VIII. Customer Service and Reporting Standards for Water and Wastewater Utilities

1. General

Consumers expect and should receive service that is consistently adequate, reliable, and in compliance with applicable water quality standards. Standardized reporting requirements and regular reporting are necessary for regulators to be able to monitor service quality and changes in performance. Reporting requirements should be carefully designed to yield accurate data that is uniform and consistent.

2. Reporting

When a utility is required to report the following information it shall do so in accordance with Appendix E of this General Order or the utility's tariffs.

(A) Performance results including meter reading and work completion standards shall be aggregated quarterly, and shall be reported annually to the Commission in the utility's annual report.

(B) Reports on company-wide performance shall be made in conjunction with each utility's annual report to the Commission's Division of Water and Audits (or its successor), with copies provided to the DRA (or its successor).

(C) Reports shall include both annual and quarterly averages. Annual averages shall be derived from raw data, not by averaging quarterly averages.

(D) Where quarterly performance is substantially out of compliance with an applicable standard (defined in the context of each performance measure), the utility shall within 30 days of the end of the quarter in which this provision is triggered, submit a plan to Division of Water and Audits, or its successor, indicating how it will remedy the deficiency.

(E) Performance shall be evaluated and reported as a percentage to one decimal place for all performance areas unless otherwise specified. Actual performance shall be rounded up when the relevant decimal place is 5 or more. The utility shall retain all of its reports that support the results for each of the performance areas for a period of not less than 36 months after the results are reported. The utility shall provide these reports upon request to the Commission.

(F) The utility shall explain in its annual report any change to the utility's measurement protocol or to the internal reporting methods that are used to obtain the data measured.

(G) The utility's annual report shall identify any missing data or events that could reasonably affect the quality of the data reported.

(H) The utility may seek a variance from any applicable performance standard in accordance with Section I.8.A of this General Order. A variance may be granted for demonstrated good cause, such as where the circumstances causing the failure were beyond the utility's control, and the utility can demonstrate that its level of preparedness and response was reasonable in light of the cause of the failure.

3. Telephone Performance Standards

Each utility shall provide emergency telephone access, including after-hours access, for its customers. If a telephone complaint pertains to an urgent service issue presenting health or safety concerns, the utility shall respond within 24 hours. Class A and B water utilities shall comply with telephone performance standards set forth in Appendix E of this General Order.

4. Billing Performance Standards

(A) Class A and B water utilities shall establish billing performance standards as set forth in Appendix E of this General Order.

(B) Performance results shall be reported in accordance with Section VIII.B.

5. Meter Reading Performance Standards

(A) Class A and B water utilities shall establish meter reading performance standards in accordance with Appendix E of this General Order.

(B) Each utility shall report their performance results in accordance with Section VIII.B.

6. Work Completion Performance Standards

(A) When scheduling appointments, the utility will provide the customer with a four-hour period during which the utility representative will be at the customer's premises. The utility must attempt to notify the customer as soon as it is aware that the meeting time must be changed. Class A and B water utilities shall determine the performance of the scheduled appointment in accordance with Appendix E of this General Order.

(B) Class A and B water utilities shall determine the percentage of customer-requested work not completed on or before the scheduled date in accordance with Appendix E of this General Order.

(C) The utility must correct all problems that result from the flooding of sewers for which it is responsible within 48 hours of being informed of the flooding event. Extreme precipitation events, such as 100 or 500 year floods, shall be addressed on a best efforts basis by the utility.

7. Response to Customer and Regulatory Complaint Performance Standards

(A) Upon complaint to the utility by a customer communicated to the utility's office, by letter, by telephone, or by email or to the utility's internet web page if it supplies a site for customer service, the utility shall make every reasonable effort to contact the customer within three business days to acknowledge receipt of the complaint.

(B) The utility shall provide, within 10 business days of receipt, a substantive response to customer complaints expressed directly to the utility by any method of contact.

(C) The utility shall provide a substantive response to informal customer complaints to the Commission within 20 business days after the complaint has been forwarded to the utility by the Commission.

(D) If the utility needs additional time to respond fully to a complaint received directly from a customer or indirectly by way of the Commission, the utility shall within the initial response period request a specific additional time for response and shall provide a final response within the requested additional time.

