Compliance Audit Checklists

Key Definitions
§ 16-1

This section identifies a number of important Connecticut definitions and terms of relevance to Connecticut electric suppliers. Note: Some sections of the audit may define additional terms of importance to that specific section of the audit.

Marketing Requirements
§16-245o as amended by Public Act No. 21-117, §§42-134 through 42-141, §§42-284 through 42-288, 6/29/2007 Final Decision in Dkt. No. 07-01-21 & 11/4/2014 Final Decision in Dkt. No. 13-07-18

This section details general marketing requirements applicable to Connecticut electric suppliers such as use of customer information, third-party agent requirements, and disclosure requirements as well as door-to-door marketing and telemarketing requirements. Note well: On May 6, 2020, the Connecticut PURA issued revised marketing standards. These revised marketing standards became effective August 6, 2020. The revised standards supplement, and do not replace, other standards for Electric Suppliers contained in the Connecticut General Statutes. Earth Etch has created a separate section, called “Revised Electric Supplier Marketing Standards” which is included in the Connecticut Electric Audit Bundle, or which can be purchased separately on the Earth Etch web site, that sets forth the new revised standards. This section on Marketing Requirements should be considered together with the section covering the new revised marketing standards.

Revised Electric Supplier Marketing Standards
5/6/2020 Final Decision in Dkt. No. 14-07-20RE01 as amended by Public Act No. 21-117.

This product details PURA’s Revised Marketing Standards and Sales Practices (effective August 6, 2020). Electric Suppliers who are already active in Connecticut and are confidant they are compliant with Connecticut’s regulations with the exception of these recently effective PURA Revised Marketing Standards and Sales Practices will find purchasing this section to be a quick way to assess their compliance with the new regulations. Topics covered in this product include: switching practices, solicitations and renewals, hiring and training of sales representatives, door-to-door marketing practices, telemarketing practices, TPV, recording keeping and customer service. Electric Suppliers who are new to the Connecticut market or unsure of their overall compliance with the broader range of regulations applicable to Connecticut Electric Suppliers should purchase the Connecticut bundled audit, which includes the content covered in this product, along with sections covering the broader range of requirements applicable to suppliers.

Standard Service; Alternative Standard Service; Participating Electric Suppliers
§§16-244c & 16-245o as amended by Public Act No. 21-117

This section details rules for standard service, alternative standard service, and the requirements for participating electric suppliers.

Information to Customers; Rate Board Internet Website
§§ 16-245p & 16-244d, 11/5/2014 Final Decision in Dkt. No. 13-07-18

This section details the rules re information provided by electric suppliers and electric distribution companies to customers as well as the program for distribution of information re electric suppliers including the requirements for a rate board internet website.

Switching Electric Suppliers
§§ 16-245q & 16-245s

This section identifies the rules for changing and switching electric suppliers including third-party telephone verifications. Note well: On May 6, 2020, the Connecticut PURA issued revised marketing standards which cover, among other topics, switching practices, assignment of customers, and third-party verification. These revised marketing standards became effective August 6, 2020. The revised standards supplement, and do not replace, other standards for Electric Suppliers contained in the Connecticut General Statutes. Earth Etch has created a separate section, called “Revised Electric Supplier Marketing Standards” which is included in the Connecticut Electric Audit Bundle, or which can be purchased separately on the Earth Etch web site, that sets forth the new revised standards. This section on Switching Electric Suppliers should be considered together with the section covering the new revised marketing standards.

Contract Requirements
§16-245o as amended by Public Act No. 21-117 & 2/11/2015 Final Decision in Dkt. No. 14-07-17, 11/5/2014 Final Decision in Dkt No. 13-07-18, 12/30/2015 Final Decision in Dkt. No. 13-07-18RE01

This section identifies the rules for contracts including residential standard summary form requirements, procedures for entering, renewing and terminating service contracts, and required contract disclosures. Note well: On May 6, 2020, the Connecticut PURA issued revised marketing standards which cover among other topics contract terms and renewals. These revised marketing standards became effective August 6, 2020. The revised standards supplement, and do not replace, other standards for Electric Suppliers contained in the Connecticut General Statutes. Earth Etch has created a separate section, called “Revised Electric Supplier Marketing Standards” which is included in the Connecticut Electric Audit Bundle, or which can be purchased separately at the Earth Etch web site, that sets forth the new revised standards. This section on Contract Requirements should be considered together with the section covering the new revised marketing standards.

