Subchapter F. DISPUTES; TERMINATION DISPUTES; INFORMAL
AND FORMAL COMPLAINTS

§ 56.140. Follow-up response to inquiry.

 When a customer is waiting for a follow-up response to an inquiry under §  56.2 (relating to the definition of initial inquiry), termination or threatening termination of service for the subject matter in question shall be prohibited until the follow-up response, and when applicable, subsequent dispute resolution is completed by the utility.

   The provisions of this §  56.140 issued under the Public Utility Code, 66 Pa.C.S. § §  501, 504—506, 1301 and 1501.

 A notice of dispute, including termination disputes, shall proceed in the first instance, according to this section:

   (1)  Attempted resolution. If, at any time prior to the actual termination of service, a ratepayer advises the utility that he disputes any matter covered by this chapter, including but not limited to credit determinations, deposit requirements, the accuracy of utility metering or billing or the proper party to be charged, the utility shall attempt to resolve the dispute in accordance with §  56.151 (relating to general rule).

   (2)  Termination stayed. Except as otherwise provided in this chapter, where a termination dispute or complaint has been properly filed in accordance with this subchapter, termination shall be prohibited until resolution of the dispute or complaint; however, the disputing party shall pay undisputed portions of the bill.

   The provisions of this §  56.141 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.141 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250. Immediately preceding text appears at serial page (37363).

   Attempted Resolution

   The utility did not improperly require customers to talk to the utility before filing a complaint with the Pennsylvania Public Utility Commission, where the regulations require the public utilities to attempt to resolve a dispute with a customer before any informal or formal complaint is filed with the Pennsylvania Public Utility Commission, and where the language used by the utility in its billing statement complied with 52 Pa. Code §  56.2. Aronson v. Pennsylvania Public Utility Commission, 740 A.2d 1208 (Pa. Cmwlth. 1999); appeal denied 751 A.2d 193 (Pa. 2000).

 To be timely filed, a termination dispute—which may not include disputes under § §  56.35 and 56.191 (relating to payment of outstanding balance; and general rule)—and informal complaints shall be filed prior to the day on which the utility arrives to terminate service. If the utility arrives to terminate service and posts a deferred termination notice in lieu of termination or otherwise fails to terminate service, the time for filing a termination dispute or informal complaint shall be extended until the end of the business day prior to the utility again arriving to terminate service.

   The provisions of this §  56.142 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504—506, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.142 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250; amended July 17, 1998, effective August 17, 1998, 28 Pa.B. 3379. Immediately preceding text appears at serial page (205773).

 Failure to timely file a notice of dispute, except for good cause, shall constitute a waiver of applicable rights to retain service without complying with the termination notice or conference report of the utility and may constitute a waiver of rights to file an informal complaint in accordance with this chapter.

   The provisions of this §  56.143 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655.

   This section cited in 52 Pa. Code §  56.16 (relating to transfer of accounts).

UTILITY COMPANY DISPUTE PROCEDURES

§ 56.151. General rule.

 Upon initiation of a dispute covered by this section, the utility shall:

   (1)  Not issue a termination notice based on the disputed subject matter.

   (2)  Investigate the matter using methods reasonable under the circumstances, which may include telephone or personal conferences, or both, with the ratepayer or occupant.

   (3)  Make a diligent attempt to negotiate a reasonable payment agreement if the ratepayer or occupant claims a temporary inability to pay an undisputed bill. Factors which shall be considered in the negotiation of a payment agreement shall include, but not be limited to:

     (i)   The size of the unpaid balance.

     (ii)   The ability of the ratepayer to pay.

     (iii)   The payment history of the ratepayer.

     (iv)   The length of time over which the bill accumulated.

   (4)  Provide the ratepayer or occupant with the information necessary for an informed judgment, including, but not limited to, relevant portions of tariffs, statements of account and results of meter tests.

