reporting or compliance requirements. Such violations

harm the integrity of the regulatory processes. For example, state law requires all

California public utilities to comply with Commission directives:

Every public utility shall obey and comply with every order, decision,

direction, or rule made or prescribed by the Commission in the matters

specified in this part, or any other matter in any way relating to or

affecting its business as a public utility, and shall do everything necessary

or proper to secure compliance therewith by all of its officers, agents, and

employees. (Public Utilities Code § 702).

Such compliance is essential to the proper functioning of the regulatory process.

For this reason, disregarding a statutory or Commission directive, regardless of

the effects on the public, will be accorded a high level of severity.

The number of the violations is a factor in determining the severity. A series of

temporally distinct violations can suggest an on-going compliance deficiency

that the regulated entity should have addressed after the first instance. Similarly,

a widespread violation which affects a large number of consumers is a more

severe offense than one that is limited in scope. For a continuing offense,

Public Utilities Code section 2108 counts each day as a separate offense.

II.

Conduct

the

Regulated

Entity

The evaluation of the conduct of the regulated entity includes several

considerations:

Degree of culpability

Actions taken to prevent a violation

Actions taken to detect a violation

Actions taken to disclose and rectify a violation, including voluntary

reporting of potential violations, voluntary removal or resolution efforts

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undertaken, and the good faith of the regulated entity in attempting to

achieve compliance after notification

Actions taken to conceal, hide, or coverup a violation

Prior history of violations

This factor recognizes the important role of the regulated

entity

’

conduct in: (1)

preventing the violation, (2) detecting the violation, and (3) disclosing and

rectifying the violation. The regulated entity is responsible for the acts of all its

officers, agents, and employees:

In construing and enforcing the provisions of this part relating to

penalties, the act, omission, or failure of any officer, agent, or employee

of any public utility, acting within the scope of his [or her] official duties or

employment, shall in every case be the act, omission, or failure of such

public utility. (Public Utilities Code § 2109).

Prior to a violation occurring, prudent practice requires that all regulated entities

take reasonable steps to ensure compliance with Commission directives. This

includes becoming familiar with applicable laws and regulations, and most

critically, the regulated entity regularly reviewing its own operations to ensure full

compliance. In evaluating the regulated

entity

’

advance efforts to ensure

compliance, the

entity

’

past record of compliance with Commission directives

should be considered.

The Commission expects regulated entities to diligently monitor their activities

and operations. When staff determines that regulated entities, for whatever

reason, failed to monitor and improve substandard operations, staff will continue

to hold the regulated entity responsible for its actions. Deliberate as opposed to

inadvertent wrong-doing will be considered an aggravating factor. Staff will

also look at the

management

’

conduct during the period in which the violation

occurred to ascertain the level and extent of involvement in or tolerance of the

offense by management personnel. Staff will closely scrutinize any attempts by

management to attribute wrong-doing to rogue employees. Managers will be

considered, absent clear evidence to the contrary, to have condoned day-to-

day actions by employees and agents under their supervision.

When a regulated entity is aware that a violation has occurred, staff expects the

regulated entity to promptly bring it to the attention of Commission staff. The

precise timetable that constitutes prompt will vary based on the nature of the

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violation. Violations that physically endanger the public must be immediately

corrected and thereafter reported to the Commission staff. Reporting violations

should be remedied at the earliest administratively feasible time.

Prompt reporting of violations and expeditious correction promotes

transparency and public trust and furthers the public interest. For this reason,

steps taken by a regulated entity to promptly and cooperatively report and

correct violations may be considered in assessing any penalty.

III.

Financial Resources of the Regulated Entity, Including the Size of the

Business

Effective deterrence also requires that staff recognize the financial resources of

the regulated entity in setting a penalty that balances the need for deterrence

with the constitutional limitations on excessive penalties. Some California

regulated entities are among the largest corporations in the United States and

others are extremely modest, one-person operations. An accounting rounding

error to one company is annual revenue to another. If appropriate, penalty

levels will be adjusted to achieve the objective of deterrence, without

becoming excessive, based on each regulated

entity

’

financial resources.