(E) The utility shall keep a record of each complaint, categorized by the nature of the complaint, that shows the name and address of the complainant, the date and nature of the complaint, and the nature and date of adjustment or disposition, for a period lasting from the time the complaint is filed with the utility until issuance of the principal decision in its next general rate case.

(F) After issuance of the general rate case final decision subsequent to the filing of the complaint, the utility shall retain, at its option, either the original complaints or a summary of such complaints. Inquiries with reference to rates or charges, which require no further action by the utility, need not be recorded. Complaints that are determined to be out of the direct control of the utility (including but not limited to complaints relating to natural disasters) may be recorded in a summary list only.

(G) Class A and B water utilities shall establish a customer and regulatory complaint performance measure as set forth in Appendix E.

APPENDIX A

NON POTABLE WATER SYSTEMS

Sections of Rules Governing Water Service Including Minimum Standards for Design and Construction which shall be applicable to utility water systems supplying water not intended or claimed to be potable from ditches, canals or other conduits.

Section I - General

All paragraphs of this section, except Paragraph 4, (1) and (5)

Section II - Standards of Service

Paragraphs 2 B. (1) and (8), 3 and 4 of this section, except that paragraph 3C. shall not apply to scheduled interruptions as provided in applicable tariffs.

Section III - Standards of Design and Construction

None.

Section IV - Measurement of Service

All paragraphs of the section, except when sales are measured by other than displacement meters as provided in applicable tariff schedules only paragraphs 1C, 3A and 3E, 5, 6A, and 7 shall apply.

Section V - Rates and Billing

All paragraphs of the section.

APPENDIX A

NON-POTABLE WATER SYSTEMS

Section VI - Fire Protection Standards

None

Section VII - Operations and Maintenance, Records and Reports

Paragraphs 1, 2, 3 A (1) and 3 C.

Section VIII - Customer Service and Reporting Standards

Paragraphs 1, 2, 3, 4, 5, 6 A through C and 7 A through G.

(END OF APPENDIX A)

APPENDIX B

SEWER SYSTEMS

Sections of Rules Governing Water Service Including Minimum Standards for Design and Construction which shall NOT be applicable to sewer system utilities.

Section I - General

Paragraph 3, (1), (2), (6), (7) and (8)

Section II - Standards of Service

Paragraphs 2 A. (1) through (7)

Paragraphs 2 B. (1) through (5)

Section III - Standards of Design and Construction

Paragraphs 1 A. (3) and B

Paragraphs 2 A. (1)

Paragraphs 3 through 7

Section IV - Measurement of Service

Paragraphs 1 A and C

Paragraphs 2 B and C

Paragraphs 3, 5, and 6

Section V - Rates and Billing

Paragraph 2

Section VI - Fire Protection Standards

(ALL)

APPENDIX B

SEWER SYSTEMS

Section VII - Operations and Maintenance, Records and Reports

Paragraphs 1 A and B

Paragraphs 2 A and B

Paragraphs 3 A

Paragraphs 4 A (2)

Paragraphs 5 A through D

Paragraphs 7 and 8 (all)

Section VIII - Customer Service and Reporting Standards

Paragraph 7 G

(END OF APPENDIX B)

APPENDIX C

RECORDS RETENTION SCHEDULES

(Resolution No. A-4691, July 12, 1977)

PUBLIC UTILITIES COMMISSION

REGULATIONS TO GOVERN THE PRESERVATION OF RECORDS

OF WATER UTILITIES, CLASSES A, B & C

GENERAL INSTRUCTIONS

SCOPE OF THIS PART

The regulations in this part apply to all records prepared by or on behalf of water utilities, Classes A, B and C.

The regulations in this part shall not be construed as excusing compliance with any other lawful requirement for the preservation of records for periods longer than those prescribed herein.

DESIGNATION OF SUPERVISORY OFFICIAL

Each water utility subject to the regulations herein shall designate one or more persons and positions with official responsibility to supervise the utility's program for preservation and the authorized destruction of its records.

PROTECTION AND STORAGE OF RECORDS

The water utility shall provide reasonable protection for records subject to the regulations herein. Records shall be arranged in such a manner as to be easily identifiable and accessible to representatives of this Commission.

MICROFILM AND TAPE CERTIFICATION

All microfilm and tape records shall contain labels including the title, date prepared, name of official responsible for validating the data, date of completion,

APPENDIX C

RECORDS RETENTION SCHEDULES

and certification that the records are true and accurate reproductions of the original records.

