Pennsylvania Public Utility Commission: Avoiding Common Mistakes When Filing Answers to Formal Complaints
September 29, 2014
PUC formal complaints can be filed against even the most customer focused and careful supplier. While many times the underlying complaint can be settled or the consumer can be convinced to withdraw after the supplier discusses his complaint with him, others steadfastly insist on their “day in court.” To make sure that the complaint can be handled efficiently and with a minimum of adverse consequences, here are some simple rules to keep in mind. They reflect the most common mistakes Eckert has noticed in filing answers to formal complaints before the Pennsylvania Public Utility Commission (PUC).
- Formal Complaints Are Different From Informal Complaints. Suppliers tend to treat all complaints the same. But, it must be remembered that there are significant differences between formal complaints and informal complaints. The formal complaint process involves a legal proceeding before a Commission administrative law judge (ALJ) – who will hold hearings to gather evidence and then render a written decision. See 52 Pa. Code §§ 52.1 to 5.633. With informal complaints, a Bureau of Consumer Services (BCS) investigator works to facilitate discussion between the parties in order to resolve the complaint. 52 Pa. Code §§ 3.111 to 3.113.
- Use Original Signatures. So far, in 2014, more than ten answers have been rejected for lack of an original signature. Paper filings must be signed in ink. 52 Pa. Code § 1.35(a)(1). Electronic filings (made under the PUC’s electronic filing system) must include an electronic signature. 52 Pa. Code § 1.35(a)(1). This precludes the ability to file an “answer” within the body of an email.
- Get Signature From Officer Or Attorney. Answer must be signed by an officer or attorney. See 52 Pa. Code § 1.35(b). Generally, this precludes the filing of answers by customer service representatives, paralegals and others who may be involved in investigating (and resolving) complaints against suppliers. If the matter continues to a hearing, you will need an attorney. The PUC’s regulations require corporations, including limited liability companies, to be represented by an attorney. 52 Pa. Code §§ 1.21, 1.22.
- Use Numbered Paragraphs. Answers must use paragraphs numbered to correspond with the complaint. 52 Pa. Code § 5.61(b)(1). This implies a preference for a formal document (with a legal caption) over a letter on the supplier’s letterhead.
It is important to keep the rules in mind. The PUC may reject a filing if it does not comply with any applicable statute, regulation or order of the PUC. 52 Pa. Code § 1.38. In most cases, the defective filing will be returned to the supplier. The supplier will then be given a limited period of time (such as 10 days) to correct the defect. If the defect is not corrected, the filing will be considered unfiled.
This Eckert Seamans Energy and Utilities Blog is intended to keep readers current on matters affecting businesses and is not intended to be legal advice. If you have any questions about the content of this post, please contact Carl Shultz at (717) 255-3742; cshultz@eckertseamans.com.