Case Background
Rule
25-30.130, Record of Complaints, Florida Administrative Code (F.A.C.), requires
each water and wastewater utility to keep a record of each signed, written
customer complaint, and identifies the information that must be kept in the
record. Rule 25-30.355, Complaints, F.A.C., requires a utility to make a full
and prompt acknowledgement and investigation of all customer complaints, and
defines the word “complaint.” Staff initiated this rulemaking to update
language, delete obsolete requirements, edit to improve readability, and
clarify the rules.
The
Commission also has a rule addressing customer complaints that applies to all
of the Commission’s regulated utilities, Rule 25-22.032, F.A.C., Customer
Complaints. Under this rule, if a customer complaint is not resolved informally
between a customer and the utility, the customer may file a complaint with the
Commission. Staff is not recommending any amendments to this rule because the
process set out in the rule works well.
However, staff examined Rules 25-30.130 and 25-30.355, F.A.C., in light
of the process described in Rule 25-22.032, F.A.C., to determine whether there
was any duplication between the rules.
The notice of
rule development for Rules 25-30.130 and 25-30.355, F.A.C., appeared in the
February 8, 2017, edition of the Florida Administrative Register, volume 43,
number 26. Staff rule development workshops were held on February 28, 2017, and
on June 27, 2017. Although no water or
wastewater utility representatives attended the workshops, Mr. Mike Smallridge
provided comments that were considered in this rulemaking. The Office of Public
Counsel participated in both workshops and provided comments that have been
incorporated into the recommended rule amendments.
This
recommendation addresses whether the Commission should propose the amendment of
Rules 25-30.130 and 25-30.355, F.A.C. The Commission has jurisdiction pursuant
to Sections 120.54, 350.127(2), 367.0812, 367.111, and 367.121(1), Florida
Statutes (F.S.).
Discussion
of Issues
Issue 1:
Should the Commission propose the amendment of Rules
25-30.130, Record of Complaints, and 25-30.355, Complaints, F.A.C.?
Recommendation:
Yes, the Commission should propose the amendment of Rules
25-30.130 and 25-30.355, F.A.C., as set forth in Attachment A. Staff recommends
that the Commission certify proposed amended Rules 25-30.130 and 25-30.355,
F.A.C., as minor violation rules. (Cowdery, King, Graves, Hicks, Guffey)
Staff
Analysis:
Staff recommends that the Commission propose the amendment
of Rules 25-30.130 and 25-30.355, F.A.C., as set forth in Attachment A. Staff’s
analysis of how each rule should be amended is discussed in more detail below.
Rule 25-30.130, F.A.C., Record of Complaints
Requirement to maintain a record of all
complaints
Under subsection (1) of Rule 25-30.130, F.A.C., water and
wastewater utilities must maintain a record of all signed, written complaints.
The requirement for a signed, written complaint pre-dates electronic
communication and is technically obsolete. For this reason, staff recommends
that the Commission propose the amendment of subsection (1) of Rule 25-30.130,
F.A.C., to require water and wastewater utilities to maintain a record of all
complaints.
Staff is further recommending that Rule 25-30.130(1),
F.A.C., be amended to state that the word “complaint” is defined in Rule
25-30.355(1), F.A.C., as discussed below. Staff believes that this will assure
that water and wastewater utilities are made aware of what customer contacts
constitute complaints that are subject to the record keeping requirements of
Rule 25-30.130, F.A.C.
Requirement to maintain a record of each
complaint for five years
As mentioned in the Case Background, the Commission has a
rule applicable to all industries with a procedure to resolve customer
complaints that are not resolved informally between a customer and the utility,
Rule 25-22.032, F.A.C., Customer Complaints. This Customer Complaints rule requires
a utility to keep copies of documentation relating to each Commission complaint
for two years after the date the complaint was closed by the Commission. This is a different recordkeeping requirement
than the requirement that water and wastewater utilities retain a record of
each complaint received by the utility for five years under Rule 25-30.130,
F.A.C., addressed in this docket. Staff recommends that for clarity, the
Commission should add language to Rule 25-30.130, F.A.C., specifying that
documentation relating to customer complaints processed under the Commission’s
Customer Complaints rule, Rule 25-22.032, F.A.C., shall be retained for the two
year time period as required by Rule 25-22.032(10)(a), F.A.C.
Requirement for utilities to provide records of
complaints to Commission staff upon request
Rule 25-30.355, F.A.C., Complaints
Responding to customer complaints
Subsection (1) of Rule 25-30.355, F.A.C., requires water
and wastewater utilities to make a full and prompt acknowledgement and
investigation of all customer complaints. Staff recommends that this language
should be amended to require a utility to investigate a customer complaint and
give the customer a verbal or written response within 15 working days of the
utility’s receipt of the complaint. A 15-day response requirement would give
specificity and clarity as to what is considered an appropriate response time.
