Relates to enhanced customer service standards and compliance framework for utility customer assistance operations
download bill text pdf| Date of Action |
Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
|---|---|
| Feb 12, 2026 |
referred to energy |
S T A T E O F N E W Y O R K
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10236
I N A S S E M B L Y
February 12, 2026
___________
Introduced by M. of A. CRUZ -- read once and referred to the Committee
on Energy
AN ACT to amend the public service law, in relation to enhanced customer
service standards and compliance framework for utility customer
assistance operations
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Legislative intent and safeguards. 1. Legislative purpose.
This act is intended to ensure high-quality customer assistance services
through performance-based regulation that protects consumer interests,
maintains emergency response capabilities, and promotes regulatory effi-
ciency while avoiding unnecessary barriers to legitimate business oper-
ations.
2. Location neutrality. Performance standards shall be applied
consistently to all customer assistance centers serving New York custom-
ers regardless of physical location, with evaluation based on demon-
strated capability, service quality outcomes, and regulatory compliance
rather than assumptions about operational effectiveness based on facili-
ty location.
3. Proportionality requirements. All regulatory requirements shall be
proportionate to identified risks and regulatory objectives, with
consideration of utility size, operational complexity, and resource
availability to ensure requirements do not impose excessive burden rela-
tive to consumer benefits achieved.
§ 2. The public service law is amended by adding a new section 65-c to
read as follows:
§ 65-C. ENHANCED CUSTOMER SERVICE STANDARDS AND COMPLIANCE FRAMEWORK.
1. DEFINITIONS. FOR PURPOSES OF THIS SECTION, THE FOLLOWING TERMS SHALL
HAVE THE FOLLOWING MEANINGS:
(A) "CUSTOMER ASSISTANCE CALL CENTER" MEANS ANY FACILITY, WHETHER
LOCATED WITHIN OR OUTSIDE OF THE STATE OF NEW YORK, THAT RECEIVES, PROC-
ESSES, OR RESPONDS TO CUSTOMER INQUIRIES, COMPLAINTS, SERVICE REQUESTS,
OR EMERGENCY CALLS ON BEHALF OF A GAS OR ELECTRIC CORPORATION, PROVIDED
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD14828-01-6
A. 10236 2 SUCH FACILITY HANDLES MORE THAN ONE THOUSAND CUSTOMER CONTACTS ANNUALLY FROM NEW YORK CUSTOMERS. (B) "EMERGENCY SERVICE CALL" MEANS ANY CUSTOMER CONTACT REPORTING AN EVENT THAT POSES AN IMMEDIATE THREAT TO LIFE, HEALTH, PROPERTY, OR PUBLIC SAFETY INVOLVING UTILITY INFRASTRUCTURE, INCLUDING BUT NOT LIMIT- ED TO GAS LEAKS, ELECTRICAL HAZARDS, SERVICE OUTAGES AFFECTING CRITICAL FACILITIES, OR OTHER SITUATIONS REQUIRING PROMPT UTILITY RESPONSE TO PROTECT PUBLIC SAFETY. (C) "FIRST-CALL RESOLUTION" MEANS THE SUCCESSFUL HANDLING AND CLOSURE OF A CUSTOMER INQUIRY OR COMPLAINT DURING THE INITIAL CUSTOMER SERVICE INTERACTION AS CONFIRMED BY CUSTOMER ACKNOWLEDGMENT THAT THEIR INQUIRY WAS ANSWERED OR THEIR COMPLAINT WAS ADDRESSED TO THEIR SATISFACTION, WITHOUT NEED FOR FOLLOW-UP, ESCALATION, OR TRANSFER TO RESOLVE THE SUBSTANTIVE ISSUE PRESENTED. (D) "OPERATIONAL INTEGRATION" MEANS ELECTRONIC COMMUNICATION CAPABILI- TIES THAT PROVIDE OPERATIONAL INFORMATION UPDATES BETWEEN CUSTOMER ASSISTANCE CENTERS AND FIELD OPERATIONS WITHIN INDUSTRY-STANDARD TIME- FRAMES NOT TO EXCEED FIVE MINUTES DURING NORMAL OPERATIONS, WITH ALLOW- ANCES FOR NETWORK DISRUPTIONS AND SYSTEM MAINTENANCE PERIODS. (E) "GEOGRAPHIC RISK MITIGATION PLAN" MEANS A COMPREHENSIVE DOCUMENTED STRATEGY DEMONSTRATING HOW OUT-OF-STATE CUSTOMER ASSISTANCE OPERATIONS SHALL ACHIEVE COMPLIANCE WITH NEW YORK EMERGENCY RESPONSE, COORDINATION, AND REGULATORY REQUIREMENTS THROUGH SPECIFIC PROCEDURES, TRAINING PROGRAMS, AND COORDINATION PROTOCOLS. (F) "COMMISSION-APPROVED THIRD-PARTY AUDITORS" MEANS INDEPENDENT AUDITING FIRMS CERTIFIED BY THE COMMISSION THAT DEMONSTRATE A MINIMUM FIVE YEARS OF EXPERIENCE IN UTILITY CUSTOMER SERVICE AUDITING, MAINTAIN NO FINANCIAL RELATIONSHIP WITH AUDITED UTILITIES WITHIN THREE YEARS, AND COMPLY WITH COMMISSION CONFLICT-OF-INTEREST POLICIES. (G) "ENHANCED OVERSIGHT" MEANS INCREASED REPORTING FREQUENCY, MANDATO- RY THIRD-PARTY MONITORING, ADDITIONAL AUDIT REQUIREMENTS, OR OTHER SUPERVISORY MEASURES AS SPECIFIED BY COMMISSION REGULATION. (H) "VERIFIED ESCALATED CUSTOMER COMPLAINT" MEANS A CUSTOMER COMPLAINT THAT HAS BEEN INVESTIGATED FOLLOWING COMMISSION-ESTABLISHED PROCEDURES AND RESULTED IN A DETERMINATION THAT UTILITY SERVICE STANDARDS WERE NOT MET. (I) "UTILITY" SHALL MEAN A GAS OR ELECTRIC CORPORATION. 