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, Record of Complaints, and 25-30.355,
Complaints, 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 were incorporated
into the draft rule amendments.
The Record of
Complaints and Complaints rules were considered by the Commission at the
December 12, 2017, Agenda Conference.
The Commission deferred this
docket to the February 6, 2018 Agenda Conference so that staff could make two
changes to the draft Complaints rule, Rule 25-30.355, F.A.C.. The Commission directed staff to amend the Complaints
rule to require a utility to acknowledge receipt of a complaint no later than three
days after receipt of the complaint. The Commission also directed staff to
amend the Complaints rule to require a utility to investigate the complaint and
give the customer a verbal or written response within 15 days of receipt,
instead of within 15 working days of receipt as had been recommended by staff.
Staff sent out a second data request and invited water and wastewater utilities
and interested persons to provide comments on these draft changes. Staff
received one utility response from Mr. Mike Smallridge. Staff prepared a
Statement of Estimated Regulatory Costs that included consideration of this data
request response.
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.
Rule 25-30.130, F.A.C., Record of Complaints
Staff’s suggested changes to Rule 25-30.130, F.A.C., are
the same as were recommended in the previous staff recommendation heard by the
Commission at the December 12, 2017, Agenda Conference. Staff’s analysis of the recommended amendments
is explained below.
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 received.
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(2), 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
as set forth in 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
Staff’s recommended amendments to this rule incorporate
the modifications requested by the Commission at the December 12, 2017 Agenda
Conference. Staff’s analysis of the recommended amendments is explained below.
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. Specific time periods should be added
to the rule to clarify how much time is considered prompt in acknowledging and
responding to customer complaints. Staff believes that it is reasonable to
expect a utility to acknowledge a customer’s complaint within three days. Further,
staff believes that 15 days is an appropriate and sufficient time for a utility
to investigate a complaint and give the customer a verbal or written
response. It is staff’s opinion that under
the current rule, it would be expected that utilities would acknowledge customer
complaints within three days and would investigate and provide a response to
complaints within 15 days. In essence,
clarifying the rule to include these specific timeframes is meant to codify the
time frames the Commission would expect utilities to already be meeting in
acknowledging and responding to customer complaints.
As explained in the Case Background, following the
December 12, 2017 Agenda Conference, staff sent out a second data request and
request for comments on the draft amendments to Rule 25-30.355, F.A.C., to all
water and wastewater utilities and interested persons in this docket. Staff received one written response from Mr.
Mike Smallridge. Mr. Smallridge requested that the time for acknowledging a
customer complaint be change from 3 days to 3 business days to compensate for
holidays and weekends. Water and wastewater utilities provide an essential
public service. Staff believes that a utility should be required to acknowledge
its receipt of a customer complaint within 3 days, whether or not some of those
days fall on a weekend or holiday.
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.
Subsection (2) of Rule 25-30.355, F.A.C., defines a 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 his or her 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 days as required by
subsection (1) of Rule 25-30.355, F.A.C.
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 has not been
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.
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 have minimal 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 likely
to be incurred by individuals and entities required to comply with the
requirements of the rule 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.