Security Deposits
§ 16-262j

This section details the grounds for requiring security deposits for utility service to residential customers as well as the rules for same for new customers and other customers, the prohibitions on refusal of residential utility service and rules on interest on customer security deposits.

Billing Requirements
§§16-245 as amended by Public Act No. 21-117, 16-245d, 16-259a and 16-245-D-2 & 11/5/2014 Final Decision in Dkt. No. 13-07-18, 8/12/2015 Final Decision in Dkt. No. 14-07-19RE01, 12/19/2018 Final Decision in Dkt. No. 14-07-19RE05

This section details the billing rules for electric service including standard format, redesign of residential electric billing format, bill content, bill inserts and mailings requirements, bill payment confirmation and inaccurate billing rules as well as the billing relationship between the electric distribution company and suppliers.

Termination of Utility Service
§§ 16-262c, 16-262g & 16-262h

This section details prohibitions on termination of utility service for nonpayment, amortization agreements, money allowed to be deducted from customer accounts, notice of delinquency, hardship cases and annual report requirements.

Termination of Residential Utility Service
§§ 16-262d, 16-262g, 16-262h & 16-282x

This section identifies notice requirements for termination of residential utility service for nonpayment, nontermination events, amortization agreement and notice requirements re credit rating information.

Discrimination by Electric Suppliers Prohibited; Complaints
§§ 16-245r, 16-245t & 16-245u

This section details the prohibitions against discrimination by suppliers as well as the procedures for complaint handling and investigation procedures.

Renewable Portfolio Standards
§§ 16-245a, 16-245a-1, 16-243q as amended by Public Act No. 21-118, 16-243t & 16-245(k)

This section identifies class I, class II and class III standards as well as class III credits and RPS reporting requirements.

Code of Conduct
§ 16-244h

This section details the code of conduct rules for electric distribution companies as well as the customer service rules for electric suppliers.

Civil Penalties
§§ 16-41 & 16-245(k) as amended by Public Act No. 21-117

This section details the possible civil penalties for noncompliance with the state rules.

Annual Reporting Requirements
§§ 16-245y and 16-262c(c) & 2/6/2019 Final Decision in Dkt. No. 18-12-12, 10/21/2020 Final Decision in Dkt. No. 11-11-07, et al.

This section identifies electric distribution company, electric supplier, and PURA annual reporting requirements.

PURA Monitoring and Reporting of Electric Rates
§ 16-245x

This section details the PURA requirements for monitoring and reporting of electric rates and action to minimize rate differential.

Key Dockets

This section identifies important considerations re following PURA docket activity as well as various key PURA dockets.

Key Definitions
§ 1.0

This section identifies important Delaware electric definitions related to suppliers.

Pre-Enrollment Information & Customer Lists
§ 3.0

This section identifies pre-enrollment and customer consent requirements as well as handling procedures for customer lists.

Enrollments & Drops, Accelerated Switching
§ 4.0

This section specifies the requirements between an electric supplier and a utility for processing customer enrollment and drop requests within the prescribed time periods.

Billing & Metering
§ 5.0

This section identifies customer billing options, bill content requirements and metering functions.

Electric Supplier Contracts & Contract Summaries
§ 6.0

This section identifies required disclosures, statements, contact information and other required price disclosures that must be included in your customer contracts and contract summaries.

Notice of Change in Variable Price
§ 7.0

This section identifies the requirements for making available variable price change information and the required written directions for accessing the variable price.

Contract Renewal
§ 8.0

This section identifies contract renewal requirements including statements and disclosures as well as renewal notice time periods.

Notice of Change in Fixed Price or Material Terms; Expiration & Cancellation
§ 9.0

This section identifies the customer notice requirements for changes in fixed price or material terms and for expiration or cancellation of contracts that will not be renewed.

Customer Protection
§ 10.0

This section details agent training and on-going monitoring requirements as well as slamming and cramming prohibitions, customer complaint procedures and the requirements for assignment of contracts.

Enrollment, Marketing & Advertising
§ 11.0

This section identifies general marketing and advertising requirements including those pertaining to fixed and variable pricing as well as specific marketing and enrollment requirements for telephone, door-to-door and internet sales including TPV requirements.

Reports To Be Provided by Electric Suppliers to the Commission & DPA
§ 12.0

This section details the required notification and report submissions to the commission and DPA as well as required fees and assessments.