2. PERFORMANCE CERTIFICATION. EACH CUSTOMER ASSISTANCE CENTER SERVING NEW YORK CUSTOMERS SHALL OBTAIN ANNUAL CERTIFICATION FROM THE COMMISSION DEMONSTRATING COMPLIANCE WITH PERFORMANCE STANDARDS INCLUDING: (A) EMERGENCY RESPONSE STANDARDS; EMERGENCY CALL HOLD TIME AVERAGE SHALL NOT EXCEED THIRTY SECONDS WITH NO MORE THAN TWENTY PERCENT OF EMERGENCY CALLS EXCEEDING SIXTY SECONDS HOLD TIME, MEASURED USING AUTO- MATED CALL MONITORING SYSTEMS WITH ONE-MINUTE POLLING INTERVALS; (B) SERVICE RESOLUTION REQUIREMENTS; FIRST-CALL RESOLUTION RATE OF NOT LESS THAN EIGHTY-FIVE PERCENT, MEASURED BY CUSTOMER CONFIRMATION OF ISSUE RESOLUTION THROUGH POST-CALL SURVEYS CONDUCTED WITHIN FORTY-EIGHT HOURS OF INTERACTION, WITH REPRESENTATIVE SAMPLING ACHIEVING NINETY-FIVE PERCENT CONFIDENCE LEVELS; (C) CUSTOMER SATISFACTION THRESHOLDS; MINIMUM CUSTOMER SATISFACTION RATING OF 4.0 ON A FIVE-POINT SCALE AVERAGED OVER EACH CALENDAR QUARTER, MEASURED THROUGH VERIFIED POST-INTERACTION SURVEYS CONDUCTED BY COMMIS- SION-APPROVED THIRD-PARTY VENDORS USING STANDARDIZED QUESTIONNAIRES WITH MINIMUM RESPONSE RATES OF FIVE PERCENT OF MONTHLY INTERACTIONS. SURVEYS SHALL USE RANDOMIZED SAMPLING STRATIFIED BY SERVICE TYPE INCLUDING EMER- GENCY CALLS, BILLING INQUIRIES, SERVICE REQUESTS, AND COMPLAINT RESOL- A. 10236 3 UTION, AND BY GEOGRAPHIC REGION WITHIN THE UTILITY'S SERVICE TERRITORY TO ENSURE REPRESENTATIVE COVERAGE. SURVEY SAMPLES SHALL INCLUDE A MINI- MUM FIVE PERCENT OF MONTHLY CUSTOMER INTERACTIONS WITH SAMPLE SIZES SUFFICIENT TO ACHIEVE STATISTICAL CONFIDENCE INTERVALS NOT EXCEEDING PLUS OR MINUS THREE PERCENTAGE POINTS AT NINETY-FIVE PERCENT CONFIDENCE LEVEL. SURVEY VENDORS SHALL ACHIEVE MINIMUM RESPONSE RATES OF TWENTY- FIVE PERCENT OF ATTEMPTED CONTACTS WITH DOCUMENTATION OF OUTREACH METH- ODOLOGY AND NON-RESPONSE ANALYSIS. THE COMMISSION MAY SET ALTERNATIVE STATISTICALLY VALID METHODOLOGIES INCLUDING BUT NOT LIMITED TO WEIGHTING OR ROLLING AVERAGES, WHERE A FIXED RESPONSE-RATE THRESHOLD IS IMPRACTI- CABLE, PROVIDED CONFIDENCE INTERVALS ARE MAINTAINED. SURVEY RESULTS SHALL NOT BE USED TO EVALUATE INDIVIDUAL EMPLOYEES. FOR FIRST-CALL RESOLUTION AND CUSTOMER SATISFACTION BENCHMARKS UNDER THIS PARAGRAPH AND PARAGRAPH (B) OF THIS SUBDIVISION, THE COMMISSION SHALL: (I) EXCLUDE CALL TYPES THAT BY POLICY OR LAW REQUIRE TRANSFER, MULTI-VISIT FIELD WORK, OR INVESTIGATION; (II) APPLY RISK-ADJUSTMENT FOR PREDICTABLE SURGE PERIODS INCLUDING BUT NOT LIMITED TO MAJOR OUTAGE EVENTS, WINTER HIGH- BILL SEASONS, COLLECTIONS PEAKS AND INFORMATION TECHNOLOGY SYSTEM INCI- DENTS; AND (III) PUBLISH STANDARDIZED CONTROLLABLE VS. NON-CONTROLLABLE CALL CATEGORIES. FAILURE TO MEET BENCHMARKS DUE PRIMARILY TO NON-CONT- ROLLABLE FACTORS SHALL NOT TRIGGER ENHANCED OVERSIGHT OR PENALTIES; (D) COMPLAINT RESOLUTION TIMELINE; ALL NON-EMERGENCY CUSTOMER COMPLAINTS SHALL BE RESOLVED WITHIN SEVENTY-TWO HOURS OF RECEIPT UNLESS ADDITIONAL TECHNICAL INVESTIGATION REQUIRING FIELD INSPECTION IS NECES- SARY, IN WHICH CASE UTILITIES SHALL NOTIFY CUSTOMERS WITHIN FORTY-EIGHT HOURS AND PROVIDE PROJECTED RESOLUTION TIMELINE NOT EXCEEDING TEN BUSI- NESS DAYS; (E) SYSTEM AVAILABILITY REQUIREMENTS; CUSTOMER-FACING COMMUNICATION AND EMERGENCY RESPONSE SYSTEMS SHALL MAINTAIN MINIMUM OPERATIONAL AVAIL- ABILITY OF NINETY-NINE AND NINE TENTHS PERCENT PER CALENDAR YEAR, WITH DOWNTIME INCLUDING ALL PERIODS OF SERVICE UNAVAILABILITY DUE TO SYSTEM FAILURE, NETWORK DISRUPTION, OR PLANNED MAINTENANCE EXCEEDING FIFTEEN MINUTES IN DURATION, MEASURED USING AUTOMATED MONITORING SYSTEMS; AND (F) LOCATION-NEUTRAL APPLICATION OF STANDARDS; ALL PERFORMANCE STAND- ARDS, OVERSIGHT MECHANISMS, AUDIT REQUIREMENTS, AND ENFORCEMENT PROVISIONS UNDER THIS SECTION, INCLUDING PENALTIES AND ENHANCED OVER- SIGHT MEASURES, SHALL APPLY EQUALLY TO CUSTOMER ASSISTANCE CENTERS REGARDLESS OF PHYSICAL LOCATION. IN-STATE FACILITIES SHALL BE SUBJECT TO THE SAME PERFORMANCE BENCHMARKS, COMPLIANCE OBLIGATIONS, DATA REPORTING REQUIREMENTS, THIRD-PARTY AUDITS, AND PENALTY STRUCTURES AS OUT-OF-STATE FACILITIES, WITH ANY VARIATIONS IN OVERSIGHT FREQUENCY OR METHODOLOGY BASED SOLELY ON DEMONSTRATED PERFORMANCE HISTORY, RISK PROFILE, OR UTIL- ITY SIZE RATHER THAN GEOGRAPHIC LOCATION. THE COMMISSION SHALL ENSURE THAT CERTIFICATION REQUIREMENTS, TRAINING STANDARDS, AND OPERATIONAL INTEGRATION MEASURES ARE APPLIED IN A LOCATION-NEUTRAL MANNER DESIGNED TO ACHIEVE EQUIVALENT SERVICE QUALITY AND EMERGENCY RESPONSE CAPABILITY. NOTHING IN THIS SECTION SHALL BE CONSTRUED TO CREATE A PRESUMPTION OF COMPLIANCE OR NON-COMPLIANCE BASED ON FACILITY LOCATION, NOR TO IMPOSE DIFFERENT SUBSTANTIVE STANDARDS BASED ON GEOGRAPHY. SUCH NEUTRALITY REQUIREMENT SHALL APPLY TO BOTH REGULATORY OVERSIGHT AND RATE TREATMENT, ENSURING THAT PERFORMANCE, NOT LOCATION, DETERMINES REGULATORY OUTCOMES. 3. FAIR USE OF METRICS. PERFORMANCE STANDARDS UNDER THIS SECTION SHALL BE EVALUATED AT THE UTILITY OR CUSTOMER ASSISTANCE CENTER LEVEL. NOTHING IN THIS SECTION SHALL REQUIRE OR AUTHORIZE THE USE OF INDIVIDUAL QUOTAS, INDIVIDUAL FIRST-CALL RESOLUTION TARGETS, HANDLE-TIME LIMITS, OR SIMILAR PER-EMPLOYEE SCORECARDS FOR DISCIPLINARY ACTION. THE USE OF INDIVIDUAL A. 10236 4 PERFORMANCE DATA SHALL REMAIN SUBJECT TO COLLECTIVE BARGAINING AGREE- MENTS AND APPLICABLE PROVISIONS OF THE LABOR LAW, AND NO PENALTY ASSESSED UNDER THIS SECTION MAY BE PASSED THROUGH TO INDIVIDUAL EMPLOY- EES. 4. CERTIFICATION REQUIREMENTS. EACH UTILITY SEEKING CERTIFICATION SHALL SUBMIT: (A) MONTHLY PERFORMANCE DATA IN COMMISSION-PRESCRIBED FORMAT INCLUDING CALL VOLUME STATISTICS BY SERVICE CATEGORY, AVERAGE RESPONSE TIMES MEAS- URED IN SECONDS, CUSTOMER SATISFACTION SURVEY RESULTS WITH METHODOLOGY DISCLOSURE INCLUDING SAMPLE SIZE AND RESPONSE RATES, COMPLAINT RESOL- UTION METRICS INCLUDING PERCENTAGE RESOLVED WITHIN SPECIFIED TIMEFRAMES, AND SYSTEM AVAILABILITY REPORTS DOCUMENTING UPTIME PERCENTAGES AND CAUS- ES OF DOWNTIME EXCEEDING FIFTEEN MINUTES; (B) THIRD-PARTY AUDIT REPORTS CONDUCTED BY COMMISSION-APPROVED FIRMS DEMONSTRATING COMPLIANCE WITH SERVICE STANDARDS, STAFF COMPETENCY, AND OPERATIONAL PROCEDURES, WITH AUDITS COVERING REPRESENTATIVE