   (5)  Within 30 days of the initiation of the dispute, issue its report to the complaining party. The utility shall inform the complaining party that the report is available upon request.

     (i)   If the complainant is not satisfied with the dispute resolution, the utility company report shall be in writing and conform to §  56.152 (relating to contents of the utility company report). Further, in these instances, the written report shall be sent to the complaining party if requested or if the utility deems it necessary.

     (ii)   If the complaining party is satisfied with the orally conveyed dispute resolution, the written utility company report may be limited to the information in §  56.152(1), (2), and, when applicable, §  56.152(7)(ii) or (8)(ii).

     (iii)   If the complaining party expresses satisfaction but requests a written report, the report shall conform with §  56.152, in its entirety.

   The provisions of this §  56.151 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504—506, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.151 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250; amended July 17, 1998, effective August 17, 1998, 28 Pa.B. 3379. Immediately preceding text appears at serial pages (205774) to (205775).

 A utility company report shall include the following:

   (1)  A statement of the claim or dispute of the ratepayer and a copy thereof if the claim or notice of dispute was made in writing.

   (2)  The position of the utility regarding that claim.

   (3)  A statement that service will not be terminated pending completion of the dispute process, including both informal and formal complaints, so long as there is compliance with all requirements of the Commission.

   (4)  A statement that if the complaining party does not agree with the utility company report, an informal complaint shall be filed with the Commission within 10 days of the mailing date of the report to insure the preservation of all of his rights.

   (5)  The office where payment may be made or information obtained listing the appropriate telephone number and address of the utility.

   (6)  A full and complete explanation of procedures for filing an informal complaint with the Commission (see §  56.162 (relating to informal complaint filing procedures). If a written report is not requested by the complaining party or deemed necessary by the utility, the utility shall provide the information in §  56.162(1), (2) and (5). In addition, the utility should always provide the telephone number and address of the office of the Commission where an informal complaint may be filed.

   (7)  If the matter in dispute involves a billing dispute, the report shall include the following:

     (i)   An itemized statement of the account of the complaining ratepayer specifying the amount of credit, if any, and the proper amount due.

     (ii)   The date on or after which the account will become delinquent unless a settlement or payment agreement is entered into or an informal complaint is filed with the Commission. This date may not be earlier than the due date of the bill or 15 days after the issuance of a utility company report, whichever is later.

   (8)  If the matter involves a dispute other than a billing dispute, the report shall also state the following:

     (i)   The action required to be taken to avoid the termination of service.

     (ii)   The date on or after which service will be terminated unless the report is complied with, settlement agreement entered or an informal complaint filed. This date may not be earlier than the original date for compliance with the matter which gave rise to the dispute or 10 days from the date of issuance of the utility report, whichever is later.

   The provisions of this §  56.152 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504—506, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.152 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250; amended July 17, 1998, effective August 17, 1998, 28 Pa.B. 3379. Immediately preceding text appears at serial pages (205775) to (205776).

   This section cited in 52 Pa. Code §  56.100 (relating to winter termination procedures); 52 Pa. Code §  56.118 (relating to right of utility to petition the Commission); 52 Pa. Code §  56.151 (relating to general rule); 52 Pa. Code §  57.177 (relating to customer dispute procedures); 52 Pa. Code §  59.97 (relating to Customer Dispute Procedures); and 52 Pa. Code §  69.265 (relating to CAP design elements).

INFORMAL COMPLAINT PROCEDURES

§ 56.161. General rule; time for filing.

 Within 10 days of notification or mailing of a utility company report and not thereafter except for failure to receive notice or other good cause, an informal complaint may be filed with the Commission.

   The provisions of this §  56.161 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655.

 An informal complaint may be filed orally or in writing and shall include the following information:

   (1)  The name and address of the ratepayer and, if different, the address at which service provided.

   (2)  The telephone number of the ratepayer.

   (3)  The account number of the ratepayer, if applicable.

   (4)  The name of the utility.