All film stock shall be approved operationally-permanent record microcopying type, which meets the current specifications of the National Bureau of Standards.

RETENTION PERIODS

The retention periods specified in these regulations are minimum periods. The utility may retain records for longer periods when appropriate.

PREMATURE DESTRUCTION OR LOSS OF RECORDS

When records are destroyed or lost before the expiration of the prescribed period of retention, a certified statement listing the records destroyed and prescribing the circumstances of accidental or other premature destruction or loss shall be filed with the Commission within sixty (60) days from the date of discovery of such destruction.

RECORDS OF SERVICES PERFORMED BY AFFILIATE

The water utilities to which the regulations herein apply shall assure the availability of records of services performed by associated and affiliated companies for the periods indicated herein, as are necessary, to support the cost of services rendered to it by an associated or affiliated company.

RECORDS OF INTERRUPTIONS

Records of interruption shall be maintained by the utility for a period of 4 years or after the next general rate case filing, whichever period is longer.

APPENDIX C

RECORDS RETENTION SCHEDULES

Water Quality Records Retention

Results of water quality testing, including tests conducted in connection with disinfection of new or repaired mains and disinfection of reservoirs or wells, records of flushing of mains, and records of reservoir inspections and cleaning, shall be maintained for at least three years.

APPENDIX C

RECORDS RETENTION SCHEDULES

SCHEDULE OF RECORDS AND PERIODS OF RETENTION

Description Retention Period

CORPORATE AND GENERAL

1. Capital stock records: 6 years after cancellation or other closing of accounts.

2. Proxies and voting lists: 3 years.

3. Annual reports or formal Life of corporation.

communications or statements to
stockholders:

4. Debt security records: 6 years after redemption, payment or cancellation.

5. Filings with and authorizations 25 years or until all securities covered

by the Commission: are retired, whichever is shorter.

6. Corporate organizational documents: Life of corporation, with the exception of permits, deeds and title documents which shall be retained for 6 years after termination or disposition of property.

7. Contracts and agreements (except 6 years with the following exceptions:

contracts provided for elsewhere):

(a) Contracts or agreements for the 25 years after disposition.

acquisition or disposition of

investments (excluding temporary

cash investments):

(b) Memoranda essential to clarifying For the same periods as contracts

or explaining provisions of to which they relate.

contracts listed above:

APPENDIX C

RECORDS RETENTION SCHEDULES

SCHEDULE OF RECORDS AND PERIODS OF RETENTION

Description Retention Period

CORPORATE AND GENERAL, continued

(c) Card or book records of contract, leases, For the same periods as contracts

and agreements made, showing dates to which they relate

of expirations and of renewals,

memoranda of receipts and payments

under such contacts, etc.:

8. Accountants' and auditors' reports, 7 years after date of report or

internal and external: Commission audit, whichever comes last

9. Automatic data processing records: Retain original source data for the periods prescribed elsewhere in the schedule; retain all other data as long as part of active program

10. General and subsidiary ledgers and 50 years

journals; journal vouchers, journal
entries (including supporting detail),
vouchers and voucher registers:

11. Trial balance sheets of general and 3 years

subsidiary ledgers:

12. Cash books, general and subsidiary 10 years after close of fiscal year

or auxiliary books:

APPENDIX C

RECORDS RETENTION SCHEDULES

SCHEDULE OF RECORDS AND PERIODS OF RETENTION

Description Retention Period

CORPORATE AND GENERAL, continued

13. Accounts receivable and supporting 3 years

records:

14. Records of securities owned, in 6 years after disposition of investment treasury, or with custodians
(excluding temporary investment
of cash):

15. Payroll records and insurance records: 6 years, except where information transferred to other records

16. Assignments, attachments, and None

garnishments:

17. Records of injuries and damages: 2 years after settlement or other
disposition

APPENDIX C

RECORDS RETENTION SCHEDULES

SCHEDULE OF RECORDS AND PERIODS OF RETENTION

Description Retention Period

OPERATIONS AND MAINTENANCE

18. Production records of sources of 15 years, except as follows:
supply, pumping, transmission, and
distribution:

(a) Water reports showing purchases

and exchanges: 25 years

(b) Water treatment records: 10 years

(c) Daily dispatch logs: 1 year

(d) Customer service records: 5 years

(e) Maintenance work and job orders: 6 years

(f) Equipment repair records: Life of equipment

19. Personnel records including employees' 3 years after termination of

benefit and pension records, and employment, plan or instructions
operating and procedural instructions
issued by the company to employees:

20. Plant and depreciation records, 50 years

including plant inventory, drilling,
appraisals, engineering records,
construction records and contracts
relating to above.