Subsection (1) of Rule 25-30.355,
F.A.C., also requires water and wastewater utilities to “respond fully and
promptly to all customer requests.” Staff is recommending that this requirement
be deleted from Rule 25-30.355, F.A.C., because it is duplicative of other rule
requirements that better explain the utilities’ responsibilities to promptly
address customer service requests. In this regard, Rule 25-30.310(2), F.A.C.,
requires water and wastewater utilities to initiate service to a customer
“without unreasonable delay”; Rule 25-30.250(1), F.A.C., requires water and
wastewater utilities to re-establish service with the shortest possible delay
consistent with the safety of its consumers and the general public; and Rule
25-30.320, F.A.C., addressing refusal or discontinuance of service, contains
customer notification requirements. Additionally, Rule 25-30.266, F.A.C.,
contains provisions that apply when a customer requests the utility to test for
meter error. Further, the requirement
that customer service requests be promptly addressed is appropriately addressed
in the rules described above instead of in the customer complaint rule because
customer service requests are not complaints.
Definition of complaint
Rule 25-30.355, F.A.C., defines complaint, in part, as an
objection made to the utility by the customer as to the utility’s charges,
facilities, or service that requires action on the part of the utility. Staff
believes that the rule should be amended to make clear that the customer may
inform the utility of its complaint by telephone call, e-mail, letter, or
utility’s web-site form. This specificity will mean that all such customer
complaints will be recorded and retained as required in Rule 25-30.130, F.A.C.,
and will be responded to within 15 working days as required by subsection (2)
of Rule 25-30.355, F.A.C.
Deletion of response to staff inquiry
requirement
Subsection (3) of Rule 25-30.355, F.A.C., requires water
and wastewater utilities to reply in writing to Commission staff inquiries
within 15 days from the date of the inquiry. Staff recommends that this
requirement should be deleted because this same requirement is already properly
included in Commission Rule 25-22.032, F.A.C., Customer Complaints, and does
not belong in Rule 25-30.355, F.A.C. The focus of Rule 25-30.355, F.A.C.,
Complaints, is on the utility’s responsibility to promptly investigate and
respond to customer complaints and attempt to resolve those complaints without
Commission staff’s involvement. If Commission staff has become involved and is
requesting information from the utility, it means the complaint was not
resolved by the utility and customer, and the customer has filed a complaint
with the Office of Consumer Assistance and Outreach for resolution under Rule
25-22.032, F.A.C.
Utility response to emergency conditions
Staff also recommends that subsection (3) be amended to define
emergencies as reports of water or wastewater main breaks or conditions caused
by utility-owned facilities wherein property damage or personal injury is
reasonably foreseeable. This language is similar to the electric utility
definition of emergency in subsection (4) of Rule 25-6.094, F.A.C.
Statement of Estimated Regulatory Costs
Pursuant to Section 120.54(3)(b)1.,
F.S., agencies are encouraged to prepare a statement of estimated regulatory
costs (SERC) before the adoption, amendment, or repeal of any rule. A SERC was prepared for this rulemaking and
is appended as Attachment B. As required by Section 120.541(2)(a)1., F.S., the
SERC analysis includes whether the rule amendments are likely to have an
adverse impact on economic growth, private sector job creation or employment,
or private sector investment in excess of $1 million in the aggregate within 5
years after implementation. Section 120.541(2)(a)1., F.S. None of the impact/cost
criteria will be exceeded as a result of the recommended revisions.
The SERC
concludes that the rule amendments will likely not directly or indirectly
increase regulatory costs in excess of $200,000 in the aggregate in Florida
within 1 year after implementation. Further, the SERC concludes that the rule
amendments will not likely increase regulatory costs, including any
transactional costs or have an adverse impact on business competitiveness,
productivity, or innovation in excess of $1 million in the aggregate within 5
years of implementation. Thus, the rule amendments do not require legislative
ratification, pursuant to Section 120.541(3), F.S. In addition, the SERC states that the rule amendments
would not have an adverse impact on small businesses, would have no
implementation or enforcement cost on the Commission or any other state and
local government entity, and would have no impact on small cities or small
counties. The SERC states that
transactional costs on small businesses, if there are any, are expected to be minimal.
Minor Violation Rules Certification
Pursuant to Section 120.695, F.S., beginning July 1, 2017,
for each rule filed for adoption, the Commission is required to certify whether
any part of the rule is designated as a rule the violation of which would be a
minor violation. A list of the Commission rules designated as minor violation
rules is published on the Commission’s website, as required by Section
120.695(2), F.S. Currently, Rules 25-30.130 and 25-30.355, F.A.C., are on the
Commission’s list of rules designated as minor violations. If the Commission
proposes the amendment of Rules 25-30.130 and 25-30.355, F.A.C., the rules
would continue to be considered minor violation rules. Therefore, for purposes
of filing the amended rules for adoption with the Department of State, staff
recommends that the Commission certify proposed amended Rules 25-30.130 and
25-30.355, F.A.C., as minor violation rules.
Conclusion
For the reasons described above, staff recommends that the
Commission should propose the amendment of Rules 25-30.130 and 25-30.355,
F.A.C., as set forth in Attachment A. Staff recommends that the Commission
certify the proposed amended Rules 25-30.130 and 25-30.355, F.A.C., as minor
violation rules.
Issue 2:
Should this docket be closed?
Recommendation:
Yes. If no
requests for hearing or comments are filed, the rules should be filed with the
Department of State, and the docket should be closed. (Cowdery)
Staff Analysis:
If no requests for hearing or comments are filed,
the rules should be filed with the Department of State, and the docket should
be closed.