   (5)  A brief statement of the dispute.

   (6)  Whether the dispute formerly has been the subject of a utility company investigation and report.

   (7)  Whether the dispute formerly has been the subject of a Commission informal or formal complaint.

   (8)  The date, if any, of proposed termination.

   (9)  The relief sought.

   The provisions of this §  56.162 amended under the Public Utility Code, 66 Pa.C.S. § §  501, 504—506, 1301 and 1501.

   The provisions of this §  56.162 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended July 17, 1998, effective August 17, 1998, 28 Pa.B. 3379. Immediately preceding text appears at serial pages (205776) and (225729).

 Upon the filing of an informal complaint, which shall be docketed as ‘‘(Complainant) v. (utility),’’ Commission staff will immediately notify the utility; review the dispute; and, within a reasonable period of time, issue to the utility and the complaining party an informal report with findings and a decision. Parties may represent themselves or be represented by counsel or other person of their choice, and may bring witnesses to appear on their behalf. The reports shall be in writing and a summary shall be sent to the parties if a party requests it or if the Commission staff finds that a summary is necessary.

   (1)  Review techniques. Review will be by an appropriate means, including, but not limited to, utility company reports, telephone calls, conferences, written statements, research, inquiry and investigation. Procedures shall be designed to insure a fair and reasonable opportunity to present pertinent evidence and to challenge evidence submitted by the other party to the dispute, to examine a list of witnesses who will testify and documents, records, files, account data, records of meter tests and other material that the Commission staff will determine may be relevant to the issues, and to question witnesses appearing on behalf of other parties.

   (2)  Settlement. Prior to the issuance of its report, Commission staff may negotiate with the parties in an attempt to settle the matters in dispute. Upon reaching settlement, Commission staff will prepare, when advisable, a settlement agreement which shall be signed by the parties and will make the provisions for the obtaining of signatures reasonable under the circumstances.

   The provisions of this §  56.163 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.163 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250. Immediately preceding text appears at serial pages (37366) to (37367).

   The statute of limitations did not run during the period of time which the Bureau of Consumer Services was investigating the ratepayers informal complaint. Duquesne Light Co. v. Pennsylvania Public Utility Commission, 611 A.2d 370 (Pa. Cmwlth. 1992).

 In any case alleging unauthorized use of utility service, as defined in §  56.2 (relating to definitions), a utility may terminate service after giving proper notice in accordance with § §  56.91—56.98, whether or not a dispute is pending.

   The provisions of this §  56.164 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.164 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250. Immediately preceding text appears at serial pages (37367) to (37368).

 Conferences held under § §  56.161—56.164 and this section will be informal and may be held by conference telephone call, where appropriate. If the parties are to be present, the conferences will take place within reasonable proximity to the situs of the complaint. The parties will be advised that false information intended to mislead a public servant in performing his official function may be punishable criminally.

   The provisions of this §  56.165 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.165 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250. Immediately preceding text appears at serial page (37368).

   This section cited in 52 Pa. Code §  56.100 (relating to winter termination procedures); 52 Pa. Code §  57.257 (relating to disputes concerning advanced metering); and 52 Pa. Code §  69.265 (relating to CAP design element).

FORMAL COMPLAINTS

§ 56.171. General rule.

 Except as otherwise provided in this chapter, formal complaint proceedings will proceed according to the rules and regulations of the Commission governing complaint proceedings.

   The provisions of this §  56.171 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655.

 Within 20 days of notification or mailing of the informal complaint report and not thereafter except for good cause, an appeal from the report of the Consumer Service Representative may be initiated by means of a written intention to appeal. Upon receipt of this written intention, the Secretary’s Bureau will determine whether the appeal is from a mediation decision of the Bureau of Consumer Services—to be docketed with the prefix ‘‘Z’’—or another type of appeal. Thereafter, formal complaint forms shall be filed by the party taking the appeal.