APPENDIX C

RECORDS RETENTION SCHEDULES

SCHEDULE OF RECORDS AND PERIODS OF RETENTION

Description Retention Period

MISCELLANEOUS

21. All purchase and supply records: 6 years

22. All revenue, accounting and 10 years, except as follows:

collecting records:

(a) Where refunds required: 6 years after refund

(b) Documents relating to 50 years

donations and contributions:

(c) Published rates and service 50 years

schedule:

23. Tax records: 7 years after settlement

24. Treasury records (funds, deposits, Completion

receipts and disbursements): of annual audit by independent accountants

25. All annual reports to the Life of corporation

Commission and special reports
relating to plant and utility property:

26. All other reports and documents: Fulfillment of regulatory requirements

27. Life or mortality study data for Life of corporation

depreciation purposes:

(END OF APPENDIX C)

APPENDIX D

REPORT CARD BILLING

This Appendix explains the minimum amount of information that must be included with the bill to the customer.

Meter Readings: Previous and Present; Service Charge; Commodity Charge; Past due after date; Quantity per billing unit (Hundred Cubic Feet, thousand Gallons etc.); Billing period; Usage Comparison; Amount Due.



(END OF APPENDIX D)

APPENDIX E

CUSTOMER SERVICE AND REPORTING STANDARDS

FOR CLASS A AND B WATER UTILITIES THAT EMPLOY AUTOMATED CALL DISTRIBUTION SYSTEMS

1. Telephone Performance Standards

To ensure that customer inquiries have timely responses during normal business hours, all water utilities which employ automated call distribution systems (ACD) shall comply with telephone performance standards and reporting criteria as follows:

(A) Call answer performance measures

Call Answering Service Level: Percentage of customers reaching a utility representative during normal business hours within 30 seconds after requesting to speak with a customer service representative (CSR)

Performance shall be calculated as follows:

Number of calls reaching a utility representative within 30 seconds divided by number of attempts to reach a utility representative.

Performance measure: greater than or equal to 80%

For this performance measure, substantially out of compliance is deemed to be less than 60%

Source of data: data obtained from the utility's ACD system. The data will include all calls reaching the ACD during the normal business hours.

(B) Abandoned call rate performance measure

Abandoned call rate during normal business hours: Percentage of calls abandoned before reaching a utility representative (requested by the customer) during normal business.

Performance shall be calculated as follows:

Number of calls abandoned/Number of attempts to reach a utility representative

APPENDIX E

CUSTOMER SERVICE AND REPORTING STANDARDS

FOR CLASS A AND B UTILITIES

Abandoned call rate performance measure: less than or equal to 5%.

Source of data: The standard shall be measured by using data obtained from the utility's ACD system during normal business hours

2. Billing Performance Standards

(A) Bill rendering performance measure

Percentage of bills rendered (mailed) within seven calendar days of the scheduled billing date. Performance shall be calculated as follows:

Number of bills not rendered within seven calendar days of the scheduled billing date/Total number of bills scheduled to be rendered.

Exclusions: The measurement will exclude accounts that were activated within 10 calendar days prior to the normal billing cycle; accounts that are scheduled to receive a final bill within 10 calendar days after the normal billing cycle; off-system sales; utility use accounts; periods during which rates are changed.

Bill rendering performance measure: greater than or equal to 99%

Source of data: This standard shall be measured by using data obtained from the utility's Customer Information System, or equivalent records. Results shall be reported to one decimal place.

APPENDIX E

CUSTOMER SERVICE AND REPORTING STANDARDS

FOR CLASS A AND B UTILITIES

(B) Bill accuracy performance measure

Bills found inaccurate: Percentage of bills found inaccurate after being sent to customers, brought to a utility's attention either as result of customer complaints and/or by the utility's own efforts. Performance shall be calculated as follows:

Number of bills rendered inaccurately for the cycle/Total number of bills rendered for the billing cycle

Exclusions: This standard does not include bills found to be inaccurate strictly as result of estimation, bills where the inaccuracy does not affect the calculation of the bill, or where the fault does not lie with the utility.