SAMPLING OF OPERATIONS AND SUBMITTED DIRECTLY TO THE COMMISSION WITHIN THIRTY DAYS OF COMPLETION; (C) EVIDENCE OF STAFF TRAINING PROGRAMS COVERING NEW YORK STATE UTILI- TY REGULATIONS AND CONSUMER PROTECTION REQUIREMENTS TOTALING NOT LESS THAN TWENTY HOURS ANNUALLY, EMERGENCY RESPONSE PROCEDURES AND COORDI- NATION PROTOCOLS, RECORDS DEMONSTRATING ALL CUSTOMER-FACING STAFF HAVE COMPLETED REQUIRED TRAINING WITHIN THE PRECEDING TWELVE MONTHS, AND MINIMUM COMPETENCY CERTIFICATION FOR EMERGENCY-RELATED COMMUNICATIONS AS SPECIFIED IN SUBDIVISION TWELVE OF THIS SECTION, INCLUDING REGIONAL CERTIFICATION REQUIREMENTS AS SPECIFIED IN SUBDIVISION THIRTEEN OF THIS SECTION. TRAINING REQUIRED BY THIS SECTION, INCLUDING REGIONAL AND EMER- GENCY CERTIFICATIONS, SHALL BE PROVIDED ON PAID TIME AT NO LOSS OF PAY OR BENEFITS. TIME SPENT MEETING SUCH REQUIREMENTS MAY NOT BE USED AS THE BASIS FOR ADVERSE EMPLOYMENT ACTION. UTILITIES SHALL FURNISH NECESSARY MATERIALS AND REIMBURSE REASONABLE EXPENSES FOR CERTIFICATION MAINTE- NANCE; AND (D) DOCUMENTATION DEMONSTRATING COMPLIANCE WITH CONSUMER PRIVACY PROTECTION REQUIREMENTS UNDER STATE AND FEDERAL LAW INCLUDING STAFF CERTIFICATION IN PRIVACY PROTOCOLS, DATA SECURITY STANDARDS ESTABLISHED BY THE COMMISSION INCLUDING ANNUAL SECURITY ASSESSMENTS, AND EMERGENCY RESPONSE PROTOCOLS DEMONSTRATING COORDINATION CAPABILITY WITH RELEVANT EMERGENCY SERVICES. 5. GEOGRAPHIC RISK MITIGATION PLAN. (A) ANY UTILITY THAT OPERATES OR CONTRACTS FOR CUSTOMER ASSISTANCE SERVICES OUTSIDE THE STATE OF NEW YORK SHALL SUBMIT A GEOGRAPHIC RISK MITIGATION PLAN FOR APPROVAL BY THE COMMISSION DEMONSTRATING: (I) STAFF KNOWLEDGE OF SEASONAL WEATHER PATTERNS AND INFRASTRUCTURE CHALLENGES WITHIN THE UTILITY'S NEW YORK STATE SERVICE TERRITORY SUFFI- CIENT TO APPROPRIATELY PRIORITIZE EMERGENCY CALLS, UNDERSTANDING OF REGIONAL EMERGENCY RESPONSE PROTOCOLS INCLUDING CONTACT INFORMATION FOR RELEVANT EMERGENCY SERVICES, AND COMPLIANCE PROCEDURES FOR NEW YORK STATE CONSUMER PROTECTION LAWS AND COMMISSION REGULATIONS; (II) DOCUMENTED PROCEDURES FOR IMMEDIATE CONTACT WITH UTILITY DISPATCH PERSONNEL LOCATED WITHIN NEW YORK STATE WITHIN FIFTEEN MINUTES DURING BUSINESS HOURS AND THIRTY MINUTES DURING NON-BUSINESS HOURS, PROTOCOLS FOR COORDINATION WITH LOCAL EMERGENCY MANAGEMENT AGENCIES INCLUDING ANNUAL TESTING AND VERIFICATION, AND COMMUNICATION PROCEDURES WITH FIRE DEPARTMENTS AND LAW ENFORCEMENT AGENCIES AS DETERMINED APPROPRIATE BY LOCAL EMERGENCY MANAGEMENT OFFICIALS; AND A. 10236 5 (III) BACKUP ROUTING PROCEDURES FOR SERVICE DISRUPTIONS AFFECTING INTERSTATE COMMUNICATIONS INCLUDING ALTERNATE FACILITIES AND COMMUNI- CATION METHODS, REDUNDANT COMMUNICATION SYSTEMS AND FAILURE RECOVERY PROTOCOLS WITH MAXIMUM RESTORATION TIMEFRAMES SPECIFIED, AND DATA SECU- RITY MEASURES ENSURING COMPLIANCE WITH NEW YORK PRIVACY REQUIREMENTS INCLUDING ENCRYPTION AND ACCESS CONTROLS MEETING COMMISSION STANDARDS. (B) GEOGRAPHIC RISK MITIGATION PLANS SHALL BE SUBJECT TO A THIRTY-DAY PUBLIC COMMENT PERIOD WITH NOTICE PUBLISHED IN COMMISSION PROCEEDINGS, THE OPPORTUNITY FOR PUBLIC HEARING UPON WRITTEN REQUEST BY ANY PERSON DEMONSTRATING POTENTIAL IMPACT, AND COMMISSION APPROVAL OR DENIAL WITHIN ONE HUNDRED TWENTY DAYS OF COMPLETE SUBMISSION WITH SPECIFIC WRITTEN JUSTIFICATION FOR ANY DENIAL. 6. OPERATIONAL INTEGRATION. (A) ALL CUSTOMER ASSISTANCE CENTERS SERV- ING NEW YORK STATE CUSTOMERS SHALL DEMONSTRATE: (I) ELECTRONIC SYSTEMS PROVIDING OPERATIONAL INFORMATION UPDATES BETWEEN CUSTOMER ASSISTANCE CENTERS AND FIELD OPERATIONS, SECURE ELEC- TRONIC COMMUNICATION SYSTEMS ALLOWING CONTACT BETWEEN REPRESENTATIVES AND FIELD PERSONNEL WITHIN FIVE MINUTES DURING NORMAL OPERATIONS AND FIFTEEN MINUTES DURING EMERGENCY CONDITIONS, AND ACCESS TO UTILITY SYSTEM STATUS INFORMATION SUFFICIENT TO PROVIDE CURRENT OPERATIONAL INFORMATION TO CUSTOMERS; (II) QUARTERLY EMERGENCY RESPONSE COORDINATION EXERCISES INVOLVING CUSTOMER ASSISTANCE CENTER PERSONNEL AND FIELD RESPONSE TEAMS WITH SCENARIOS APPROPRIATE TO THE UTILITY'S SERVICE TERRITORY, DOCUMENTATION OF RESPONSE TIME PERFORMANCE COMPARED TO UTILITY-SPECIFIC BASELINES WITH CONSIDERATION FOR EXTERNAL FACTORS AFFECTING RESPONSE CAPABILITY, AND CUSTOMER FEEDBACK COLLECTION REGARDING EMERGENCY RESPONSE EFFECTIVENESS THROUGH POST-INCIDENT CONTACTS; AND (III) DESIGNATION OF SUPERVISORY PERSONNEL WITH AUTHORITY TO MAKE EMERGENCY RESPONSE DECISIONS LOCATED WITHIN THE UTILITY'S NEW YORK STATE SERVICE TERRITORY OR WITH DEMONSTRATED ABILITY TO EFFECTIVELY COORDINATE NEW YORK STATE OPERATIONS, AVAILABILITY FOR CONSULTATION REGARDING EMER- GENCY SITUATIONS THROUGH APPROPRIATE COMMUNICATION CHANNELS, AND DOCU- MENTED CONTACT PROCEDURES WITH RELEVANT EMERGENCY AGENCIES TESTED ANNU- ALLY. (B) THE COMMISSION SHALL CONSIDER STAFFING ADEQUACY AND SYSTEM PERFORMANCE, INCLUDING TELEPHONY AND CUSTOMER RELATIONSHIP MANAGEMENT UPTIME, WHEN EVALUATING COMPLIANCE. DOCUMENTED UNDERSTAFFING OR INFORMA- TION TECHNOLOGY DEGRADATION MAY JUSTIFY TEMPORARY ADJUSTMENTS TO BENCH- MARKS AND SHALL WEIGH AGAINST PENALTY ASSESSMENT. 