   (1)  Appeal from mediation decisions where the issue is solely ability to pay shall proceed in accord with §  56.174 (relating to formal complaint procedures for appeals from mediation decisions of the Bureau of Consumer Services).

   (2)  Other appeals shall proceed in accord with §  56.173 (relating to formal complaint procedures other than appeals from mediation decisions of the Bureau of Consumer Services).

   The provisions of this §  56.172 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 332, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.172 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended April 8, 1983, effective April 9, 1983, 13 Pa.B. 1250; amended July 20, 1984, effective July 21, 1984, 14 Pa.B. 2676; amended January 8, 1988, effective January 9, 1988, 18 Pa.B. 185. Immediately preceding text appears at serial page (91527).

 Appeals from informal complaint reports will be heard de novo by the Commission, a Commissioner or an Administrative Law Judge:

   (1)  Filing and docketing. Appeals will be filed and docketed as a formal Commission complaint, under § §  5.22 and 5.61 (relating to contents of formal complaint; and answers to complaints, petitions and motions).

   (2)  Captions. The parties to an appeal will be stated in the caption as they stood upon the record of the informal complaint proceeding, with the addition of the phrase of ‘‘Complaint Appellant’’ after the name of the party taking the appeal.

   (3)  Hearings. Hearings conducted by a Commissioner or administrative law judge will be held within a reasonable period of time after the filing of the answer. The parties may incorporate portions of the conference report or informal complaint report that they shall agree upon.

   (4)  Formal complaint report. The Commissioner or administrative law judge assigned to the formal complaint will file his report with the Commission within a reasonable period of time after the receipt of the transcribed testimony. Included in the report will be a description of the matter, findings of fact, conclusions of law and other discussion and opinion as is appropriate.

   (5)  Commission review. The Commission will review the report of the assigned administrative law judge or Commissioner, commit it to advisory staff for further analysis, remand it to an administrative law judge or Commissioner for further development of the record or issue a final order.

   The provisions of this §  56.173 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 332, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.173 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended July 20, 1984, effective July 21, 1984, 14 Pa.B. 2676. Immediately preceding text appears at serial pages (82178) to (82179).

 Appeals from mediation decisions of the Bureau of Consumer Services, and any other case in which the issue is solely ability to pay, including ability to pay according to payment agreements, shall be assigned to a special agent for review. Where there are issues involved other than ability to pay, any party or the Office of Administrative Law Judge sua sponte, can remove or seek removal of the appeal to an administrative law judge.

   (1)  Filing and docketing. Appeals shall be filed as a formal complaint under this title and shall be docketed with the prefix ‘‘Z.’’

   (2)  Caption. Parties will be stated in the caption as in the informal complaint proceeding, with the addition of the designation ‘‘Appellant’’ after the name of the party taking the appeal.

   (3)  Stay of informal complaint decision. Upon appeal from the mediation decision of the Bureau of Consumer Services, there shall be an automatic stay of payment arrangements ordered in that decision, other than current bills not at issue. The utility may request that the special agent remove the stay and order payment of amounts set forth in the mediation decision. When current bills are not at issue, the ratepayer will be responsible for payment of current, undisputed bills pending review.

   (4)  Hearings. The special agent shall conduct hearings within a reasonable period after filing of the appeal and answer. The special agent shall have all powers of an administrative law judge or presiding officer.

     (i)   The special agent shall attempt to hold hearings by telephone, subject to the approval of the parties. Hearings shall be held within 25 days after receipt of appellee’s answer.

     (ii)   The special agent shall hear the appeals de novo, but may request a stipulation of the parties as to undisputed facts.

     (iii)   Hearings shall be tape recorded and may not be transcribed, unless the parties request the use of a stenographer or a transcription of the tape recording. Unless objected to, parties may make their own tape recording of the proceedings, but the only official record shall be that sanctioned by the special agent.