Percentage of inaccurate bills performance measure: less than or equal to 3.0%

Source of data: This standard shall be measured by using data obtained from the utility's Customer Information System or equivalent records. Results shall be reported to the second decimal place.

(C) Payment posting error performance measure

Payment posting errors: Percentage of customer payments posted incorrectly due to the utility's error. Performance shall be calculated as follows:

Number of payment posting errors/Total number of payments posted

Payment posting error performance measure: less than or equal to 1.0 %

Source of data: This Standard shall be measured by using data obtained from the utility's Customer Information System or equivalent manual records.

(D) Final Read and Final Bill

The utility is required to read the customer's meter on the day the customer specifies so long as five (5) calendar days notice is given by the customer. The utility will provide a final bill within 14 calendar days of the meter read.

APPENDIX E

CUSTOMER SERVICE AND REPORTING STANDARDS

FOR CLASS A AND B UTILITIES

3. Meter Reading Performance Standard

(A) Percentage of actual meter readings per billing cycle: Percentage of meters not read each cycle in relation to the numbers that were scheduled to be read, exclusive of meters covered by AMR. Performance shall be calculated as follows:

Number of scheduled meters not read/Number of meter readings scheduled

Meter reading performance measure: less than or equal to 3.0%

Source of data: Data shall be obtained from the utility's Customer Information System.

4. Work Completion Performance Standards

(A) Scheduled appointments performance measure

Keeping Scheduled Appointments: When scheduling appointments, the utility will provide the customer with a four-hour period during which the utility representative will be at the customer's premises. The utility must attempt to notify the customer as soon as it is aware that the meeting time must be changed. Performance shall be calculated as follows:

Number of scheduled appointments missed/Number of scheduled appointments

Scheduled appointments performance measure: less than or equal to 5.0%

(B) Customer requested work completion performance measure

Percentage of customer-requested work not completed on or before the scheduled date: The percentage of jobs resulting from customer requests for meter turn-ons, meter read-over, disconnects and reconnects (collectively "customer orders") that are not completed on or before the scheduled date. Performance shall be calculated as follows:

Number of customer orders not completed on or before the scheduled date/Total number of customer orders scheduled and completed in the reporting month.

APPENDIX E

CUSTOMER SERVICE AND REPORTING STANDARDS

FOR CLASS A AND B UTILITIES

Exclusions: When an event outside of the utility's control occurs resulting in the work not being completed as promised, utility will renegotiate the scheduled date with the customer.

Customer requested work performance measure: less than or equal to 5%

Source of data: For all customer orders, data shall be obtained from the utility's Customer Information System or equivalent record.

When a customer calls for included work, a service request is created for the date promised to the customer. Reports are generated monthly of all meter orders closed during the prior month and are reviewed for the following exclusions: (1) delayed at the customer's request or because the customer was not ready for the work to be performed, (2) meter order request not the result of a customer request but rather an internal request for meter order work, (3) non-regulated business activities.

5. Response to Customer and Regulatory Complaints Performance Standard

(A) Rate of complaints to the Commission's Consumer Affairs Branch (CAB): Percentage of customers who file complaints with the Commission's CAB. Performance shall be calculated as follows:

Number of complaints reported annually to the utility by the CAB/Total number of customers

Performance measure: less than or equal to 0.1%

Source of data: Data shall be obtained from the quarterly reports provided by the Commission to the utility from the Commission's Consumer Affairs Tracking System. Results shall be reported to the second decimal place.

APPENDIX E

CUSTOMER SERVICE AND REPORTING STANDARDS

FOR CLASS A AND B UTILITIES

6. Service Interruption

Each Utility shall keep a complete record of all interruptions, both emergency and scheduled, when more than 10 service connections are interrupted. These records of interruptions are to be kept with the utility's permanent records and shall include:

1. Date and time of service interruption

2. Date and time service is restored

3. Number of service connections affected

4. Equipment that operated or failed

5. Cause of interruption

6. Actions required to restore service

7. Identification of person reporting

8. Steps taken to prevent recurrence

(END OF APPENDIX E)