7. ENFORCEMENT. (A) WITH REGARD TO VIOLATIONS UNDER THIS SECTION, A SECOND VIOLATION WITHIN ANY THREE-YEAR PERIOD SHALL RESULT IN PENALTIES MULTIPLIED BY 1.5, A THIRD VIOLATION SHALL RESULT IN PENALTIES MULTI- PLIED BY 2.0, AND ANY SUBSEQUENT VIOLATIONS SHALL RESULT IN PENALTIES MULTIPLIED BY 3.0, WITH MULTIPLIERS APPLIED TO BOTH INITIAL AND DAILY PENALTY AMOUNTS. BEFORE IMPOSING ENHANCED OVERSIGHT OR PENALTY MULTIPLI- ERS UNDER THIS SUBDIVISION, THE COMMISSION SHALL MAKE AN EXPLICIT WRIT- TEN FINDING, SUPPORTED BY SUBSTANTIAL EVIDENCE IN THE ADMINISTRATIVE RECORD, THAT THE DEFICIENCIES GIVING RISE TO PENALTIES WERE PRIMARILY ATTRIBUTABLE TO MANAGEMENT DECISIONS, INADEQUATE RESOURCE ALLOCATION, SYSTEMIC OPERATIONAL FAILURES, OR POLICY CHOICES BY THE UTILITY, RATHER THAN TO INDIVIDUAL WORKFORCE PERFORMANCE, UNFORESEEABLE EXTERNAL CIRCUM- STANCES, OR FACTORS SUBSTANTIALLY BEYOND THE UTILITY'S REASONABLE CONTROL. SUCH FINDINGS SHALL SPECIFICALLY IDENTIFY THE MANAGEMENT DECI- SIONS OR SYSTEMIC FAILURES THAT CAUSED OR SUBSTANTIALLY CONTRIBUTED TO NON-COMPLIANCE, AND SHALL BE SUBJECT TO ADMINISTRATIVE REVIEW. SUCH A. 10236 6 REQUIREMENT SHALL NOT APPLY TO INITIAL PENALTIES FOR FIRST VIOLATIONS THAT DO NOT TRIGGER MULTIPLIERS. (B) FAILURE TO OBTAIN REQUIRED CERTIFICATION SHALL RESULT IN PENALTIES RANGING FROM TWENTY-FIVE THOUSAND DOLLARS FOR UTILITIES SERVING FEWER THAN FIFTY THOUSAND CUSTOMERS PLUS TWO THOUSAND FIVE HUNDRED DOLLARS PER DAY OF CONTINUED NON-COMPLIANCE TO ONE HUNDRED THOUSAND DOLLARS PLUS TEN THOUSAND DOLLARS PER DAY OF CONTINUED NON-COMPLIANCE FOR UTILITIES SERV- ING MORE THAN FIFTY THOUSAND CUSTOMERS, WITH PENALTIES CALCULATED PROPORTIONATE TO UTILITY SIZE AND COMPLIANCE HISTORY, SUBJECT TO THE PENALTY MULTIPLIERS SPECIFIED IN PARAGRAPH (A) OF THIS SUBDIVISION. (C) OPERATION OF OUT-OF-STATE CUSTOMER ASSISTANCE SERVICES WITHOUT AN APPROVED GEOGRAPHIC RISK MITIGATION PLAN SHALL CONSTITUTE A VIOLATION SUBJECT TO DAILY PENALTIES RANGING FROM TWENTY-FIVE HUNDRED DOLLARS FOR UTILITIES SERVING FEWER THAN FIFTY THOUSAND CUSTOMERS TO TEN THOUSAND DOLLARS FOR UTILITIES SERVING MORE THAN FIFTY THOUSAND CUSTOMERS, SUBJECT TO THE PENALTY MULTIPLIERS SPECIFIED IN PARAGRAPH (A) OF THIS SUBDIVISION. (D) ALL PENALTY ASSESSMENTS SHALL INCLUDE WRITTEN NOTICE SPECIFYING VIOLATION DETAILS AND CALCULATION METHODOLOGY, OPPORTUNITY FOR INFORMAL RESOLUTION THROUGH COMMISSION STAFF CONSULTATION WITHIN THIRTY DAYS, AND FORMAL HEARING RIGHTS WITH PRESENTATION OF EVIDENCE BEFORE ADMINISTRA- TIVE LAW JUDGES INDEPENDENT OF ENFORCEMENT STAFF. (E) UTILITIES MAY APPEAL PENALTY ASSESSMENTS THROUGH COMMISSION ADJU- DICATORY PROCEDURES WITHIN THIRTY DAYS OF PENALTY NOTIFICATION, WITH AUTOMATIC STAY OF MONETARY PENALTIES BUT CONTINUATION OF CORRECTIVE ACTION REQUIREMENTS EXCEPT WHERE IMMEDIATE SAFETY CONCERNS ARE NOT INVOLVED, AND AN INDEPENDENT REVIEW WITH WRITTEN DECISIONS ISSUED WITHIN SIXTY DAYS. (F) TOTAL PENALTIES UNDER THIS SUBDIVISION SHALL NOT EXCEED FIVE TENTHS OF ONE PERCENT OF ANNUAL NEW YORK STATE REVENUES FOR UTILITIES SERVING FEWER THAN FIFTY THOUSAND CUSTOMERS AND TWO PERCENT FOR UTILI- TIES SERVING MORE THAN FIFTY THOUSAND CUSTOMERS. (G) NO PENALTIES UNDER THIS SUBDIVISION, AND NO ENHANCED OVERSIGHT MEASURES, MAY BE IMPOSED WHERE A UTILITY DEMONSTRATES BY CLEAR AND CONVINCING EVIDENCE THAT: (I) BENCHMARK DEFICIENCIES WERE TEMPORARY AND ATTRIBUTABLE TO CIRCUMSTANCES SUBSTANTIALLY BEYOND THE UTILITY'S REASON- ABLE CONTROL, INCLUDING BUT NOT LIMITED TO EXTREME WEATHER EVENTS, PANDEMIC CONDITIONS, UNEXPECTED TECHNOLOGY FAILURES, OR UNPRECEDENTED CALL VOLUME SURGES; (II) THE UTILITY MAINTAINED DOCUMENTED STAFFING PLANS, TRAINING PROGRAMS, AND SYSTEM INVESTMENTS CONSISTENT WITH REASON- ABLE UTILITY PRACTICES AND DESIGNED TO ACHIEVE COMPLIANCE; (III) THE UTILITY TOOK PROMPT CORRECTIVE ACTION UPON IDENTIFYING DEFICIENCIES, INCLUDING INTERIM MEASURES TO PROTECT SERVICE QUALITY AND EMERGENCY RESPONSE; AND (IV) THE UTILITY COOPERATED FULLY WITH COMMISSION OVER- SIGHT AND PROVIDED TIMELY, ACCURATE REPORTING. THIS SAFE HARBOR SHALL NOT APPLY TO WILLFUL VIOLATIONS, REPEATED VIOLATIONS OF THE SAME STAND- ARD WITHIN ANY THREE-YEAR PERIOD, OR VIOLATIONS THAT RESULTED IN VERI- FIED HARM TO CUSTOMERS OR DELAYED EMERGENCY RESPONSE. THE COMMISSION SHALL ISSUE WRITTEN FINDINGS ON ANY SAFE HARBOR CLAIM WITHIN SIXTY DAYS OF SUBMISSION. 8. AUDIT AND OVERSIGHT. (A) CUSTOMER ASSISTANCE CENTERS LOCATED WITHIN THE STATE OF NEW YORK SHALL BE SUBJECT TO COMPREHENSIVE ON-SITE AUDITS EVERY TWO YEARS BY COMMISSION STAFF OR COMMISSION-APPROVED THIRD-PARTY AUDITORS, ANNUAL PERFORMANCE REVIEWS BASED ON SUBMITTED METRICS WITH WRITTEN ASSESSMENT PROVIDED WITHIN SIXTY DAYS, AND STREAMLINED COMPLI- A. 10236 7 ANCE CERTIFICATION FOR FACILITIES DEMONSTRATING CONSISTENT COMPLIANCE OVER TWENTY-FOUR CONSECUTIVE MONTHS. (B) CUSTOMER ASSISTANCE CENTERS LOCATED OUTSIDE THE STATE OF NEW YORK SHALL BE SUBJECT TO QUARTERLY REMOTE AUDITS INCLUDING PERFORMANCE DATA ANALYSIS AND RECORDED CALL MONITORING WITH REPRESENTATIVE SAMPLING, ANNUAL ON-SITE INSPECTIONS AT THE EXPENSE OF THE UTILITY BY COMMISSION STAFF OR APPROVED AUDITORS WITH TOTAL COSTS NOT EXCEEDING SEVENTY-FIVE THOUSAND DOLLARS ANNUALLY FOR UTILITIES SERVING FEWER THAN ONE HUNDRED THOUSAND CUSTOMERS AND TWO HUNDRED THOUSAND DOLLARS ANNUALLY FOR UTILI- TIES SERVING MORE THAN ONE HUNDRED THOUSAND CUSTOMERS, AND ENHANCED DOCUMENTATION REQUIREMENTS INCLUDING MONTHLY REPORTING AND THIRD-PARTY VERIFICATION. (C) AUDIT REPORTS SHALL IDENTIFY DEFICIENCIES USING STANDARDIZED CLAS- SIFICATIONS INCLUDING MINOR ISSUES REQUIRING CORRECTION WITHIN NINETY DAYS, SIGNIFICANT PROBLEMS REQUIRING CORRECTION WITHIN SIXTY DAYS, AND CRITICAL DEFICIENCIES REQUIRING