   (5)  Proposed findings and conclusions. The parties shall have the opportunity of submitting proposed findings and conclusions to the special agent, with supporting reasons therefor. If proposed findings and conclusions have not been submitted at or before hearing, notice of intent to submit them shall be given at hearing and they shall be submitted within 10 days of the hearing.

   (6)  Formal complaint report. The special agent shall render a decision within 25 days after hearings or 25 days after receipt of proposed findings and conclusions if they are filed. The decision shall be in writing and shall contain a brief description of the matter, findings of fact and conclusions of law.

   (7)  Post hearing procedures. A party to a proceeding referred to a special agent may file exceptions to the decision of the special agent within 15 days after the decision is issued, in a form and manner to be prescribed by the Commission. The special agent shall rule upon the exceptions within 30 days after filing. A party to the proceeding may appeal to the Commission from the ruling of the special agent on the exceptions within 15 days after the ruling is issued. If no exceptions are filed or if no appeal is taken from the ruling on the exceptions within 15 days after the decision or ruling is issued, the decision or ruling shall become final, without further Commission action, unless two or more commissioners within 15 days after the decision or ruling on the exceptions request that the Commission review the decision and make the other order, within 90 days of the request, as it shall determine.

   The provisions of this §  56.174 issued under the Public Utility Code, 66 Pa.C.S. § §  331, 332, 501, 504, 1301, 1305, 1501 and 1504.

   The provisions of this §  56.174 adopted July 20, 1984, effective July 21, 1984, 14 Pa.B. 2676.

   This section cited in 52 Pa. Code §  56.101 (relating to limited notice upon noncompliance with report or order); 52 Pa. Code §  56.172 (relating to time for filing); and 52 Pa. Code §  57.257 (relating to disputes concerning advanced metering).

PAYMENT OF BILLS PENDING RESOLUTION OF
DISPUTES AND COMPLAINTS

§ 56.181. Duties of parties; disputing party’s duty to pay undisputed
portion of bills; utility’s duty to pay interest whenever
overpayment found.

 Pending resolution of a dispute, including a termination dispute, the disputing party shall be required to pay the undisputed portion of bills, as described in this section:

   (1)  Pending informal complaint. Pending the outcome of an informal complaint, the disputing party shall be obligated to pay that portion of a bill which is not honestly disputed. An amount ultimately determined, by the parties or the Commission, to have been validly due but not paid may be paid with interest at the tariff rate filed under §  56.22 (relating to accrual of late payment charges) except when interest charges have been reduced or eliminated by the parties or the Commission in order to facilitate payment by the disputing party.

   (2)  Pending formal complaint. Prior to the hearing on a formal complaint or prior to the issuance of a Commission order when no hearing is to be held in a formal complaint proceeding, the ratepayer shall be required to pay that amount which the Consumer Services Representative determines is not reasonably disputed.

   (3)  Overpayments reimbursed with interest. An amount ultimately determined to have been overpaid by the disputing party shall be reimbursed with interest at the tariff rate filed under §  56.22.

   (4)  Effect of offer of payment. An offer by a ratepayer to pay all or any portion of a bill may not be deemed a waiver of a right to reimbursement for amounts subsequently deemed, by the parties or the Commission, to have been overpaid.

   (5)  Effect of acceptance of partial payment. The acceptance by a utility of a partial payment for a bill pending final outcome of a dispute may not be deemed an accord and satisfaction or waiver of the right of the utility to payment in full as subsequently agreed to by the parties or decided by the Commission.

   The provisions of this §  56.181 adopted June 16, 1978, effective June 17, 1978, 8 Pa.B. 1655; amended January 15, 1982, effective January 16, 1982, 12 Pa.B. 298. Immediately preceding text appears at serial page (37370).

   This section cited in 52 Pa. Code §  56.12 (relating to meter reading; estimated billing; ratepayer readings); and 52 Pa. Code §  57.257 (relating to disputes concerning advanced metering).