LBD14828-01-6
S. 9166 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-
S. 9166 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
S. 9166 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
S. 9166 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
S. 9166 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-
S. 9166 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
S. 9166 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,
S. 9166 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
S. 9166 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-
S. 9166 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;
S. 9166 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
S. 9166 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.
