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
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

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

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

PLEADINGS
PRELIMINARY OBJECTIONS
Filed with answer but in a separate document
 Filed for one of three purposes

1. To stop litigation where complainant cannot win
(saving cost and time for all)
2. To clarify the claims set forth in the complaint
3. To define issues which can be litigated

KEY: Only facts alleged by the complainant may
be used to evaluate the POs (not new matter)
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

PREPARATION FOR HEARING
Read the presiding officer's prehearing
order
 Try to settle before the hearing
 Serve exhibits timely

HEARING
Have proper witness for your exhibits
 Be prepared
 Be patient with the customer – that's
your ratepayer

TYPES OF CASES
Straight payment agreements
 Partial CAP arrearage PAR
 Non-Chapter 14 PAR
 High bill complaints
 Quality of service complaints

TYPES OF EVIDENCE
Documentary
must be properly authenticated
Testamentary
must be:

1. given under oath
2. given in the presence of the trier of fact
3. be subject to cross-examination by adverse
parties

Recorded
What is hearsay?
An out-or-court statement
offered to prove the truth of
the matter asserted
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.
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
High bill complaints
Needed: comparison of bills for usage over as many years as available, month by month.
Bill Issued
Cycle Days
CCF
Amount
Paid
Arrearage
2/23/13
29
211
$319.94
0
$319.94
3/23/13
28
150
$239.79
0
$559.73
4/23/13
29
57
$99.66
0
$667.78
5/21/13
31
14
$33.53
$33.53
$677.64
6/20/13
30
4
$18.05
$18.05
$677.64
7/23/13
30
0
$13.21
$13.21
$677.64
8/20/13
31
0
$13.35
$13.35
$677.64
9/21/13
31
0
$13.35
$13.35
$690.99
10/22/13
29
0
$13.44
$13.44
$691.08
11/20/13
32
0
$13.51
$13.51
$677.64
12/20/13
29
0
$13.51
$13.51
$677.64
1/22/14
34
20
$44.84
$44.84
$722.48
2/22/14
30
187
$282.45
$141.54
$818.55
Take-aways
1.
2.
3.
4.
5.
6.
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