IMMEDIATE PROTECTIVE MEASURES WITHIN SEVENTY-TWO HOURS AND FULL CORRECTION WITHIN THIRTY DAYS, WITH UTILITIES REQUIRED TO SUBMIT CORRECTIVE ACTION PLANS WITHIN FIFTEEN DAYS OF RECEIVING AUDIT REPORTS. (D) UTILITIES SERVING FEWER THAN FIFTY THOUSAND CUSTOMERS MAY REQUEST MODIFIED OVERSIGHT INCLUDING SIMPLIFIED REPORTING FORMATS, COMBINED AUDITS WITH OTHER REGULATORY REVIEWS, REDUCED DOCUMENTATION REQUIREMENTS NOT EXCEEDING TWENTY-FIVE PERCENT OF STANDARD REQUIREMENTS, AND TECHNI- CAL ASSISTANCE FROM COMMISSION STAFF TO FACILITATE COMPLIANCE. (E) QUALITY MONITORING UNDER THIS SUBDIVISION SHALL BE USED PRIMARILY FOR SERVICE-QUALITY IMPROVEMENT AND COMPLIANCE. THE COMMISSION SHALL PROHIBIT INVASIVE CONTINUOUS MONITORING PRACTICES UNRELATED TO SERVICE QUALITY OR SAFETY AND SHALL REQUIRE PRIVACY-PROTECTIVE PROTOCOLS FOR ANY CALL RECORDINGS OR ANALYTICS. (F) (I) ALL DATA COLLECTED PURSUANT TO THIS SUBDIVISION, INCLUDING CALL RECORDINGS, QUALITY MONITORING ANALYTICS, PERFORMANCE METRICS, AND CUSTOMER SATISFACTION SURVEY RESPONSES, SHALL BE USED SOLELY FOR THE FOLLOWING PURPOSES: (A) COMMISSION OVERSIGHT AND COMPLIANCE VERIFICATION UNDER THIS SUBDIVISION; (B) UTILITY SERVICE QUALITY IMPROVEMENT AND TRAINING; (C) EMERGENCY RESPONSE COORDINATION AND PUBLIC SAFETY; AND (D) CUSTOMER COMPLAINT INVESTIGATION AND RESOLUTION. (II) SUCH DATA COLLECTED PURSUANT TO THIS SUBDIVISION SHALL NOT BE USED FOR: (A) INDIVIDUAL EMPLOYEE SURVEILLANCE, EVALUATION, OR DISCI- PLINE, EXCEPT WHERE SPECIFIC CONDUCT DIRECTLY VIOLATES SAFETY PROTOCOLS OR LAW AND IS DOCUMENTED THROUGH QUALITY MONITORING CONDUCTED CONSISTENT WITH PARAGRAPH (E) OF THIS SUBDIVISION; (B) COMMERCIAL PURPOSES UNRE- LATED TO UTILITY OPERATIONS; (C) MARKETING OR SALE TO THIRD PARTIES; OR (D) ANY PURPOSE THAT WOULD VIOLATE CUSTOMER PRIVACY RIGHTS UNDER STATE OR FEDERAL LAW. (III) UTILITIES SHALL ESTABLISH DATA RETENTION POLICIES LIMITING STOR- AGE TO THE MINIMUM PERIOD NECESSARY FOR COMPLIANCE AND SAFETY PURPOSES, NOT TO EXCEED SEVEN YEARS FOR QUALITY MONITORING RECORDINGS AND THREE YEARS FOR AGGREGATED PERFORMANCE DATA, UNLESS LONGER RETENTION IS REQUIRED BY LAW OR PENDING LITIGATION. UTILITIES SHALL IMPLEMENT PRIVA- CY-PROTECTIVE PROTOCOLS INCLUDING ANONYMIZATION OF CUSTOMER AND EMPLOYEE DATA WHERE PRACTICABLE, SECURE STORAGE AND ACCESS CONTROLS, AND ANNUAL AUDITS OF DATA USE PRACTICES. THE COMMISSION SHALL ESTABLISH RULES GOVERNING DATA SECURITY STANDARDS, BREACH NOTIFICATION, AND THIRD-PARTY AUDITOR ACCESS TO ENSURE CONFIDENTIALITY. 9. TRANSPARENCY AND DISCLOSURE. (A) ALL UTILITIES SHALL DISCLOSE QUAR- TERLY IN STANDARDIZED COMMISSION-PRESCRIBED FORMATS THE GENERAL LOCATION A. 10236 8 BY STATE AND REGION OF CUSTOMER SERVICE CENTERS WITHOUT SPECIFIC ADDRESSES, THE TOTAL NUMBER OF EMPLOYEES BY FACILITY IN RANGES INCLUDING FEWER THAN TWENTY-FIVE, TWENTY-FIVE TO FIFTY, FIFTY-ONE TO ONE HUNDRED, AND MORE THAN ONE HUNDRED EMPLOYEES, AND PERFORMANCE METRICS INCLUDING AVERAGE WAIT TIMES, RESOLUTION RATES, AND CUSTOMER SATISFACTION SCORES USING VALIDATED SURVEY METHODOLOGY. (B) ANNUAL COST INFORMATION SHALL BE DISCLOSED INCLUDING TOTAL CUSTOM- ER SERVICE OPERATION COSTS ALLOCATED BETWEEN NEW YORK STATE AND OUT-OF- STATE FACILITIES USING COMMISSION-APPROVED METHODOLOGIES, COMPLIANCE COSTS ASSOCIATED WITH ENHANCED OVERSIGHT REPORTED IN AGGREGATE, AND INVESTMENT AMOUNTS IN NEW YORK STATE WORKFORCE DEVELOPMENT AS TOTAL ANNUAL EXPENDITURES WITHOUT DETAILED PROGRAM INFORMATION. (C) CUSTOMER COMPLAINT SUMMARIES SHALL BE PUBLISHED QUARTERLY SHOWING STATISTICAL ANALYSIS WITHOUT INDIVIDUAL CUSTOMER IDENTIFICATION, EMER- GENCY RESPONSE COORDINATION EFFECTIVENESS REPORTED ANNUALLY WITH OBJEC- TIVE PERFORMANCE MEASURES, AND SERVICE IMPROVEMENT PLANS DESCRIBING GENERAL GOALS WITHOUT REVEALING STRATEGIC INFORMATION. (D) ALL DISCLOSURES SHALL BE PUBLISHED IN EASILY ACCESSIBLE FORMATS ON UTILITY WEBSITES WITH DEDICATED TRANSPARENCY PAGES, SUMMARY INFORMATION IN CUSTOMER BILLS USING PLAIN LANGUAGE, AND COMPREHENSIVE ANNUAL REPORTS WITH APPROPRIATE REDACTIONS FOR SECURITY AND COMPETITIVELY SENSITIVE INFORMATION AS DETERMINED THROUGH COMMISSION REVIEW. 10. PERFORMANCE-BASED INCENTIVES. (A) UTILITIES DEMONSTRATING SUPERIOR PERFORMANCE INCLUDING CUSTOMER SATISFACTION SCORES OF 4.2 OR HIGHER ON A FIVE-POINT SCALE, EMERGENCY RESPONSE TIMES TWENTY PERCENT FASTER THAN MINIMUM REQUIREMENTS, AND FIRST-CALL RESOLUTION RATES EXCEEDING EIGHTY- FIVE PERCENT, MAINTAINED FOR EIGHTEEN CONSECUTIVE MONTHS WITH NO SIGNIF- ICANT DEFICIENCIES, SHALL BE ELIGIBLE FOR PERFORMANCE INCENTIVES. (B) UTILITIES MEETING THE BENCHMARKS SET FORTH IN PARAGRAPH (A) OF THIS SUBDIVISION MAY RECEIVE REDUCED AUDIT FREQUENCY EXTENDING BIENNIAL AUDITS TO THREE-YEAR INTERVALS, EXPEDITED COMMISSION REVIEW AND APPROVAL OF ROUTINE SERVICE PLAN MODIFICATIONS WITHIN THIRTY DAYS, STREAMLINED RATE RECOVERY FOR PRUDENT CUSTOMER SERVICE INVESTMENTS IN NEW YORK STATE FACILITIES, AND REDUCED REGULATORY FILING FEES OF TWENTY-FIVE PERCENT FOR FACILITIES DEMONSTRATING SUPERIOR PERFORMANCE. (C) ENHANCED RATE TREATMENT INCLUDING PERFORMANCE-BASED COST RECOVERY SHALL BE LIMITED TO A MAXIMUM OF ONE PERCENT OF TOTAL CUSTOMER SERVICE COSTS WITH ANNUAL REVIEW TO ENSURE CONTINUED CUSTOMER BENEFIT, AND TOTAL INCENTIVE BENEFITS SHALL NOT EXCEED THE AMOUNT OF DEMONSTRATED COST SAVINGS ACHIEVED THROUGH REDUCED OVERSIGHT REQUIREMENTS. (D) UTILITIES RECEIVING INCENTIVES UNDER THIS SUBDIVISION SHALL BE SUBJECT TO CONTINUOUS MONITORING INCLUDING QUARTERLY REPORTING OF KEY INDICATORS, ANNUAL INDEPENDENT AUDITS TO VERIFY SUSTAINED PERFORMANCE, AND AUTOMATIC REVIEW TRIGGERED IF PERFORMANCE FALLS BELOW BENCHMARK LEVELS FOR TWO CONSECUTIVE QUARTERS, WITH A GRADUATED RETURN TO STANDARD OVERSIGHT BASED ON SUSTAINED IMPROVEMENT OVER TWELVE-MONTH PERIODS. 