Anatomy of a Consumer Complaint: an ALJ’s Perspective

1. Anatomy of a Consumer Complaint: an ALJ’s Perspective Presented by Susan Colwell Administrative Law Judge Disclaimer: the views expressed are those of the author and are not necessarily representative of other ALJs or the Commission

2. PLEADINGS COMPLAINTS • Usually a case begins in the Bureau of Consumer Services (BCS) • A formal complaint is an appeal de novo or bypasses BCS • It may have a "C" or an "F" docket number • Timeliness is key in payment agreement cases

3. PLEADINGS ANSWERS • Must be timely filed or facts in complaint can be deemed admitted • Must be signed by an attorney on behalf of the utility • Must contain specific denials of the facts alleged in the complaint

4. PLEADINGS NEW MATTER • Filed with answer • Lists affirmative defenses and supporting factual allegations • Used to preserve defenses and to support motions after pleadings are closed

5. PLEADINGS PRELIMINARY OBJECTIONS • Filed with answer but in a separate document • Filed for one of three purposes • To stop litigation where complainant cannot win (saving cost and time for all) • To clarify the claims set forth in the complaint • To define issues which can be litigated • KEY: Only facts alleged by the complainant may be used to evaluate the POs (not new matter)

6. MOTIONS For Summary Judgment or Judgment on the Pleadings • To be filed after pleadings are closed • Relies upon factual allegations in new matter OR documents attached to motion which are not in dispute

7. PREPARATION FOR HEARING • Read the presiding officer's prehearing order • Try to settle before the hearing • Serve exhibits timely

8. HEARING • Have proper witness for your exhibits • Be prepared • Be patient with the customer – that's your ratepayer

9. TYPES OF CASES • Straight payment agreements • Partial CAP arrearage PAR • Non-Chapter 14 PAR • High bill complaints • Quality of service complaints

10. TYPES OF EVIDENCE • Documentary must be properly authenticated Testamentary must be: • given under oath • given in the presence of the trier of fact • be subject to cross-examination by adverse parties • Recorded

11. What is hearsay? An out-or-court statement offered to prove the truth of the matter asserted

12. Business records exception Documents are competent if custodian or other qualified witness testifies to the identity and mode of preparation and if the record was made in the regular course of business at or near the time of the act AND If, in the opinion of the tribunal, the sources of information, method and time of preparation justify the record's admission.

13. Evidence for types of cases • Straight payment agreements • Partial CAP arrearage PAR • Non-Chapter 14 PAR • High bill complaints • Quality of service complaints All need customer contact reports And statements of account

14. High bill complaints Needed: comparison of bills for usage over as many years as available, month by month.

15. Take-aways • Get the pleadings right • Use proper motions for your requested relief • Read the prehearing order • Present the proper witness to sponsor exhibits • Be aware of the requirements for business records • Treat the complainant like a valued customer