IV.

Totality

the

Circumstances

Furtherance

the

Public

Interest

An evaluation of the totality of the circumstances in furtherance of the public

interest includes several considerations:

Establishing a penalty that effectively deters further unlawful conduct

Consideration of facts that tend to mitigate or exacerbate the degree of

wrongdoing

Harm from the perspective of the public interest

Ensuring that a regulated entity does not have incentives to make

economic choices that cause or unduly risk a violation

Setting a penalty at a level that effectively deters further unlawful conduct by

the regulated entity and others requires that staff specifically tailor the package

of sanctions, including any penalty, to the unique facts of the case. Staff will

review facts that tend to mitigate the degree of wrongdoing as well as any facts

that exacerbate the wrongdoing. In all cases, the harm will be evaluated from

the perspective of the public interest.

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An economic benefit amount shall be estimated for every violation. Economic

benefit includes any savings or monetary gain derived from the act or omission

that constitutes the violation. In cases where the violation occurred because

the regulated entity postponed improvements, failed to implement adequate

control measures, failed to obtain required Commission authority or did not take

other measures needed to prevent the violations, the economic benefit may be

substantial. Economic benefit should be calculated as follows:

Determine those actions required to comply with a permit, decision, or

order of the Commission, an enforcement order, or that were necessary in

the exercise of reasonable care, to prevent a violation. Needed actions

include obtaining regulatory authority or coverage, capital

improvements, staff training, plan development, or the introduction of

procedures to improve facility management.

Determine when and/or how often the regulated entity should have

taken these actions as specified in the permit, decision, or order, or as

necessary to exercise reasonable care, in order to prevent the violation.

Evaluate the types of actions that the regulated entity should have taken

to avoid the violation and estimate the costs of these actions. There are

two types of costs that should be considered; delayed costs and avoided

costs. Delayed costs include expenditures that should have been made

sooner (e.g., for capital improvements such as plant upgrades, training,

development of procedures and practices), but that the regulated entity

implemented too late to avoid the violation and/or is still obligated to

perform. Avoided costs include expenditures for equipment or services

that the regulated entity should have incurred to avoid the incident of

noncompliance, but that are no longer required. Avoided costs also

include ongoing costs such as needed additional staffing from the time

the costs should have been incurred to the present.

Calculate the present value of the economic benefit. The economic

benefit is equal to the present value of the avoided costs plus the

interest on delayed costs. This calculation reflects the fact that the

regulated entity has had the use of the money that should have been

used to avoid the instance of noncompliance.

Determine whether the regulated entity gained any other economic

benefits. These may include income from unauthorized or unpermitted

operations.

California Public Utilities Commission

Draft Enforcement Policy

The economic benefit should not be adjusted for expenditures by the regulated

entity to abate the effects of the unauthorized conduct, or the costs to achieve

or return to compliance.

The economic benefit amount should be compared to the penalty amount

calculated using the other factors set forth in this appendix.

The penalty amount should be at least 10 percent higher than the economic

benefit amount so that regulated entities do not construe penalties as the cost

of doing business and that the assessed penalty provides a meaningful

deterrent to future violations. Absent express findings of exceptional

circumstances or other factors as justice may require, if the penalty amount is

lower than the economic benefit amount plus 10 percent, the economic benefit

amount plus 10 percent shall be the penalty. It would be unfair to regulated

entities that voluntarily incur the costs of regulatory compliance to impose a

lower amount absent exceptional circumstances.

The

Role

Precedent

Penalties are assessed in a wide range of cases. The penalties assessed in cases

are not usually directly comparable. Nevertheless, when a case involves

reasonably comparable factual circumstances to another case where penalties

were assessed, the similarities and differences between the two cases should be

considered in setting the penalty amount.