11. RATE RECOVERY AND COST DISALLOWANCE PROVISIONS. (A) IN ANY PROCEEDING CONCERNING THE ESTABLISHMENT OR REVISION OF RATES, THE COMMISSION MAY DISALLOW, IN WHOLE OR IN PART, THE RECOVERY OF COSTS ASSOCIATED WITH CUSTOMER ASSISTANCE OPERATIONS LOCATED OUTSIDE THE STATE OF NEW YORK IF THE UTILITY FAILS TO DEMONSTRATE, TO THE SATISFACTION OF THE COMMISSION, THAT SUCH OPERATIONS ACHIEVE SERVICE QUALITY PERFORMANCE EQUAL TO OR GREATER THAN THAT OF IN-STATE OPERATIONS, AS MEASURED BY RESPONSE TIME, FIRST-CALL RESOLUTION RATE, OUTAGE REPORTING EFFECTIVE- NESS, LANGUAGE ACCESSIBILITY, AND EMERGENCY COORDINATION CAPACITY, AND ARE SUPPORTED BY A WORKFORCE DEVELOPMENT PLAN THAT PROVIDES TRAINING, A. 10236 9 WAGES, AND BENEFITS COMPARABLE TO INDUSTRY STANDARDS WITHIN THE STATE OF NEW YORK. (B) THE COMMISSION MAY REDUCE RATE RECOVERY ELIGIBILITY BY UP TO TWEN- TY-FIVE PERCENT OF THE TOTAL COSTS ASSOCIATED WITH OUT-OF-STATE CUSTOMER ASSISTANCE OPERATIONS THAT DO NOT MEET THE STANDARDS SET FORTH IN PARA- GRAPH (A) OF THIS SUBDIVISION. (C) THE COMMISSION MAY PROVIDE PROCEDURAL AND REGULATORY INCENTIVES TO UTILITIES THAT MAINTAIN OR EXPAND IN-STATE CUSTOMER ASSISTANCE OPER- ATIONS, INCLUDING BUT NOT LIMITED TO EXPEDITED REVIEW OF PROPOSED GRID MODERNIZATION PROJECTS, NON-WIRES ALTERNATIVES, OR CAPITAL EXPENDITURE PLANS, EARNING ADJUSTMENT MECHANISMS THAT REWARD DEMONSTRABLE IN-STATE WORKFORCE INVESTMENT AND LOCAL SERVICE RESPONSIVENESS, AND PUBLIC RECOG- NITION THROUGH COMMISSION-ISSUED ANNUAL CUSTOMER SERVICE PERFORMANCE SCORECARDS. (D) THE COMMISSION SHALL ESTABLISH AND ADMINISTER A CALL CENTER RELI- ABILITY INCENTIVE PROGRAM TO ENCOURAGE IN-STATE INVESTMENT IN CUSTOMER ASSISTANCE INFRASTRUCTURE AND WORKFORCE. PARTICIPATION IN SUCH PROGRAM SHALL BE VOLUNTARY AND SHALL NOT CONSTITUTE A CONDITION OF UTILITY OPER- ATIONS. ELIGIBLE UTILITIES MAY RECEIVE THE FOLLOWING BENEFITS: (I) ACCELERATED DEPRECIATION TREATMENT. UTILITIES INVESTING IN CAPITAL IMPROVEMENTS FOR CUSTOMER ASSISTANCE CENTERS BASED IN THE STATE OF NEW YORK, INCLUDING TECHNOLOGY UPGRADES, PHYSICAL FACILITIES, AND TRAINING PROGRAMS, MAY PETITION THE COMMISSION FOR ACCELERATED DEPRECIATION SCHE- DULES NOT TO EXCEED FIFTY PERCENT OF STANDARD RECOVERY TIMELINES, SUBJECT TO VERIFICATION OF ACTUAL IN-STATE EXPENDITURES AND SERVICE PERFORMANCE ENHANCEMENTS; (II) PREFERENTIAL CONSIDERATION IN RATE CASES. THE COMMISSION MAY GIVE FAVORABLE CONSIDERATION IN RATE RECOVERY DETERMINATIONS TO UTILITIES DEMONSTRATING ONGOING CAPITAL AND WORKFORCE INVESTMENT IN CUSTOMER SERVICE OPERATIONS BASED IN THE STATE OF NEW YORK, PROVIDED SUCH INVEST- MENTS YIELD MEASURABLE IMPROVEMENTS IN CUSTOMER ACCESSIBILITY, EMERGENCY COORDINATION, OR SERVICE RELIABILITY; OR (III) EXPEDITED SITING AND SERVICE PLAN REVIEW. UTILITIES MAINTAINING VERIFIABLE IN-STATE CUSTOMER ASSISTANCE INFRASTRUCTURE SHALL BE ELIGIBLE FOR EXPEDITED REVIEW OF SITING APPLICATIONS OR SERVICE TERRITORY MODIFI- CATIONS, SUBJECT TO APPLICABLE PROCEDURAL REQUIREMENTS. THE COMMISSION MAY PRIORITIZE THESE PETITIONS IN RECOGNITION OF ENHANCED OPERATIONAL READINESS AND CUSTOMER RESPONSIVENESS. (E) IN RATE PROCEEDINGS, THE COMMISSION SHALL DISALLOW RECOVERY WHERE THE UTILITY SEEKS TO MEET STANDARDS PRINCIPALLY THROUGH INTENSIFIED INDIVIDUAL QUOTAS RATHER THAN ADEQUATE STAFFING, TRAINING, AND SYSTEMS INVESTMENT. 12. IMPLEMENTATION TIMELINE. (A) THE COMMISSION SHALL ADOPT RULES AND REGULATIONS NECESSARY TO IMPLEMENT THIS SECTION WITHIN ONE HUNDRED EIGHTY DAYS OF THE EFFECTIVE DATE OF THIS SECTION, INCLUDING CERTIF- ICATION STANDARDS, AUDIT PROCEDURES, PERFORMANCE METRICS, AND PENALTY SCHEDULES WITH STAKEHOLDER INPUT THROUGH PUBLIC WORKSHOPS AND COMMENT PERIODS. (B) ANNUAL CERTIFICATION APPLICATIONS SHALL COMMENCE TWELVE MONTHS AFTER FINAL RULES AND REGULATIONS ARE ADOPTED PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, WITH INITIAL APPLICATIONS NOT REQUIRED UNTIL ONE HUNDRED EIGHTY DAYS AFTER COMMISSION ADOPTION OF CERTIFICATION STANDARDS TO ALLOW UTILITIES ADEQUATE PREPARATION TIME. (C) UTILITIES OPERATING OUT-OF-STATE CUSTOMER ASSISTANCE CENTERS SHALL SUBMIT GEOGRAPHIC RISK MITIGATION PLANS WITHIN EIGHTEEN MONTHS OF THE ADOPTION OF FINAL RULES AND REGULATIONS, WITH COMMISSION REVIEW AND A. 10236 10 APPROVAL COMPLETED WITHIN ONE HUNDRED TWENTY DAYS OF COMPLETE SUBMISSION. (D) EXISTING CUSTOMER ASSISTANCE OPERATIONS MAY CONTINUE WITHOUT INTERRUPTION DURING TRANSITION PERIODS, PROVIDED UTILITIES DEMONSTRATE GOOD FAITH COMPLIANCE EFFORTS INCLUDING TIMELY APPLICATION SUBMISSION AND COOPERATION WITH COMMISSION DEVELOPMENT PROCESSES, WITH FULL COMPLI- ANCE REQUIRED WITHIN TWENTY-FOUR MONTHS OF THE ADOPTION OF FINAL RULES AND REGULATIONS. (E) UTILITIES UNABLE TO MEET COMPLIANCE DEADLINES DUE TO CIRCUMSTANCES BEYOND REASONABLE CONTROL MAY PETITION FOR EXTENSION WITH DETAILED JUSTIFICATION, DEMONSTRATION OF GOOD FAITH EFFORTS, AND A PROPOSED ALTERNATIVE TIMELINE, WITH EXTENSIONS GRANTED BASED ON TECHNICAL COMPLEXITY AND CONTINUED CUSTOMER SERVICE QUALITY MAINTENANCE. EXTEN- SIONS MAY BE GRANTED ONLY FOR UP TO SIX MONTHS FOR THE FOLLOWING: NATURAL DISASTERS WITH GOVERNMENT EMERGENCY DECLARATIONS, CYBERATTACKS VERIFIED BY LAW ENFORCEMENT, COMMISSION DELAYS IN ISSUING REQUIRED STAN- DARDS, AND TECHNICAL IMPOSSIBILITY VERIFIED BY INDEPENDENT EXPERTS. NO EXTENSION SHALL BE GRANTED WITHOUT THIRD-PARTY VERIFICATION OF CIRCUM- STANCES INCLUDING GOVERNMENT DECLARATIONS OR EXPERT TECHNICAL ASSESS- MENTS, DETAILED COMPLIANCE EFFORTS UNDERTAKEN AND EXPENDITURES MADE TOWARD COMPLIANCE OBJECTIVES, AND WEEKLY MILESTONE SCHEDULES WITH MEAS- URABLE COMPLETION TARGETS AND PROGRESS REPORTING REQUIREMENTS. (F) ANY UTILITY PROPOSING TO RELOCATE CUSTOMER ASSISTANCE CENTER FUNC- TIONS OUTSIDE OF THE STATE OF NEW YORK SHALL SUBMIT A VERIFIED COMPLI- ANCE AND RISK MITIGATION CERTIFICATION TO THE COMMISSION DEMONSTRATING OPERATIONAL EQUIVALENCE OR SUPERIORITY TO EXISTING IN-STATE FACILITIES. MANDATORY PUBLIC NOTICE PLUS A SIXTY DAY PUBLIC COMMENT PERIOD SHALL BE REQUIRED BEFORE ANY SUBSTANTIAL RELOCATION OF CALL CENTER OPERATIONS THAT HANDLE CALLS FROM RESIDENTS OF NEW YORK STATE. (G) THE COMMISSION SHALL REPORT QUARTERLY ON THE FOLLOWING: THE NUMBER OF CALLS HANDLED IN AND OUT OF STATE, THE AVERAGE RESOLUTION TIMES BY FACILITY, ANY SYSTEM OUTAGES OR TRANSFER FAILURES BY LOCATION, AND ANY CONTRACTS A UTILITY HAS WITH OUT-OF-STATE VENDORS. (H) FOR PURPOSES OF THE RELOCATION NOTICE REQUIREMENTS UNDER PARAGRAPH (F) OF THIS SUBDIVISION, A SUBSTANTIAL RELOCATION SHALL INCLUDE ANY ACTION OR SERIES OF ACTIONS BY A UTILITY THAT RESULTS IN A REDUCTION OF TWENTY-FIVE PERCENT OR MORE OVER ANY TWELVE-MONTH PERIOD IN: (I) THE TOTAL CALL VOLUME HANDLED BY IN-STATE CUSTOMER ASSISTANCE CENTERS; (II) THE AMOUNT OF EMERGENCY CALLS TRIAGED OR HANDLED BY IN-STATE PERSONNEL; (III) SUPERVISORY AUTHORITY EXERCISED BY IN-STATE MANAGEMENT OVER CUSTOMER ASSISTANCE OPERATIONS; OR (IV) FULL-TIME EQUIVALENT POSITIONS AT IN-STATE FACILITIES, EXCLUDING REDUCTIONS DEMONSTRABLY CAUSED BY TECHNOLOGY IMPROVEMENTS, VOLUNTARY ATTRITION WITHOUT REPLACEMENT, OR DOCUMENTED DECREASES IN OVERALL CUSTOMER CONTACT VOLUME. ANY SUCH CONSTRUCTIVE RELOCATION SHALL TRIGGER THE NOTICE, CERTIFICATION, AND PUBLIC COMMENT REQUIREMENTS OF PARAGRAPH (F) OF THIS SUBDIVISION, AND THE COMMISSION MAY REQUIRE THE UTILITY TO DEMONSTRATE THAT SERVICE QUAL- ITY, EMERGENCY RESPONSE CAPABILITY, AND WORKFORCE STABILITY WILL NOT BE MATERIALLY IMPAIRED. (I) IN PROMULGATING RULES AND REGULATIONS PURSUANT TO THIS SUBDIVI- SION, THE COMMISSION SHALL CONVENE A LABOR-MANAGEMENT WORKING GROUP INCLUDING RECOGNIZED EMPLOYEE REPRESENTATIVES OF NEW YORK STATE UTILITY CALL CENTERS TO ADVISE ON CALL-TYPE EXCLUSIONS, RISK ADJUSTMENTS, TRAIN- ING STANDARDS, AND MONITORING SAFEGUARDS. 13. EMERGENCY PERSONNEL COMPETENCY REQUIREMENTS. (A) THE COMMISSION SHALL ESTABLISH MINIMUM COMPETENCY AND EMERGENCY PREPAREDNESS REQUIRE- A. 10236 11 MENTS FOR ALL CUSTOMER ASSISTANCE PERSONNEL OF UTILITIES, WITH SPECIFIC PROVISIONS FOR EMERGENCY-RELATED COMMUNICATIONS. SUCH REQUIREMENTS SHALL INCLUDE THE FOLLOWING OPERATIONAL NECESSITY STANDARDS: (I) STATE CERTIFICATION. ANY CUSTOMER ASSISTANCE REPRESENTATIVE WHO HANDLES OR IS AUTHORIZED TO TRIAGE INQUIRIES RELATED TO GAS LEAKS, ELEC- TRICAL HAZARDS, CARBON MONOXIDE ALARMS, DOWNED WIRES, OR OTHER HIGH-RISK EMERGENCIES SHALL COMPLETE A COMMISSION-APPROVED CERTIFICATION PROGRAM ADMINISTERED OR RECOGNIZED BY THE DEPARTMENT OR AN ACCREDITED NEW YORK STATE-BASED UTILITY TRAINING INSTITUTION, AND SHALL RENEW SUCH CERTIF- ICATION ANNUALLY WITH UPDATED TRAINING ON REGIONAL INFRASTRUCTURE, SEASONAL HAZARDS, AND EMERGENCY RESPONSE PROTOCOLS; AND (II) CROSS-TRAINING REQUIREMENT. ALL UTILITIES OPERATING CUSTOMER ASSISTANCE CENTERS, WHETHER LOCATED WITHIN OR OUTSIDE OF THE STATE OF NEW YORK, SHALL PARTICIPATE IN AT LEAST ONE JOINT EMERGENCY COORDINATION TRAINING PER YEAR WITH IN-STATE UTILITY DISPATCH TEAMS AND RELEVANT PUBLIC SAFETY AGENCIES, AND SHALL DEMONSTRATE, THROUGH DRILLS AND PERFORMANCE REPORTING, THE OPERATIONAL CAPABILITY TO IDENTIFY, ESCALATE, AND COMMUNICATE LIFE-SAFETY CALLS WITHIN A TIME FRAME CONSISTENT WITH COMMISSION REGULATIONS AND MUTUAL AID PROTOCOLS. (B) THE REQUIREMENTS SET FORTH IN THIS SUBDIVISION SHALL BE TO ENSURE THE PROVISION OF SAFE AND ADEQUATE SERVICE UNDER ARTICLE FOUR OF THIS CHAPTER, AND SHALL BE NECESSARY TO MAINTAIN EMERGENCY PREPAREDNESS AND EFFECTIVE FIELD COORDINATION GIVEN THE GEOGRAPHIC, CLIMATIC, AND INFRAS- TRUCTURAL CHARACTERISTICS UNIQUE TO THE STATE OF NEW YORK. (C) TRAINING REQUIRED BY THIS SUBDIVISION, INCLUDING REGIONAL AND EMERGENCY CERTIFICATIONS, SHALL BE PROVIDED ON PAID TIME AT NO LOSS OF PAY OR BENEFITS. TIME SPENT MEETING SUCH REQUIREMENTS MAY NOT BE USED AS THE BASIS FOR ADVERSE EMPLOYMENT ACTION. UTILITIES SHALL FURNISH NECES- SARY MATERIALS AND REIMBURSE REASONABLE EXPENSES FOR CERTIFICATION MAIN- TENANCE. (D) NOTHING IN THIS SUBDIVISION SHALL EXPAND, MODIFY, OR CONFLICT WITH FEDERAL DEPARTMENT OF TRANSPORTATION DRUG AND ALCOHOL TESTING REQUIRE- MENTS UNDER 49 CFR PARTS 40, 199, OR 382, OR ANY OTHER APPLICABLE FEDER- AL SAFETY REGULATIONS. ONLY EMPLOYEES ALREADY SUBJECT TO FEDERAL DEPART- MENT OF TRANSPORTATION DRUG AND ALCOHOL TESTING REQUIREMENTS MAY BE ASSIGNED GAS EMERGENCY TRIAGE DUTIES INVOLVING DIRECT SAFETY-SENSITIVE FUNCTIONS, UNLESS OTHERWISE AGREED THROUGH COLLECTIVE BARGAINING. THE COMMISSION SHALL HARMONIZE CERTIFICATION AND TRAINING REQUIREMENTS WITH EXISTING FEDERAL MANDATES TO AVOID DUPLICATIVE OR CONFLICTING OBLI- GATIONS. WHERE FEDERAL AND STATE REQUIREMENTS OVERLAP, UTILITIES MAY DEMONSTRATE COMPLIANCE THROUGH INTEGRATED PROGRAMS THAT SATISFY BOTH FEDERAL AND STATE REQUIREMENTS, SUBJECT TO COMMISSION APPROVAL. 14. REGIONAL SERVICE FRAMEWORK. (A) THE COMMISSION SHALL, BY RULE OR REGULATION, ESTABLISH A REGIONAL SERVICE FRAMEWORK TO ENSURE THAT CUSTOMER ASSISTANCE REPRESENTATIVES POSSESS OPERATIONAL FAMILIARITY WITH THE GEOGRAPHIC UTILITY SERVICE AREAS THEY SERVE, INCLUDING INFRASTRUC- TURE, CLIMATE-RELATED RISKS, EMERGENCY PROTOCOLS, AND LOCAL COORDINATION REQUIREMENTS. SUCH FRAMEWORK SHALL INCLUDE THE FOLLOWING: (I) CUSTOMER SERVICE ZONES. THE COMMISSION SHALL DESIGNATE CUSTOMER SERVICE ZONES ALIGNED WITH UTILITY SERVICE TERRITORIES OR LOAD REGIONS AND REQUIRE UTILITIES TO MAINTAIN A MINIMUM PERCENTAGE, INITIALLY NO LESS THAN FORTY PERCENT, OF ALL LIVE CUSTOMER SERVICE INTERACTIONS FOR EACH REGION TO BE HANDLED BY REPRESENTATIVES WHO HAVE COMPLETED REGIONAL CERTIFICATION, AND PROTOCOLS TO INCREASE SUCH PERCENTAGE INCREMENTALLY OVER TIME BASED ON FEASIBILITY, PERFORMANCE, AND WORKFORCE AVAILABILITY; A. 10236 12 (II) REGIONAL CERTIFICATION. CERTIFICATION SHALL REQUIRE FAMILIARITY WITH LOCAL EMERGENCY ESCALATION PROCEDURES, SEASONAL AND GEOGRAPHIC RISKS AFFECTING SYSTEM RELIABILITY AND SAFETY, COMMUNITY RESOURCE REFER- RAL OPTIONS, AND FAMILIARITY WITH THE UTILITY'S INFRASTRUCTURE AND SERVICE PRIORITIES IN THE DESIGNATED ZONE; AND (III) LOCATION NEUTRALITY. CUSTOMER ASSISTANCE REPRESENTATIVES MAY BE PHYSICALLY LOCATED INSIDE OR OUTSIDE THE STATE OF NEW YORK, PROVIDED THEY MAINTAIN VALID AND CURRENT CERTIFICATION FOR THE ZONE FROM WHICH A CALL ORIGINATES. (B) THE COMMISSION SHALL MONITOR PERFORMANCE BY CUSTOMER SERVICE ZONE, PUBLISH COMPLIANCE RATES QUARTERLY, AND ADJUST MINIMUM THRESHOLDS AS NECESSARY TO ENSURE SERVICE ADEQUACY AND REGIONAL RESPONSIVENESS WITHOUT IMPOSING UNDUE OPERATIONAL BURDENS. 15. FORCE MAJEURE. COMPLIANCE REQUIREMENTS SET FORTH IN THIS SECTION MAY BE TEMPORARILY SUSPENDED DURING DECLARED EMERGENCIES, CYBERATTACKS VERIFIED BY LAW ENFORCEMENT, OR VENDOR FAILURES AFFECTING MULTIPLE UTIL- ITIES, WITH IMMEDIATE COMMISSION NOTIFICATION AND RESTORATION PLANS REQUIRED WITHIN SEVENTY-TWO HOURS. 16. PERIODIC REVIEW AND LEGISLATIVE REPORTING. THE COMMISSION SHALL PREPARE AND SUBMIT TO THE GOVERNOR, THE TEMPORARY PRESIDENT OF THE SENATE, AND THE SPEAKER OF THE ASSEMBLY A COMPREHENSIVE REPORT EVALUAT- ING THE IMPLEMENTATION AND EFFECTIVENESS OF THE PROVISIONS OF THIS SECTION NO LATER THAN THREE YEARS AFTER THE EFFECTIVE DATE OF THIS SECTION, AND EVERY THREE YEARS THEREAFTER. EACH REPORT SHALL INCLUDE: (A) QUANTITATIVE ANALYSIS OF SERVICE QUALITY METRICS INCLUDING AVERAGE RESPONSE TIMES, FIRST-CALL RESOLUTION RATES, CUSTOMER SATISFACTION SCORES, AND EMERGENCY RESPONSE PERFORMANCE, WITH YEAR-OVER-YEAR COMPAR- ISONS AND TREND ANALYSIS; (B) EVALUATION OF WORKFORCE IMPACTS INCLUDING CALL CENTER EMPLOYMENT LEVELS IN-STATE AND OUT-OF-STATE, WAGE AND BENE- FIT TRENDS, ATTRITION RATES, TRAINING COMPLETION RATES, AND SAFETY INCI- DENT DATA; (C) ASSESSMENT OF UTILITY COMPLIANCE INCLUDING CERTIFICATION RATES, AUDIT FINDINGS, PENALTY ASSESSMENTS, AND GOOD-FAITH SAFE HARBOR DETERMINATIONS; (D) ANALYSIS OF COST IMPACTS ON RATEPAYERS INCLUDING ADMINISTRATIVE COSTS, UTILITY COMPLIANCE EXPENDITURES, AND ANY CORRE- LATION BETWEEN COMPLIANCE INVESTMENTS AND SERVICE QUALITY IMPROVEMENTS; (E) REVIEW OF EMERGENCY RESPONSE EFFECTIVENESS INCLUDING COORDINATION WITH FIELD OPERATIONS, LIFE-SAFETY CALL HANDLING, AND PERFORMANCE DURING MAJOR EVENTS; (F) IDENTIFICATION OF UNINTENDED CONSEQUENCES, IMPLEMENTA- TION CHALLENGES, OR STATUTORY AMBIGUITIES; AND (G) RECOMMENDATIONS FOR STATUTORY OR REGULATORY AMENDMENTS TO IMPROVE SERVICE QUALITY, REDUCE ADMINISTRATIVE BURDEN, ENHANCE WORKER PROTECTIONS, OR ADDRESS EMERGING TECHNOLOGIES. THE COMMISSION SHALL SOLICIT INPUT FROM UTILITIES, RECOG- NIZED EMPLOYEE REPRESENTATIVES, CONSUMER ADVOCATES, AND RELEVANT STAKE- HOLDERS IN PREPARING EACH REPORT. THE LEGISLATURE MAY CONSIDER AMEND- MENTS BASED ON THESE REPORTS TO ENSURE THE FRAMEWORK REMAINS EVIDENCE-BASED, EFFECTIVE, AND PROPORTIONATE TO ITS CONSUMER PROTECTION AND PUBLIC SAFETY OBJECTIVES. § 3. Constitutional compliance. Nothing in this act shall be construed to prohibit the use of customer assistance centers outside of the state of New York. All oversight mechanisms shall be grounded in performance standards, public safety requirements, and consumer protection objec- tives, with requirements applied based on objective criteria rather than geographic location alone. § 4. Severability. If any clause, sentence, paragraph, subdivision, section or part of this act shall be adjudged by any court of competent jurisdiction to be invalid, such judgment shall not affect, impair, or A. 10236 13 invalidate the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, subdivision, section or part thereof directly involved in the controversy in which such judgment shall have been rendered. It is hereby declared to be the intent of the legislature that this act would have been enacted even if such invalid provisions had not been included herein. § 5. This act shall take effect immediately.
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