Green Power Products & Disclosure of Fuel Resource Mixs
§§ 13.0 and 14.0

This section details the registration, reporting and marketing requirements for Green Power Products as well as the fuel mix disclosure reporting requirements to the commission as well as to customers through bill inserts and website posting.

Net Metering
§ 15.0

This section details the requirements for net metering related to meters, billing, rates, community solar, disputes and annual reports.

Other General Rules
§ 17

This section details the requirements for handling of proprietary information as well as the penalties for failure to comply with the applicable rules.

----- DCMR 15-3 Electric & Gas - Residential -----

Key Definitions
§ 399.1

This section identifies important District of Columbia definitions related to Electric and Natural Gas Suppliers.

Purpose & Applicability
§ 300

This section outlines the purpose and applicability of the rules for services to Residential customers as well as general information re the prohibition against discrimination.

Billing & Billing Error Notifications
§§ 304 & 327.48 thru 327.53

This section details general billing requirements for Residential services including the requirements for estimated bills, the contents of supplier bills, and level payment billing plans.

Payments; Deferred Payment Agreements
§§ 305 & 306

This section identifies the requirements for Residential billing services related to payment due dates, late payments, order of application of payments, and deferred payment agreements.

Deposits
§ 307

This section identifies the rules regarding deposits and guarantees for Residential services.

Use of Customer’s Information; Privacy Protection Policy
§§ 308 & 309

This section identifies the privacy protection policy requirements related to Residential services including restrictions on use of customer’s information and required customer consent.

Customer Inquiries and Complaints
§ 320

This section identifies the general rules for handling disputes and complaints relating to Residential services including the written procedures and qualified personnel requirements.

Office of Consumer Services – Informal Complaints
§ 323

This section details the requirements for handling informal complaints related to Residential services.

Formal Complaints; Formal Hearing Procedures; Decision and Appeals
§§ 324, 325 & 326

This section details process and requirements for handling formal complaints related to Residential services including hearing procedures, decisions and appeals.

Publication of Consumer Pamphlet; Public Access to Rules and Rates
§§ 321 & 322

This section details the requirements for the creation, distribution and publication of a Consumer Pamphlet related to Residential services as well as the required content of same along with the requirements for public access to rules and rates.

Customer Protection Standards Applicable to Energy Suppliers
§ 327

This section details requirements related to Residential services for telephone, internet, home and direct mail solicitations, minimum contract terms and conditions, contract renewal and expiration or termination notices, and contract assignments.

Sanctions
§ 399.1

This section identifies the possible Commission sanctions related to Residential services.

----- DCMR 15-15-9, 15-29, 15-36 & 15-42 Electric Only - Residential and Non-Residential -----

Net Energy Metering
§§ 900 thru 909 & § 999

This section identifies Net Energy Metering requirements including billing and crediting rules for suppliers, SOS customers and Community Net Metering customers; reporting and contractual rules for Community Renewable Energy Facilities; and dispute resolution information.

Renewable Energy Portfolio Standard
§§ 2900 thru 2004 & § 2999

This section identifies the RPS Compliance requirements related to RECs and Reporting.

Fuel Mix and Emissions Disclosure Reports
§§ 4200, 4201 & 4299

This section identifies the Fuel Mix and Emissions disclosure requirements.

Geberal
ICC Docket 20-0457 (Final Order, November 10, 2022)
§ 8-201 through § 8-207, § 8-301, § 8-505, § 8-507,
§ 16-115A(a)(i) and (ii), § 16-115E(a), § 2EE(c)(10)

“Section 1 General” of the Illinois ARES Compliance Audit Checklist covers the general requirements set forth in Part 412, Subpart A. Section 1 also covers miscellaneous ongoing obligations of ARES.

Marketing Practices
Part 412 Subpart B Marketing Practices
Part 453 Internet Enrollment Public Utilities Act Sections:
§ 16-115A(e)(i), § 16-115A(a)(iv), § 16-115A(c), § 16-115A(d) Consumer Fraud and Deceptive Business Practices Act Sections:
§2N Non-English Language Transaction, § 2EE(a)(iii),
§ 2EE(a)(v)(A), § 2EE(b)(1), § 2EE(c)(1), § 2EE(c)(2), § 2EE(c)(3),
§ 2EE(c)(4), § 2EE(c)(5), § 2EE(c)(6)(A) & (B), § 2EE(c)(6)(C), § 2EE(c)(7)(D), § 2EE(c)(8), § 2GG Telephone Solicitations Act Automatic Telephone Dialers Act

“Section 2 Marketing Practices” of the Illinois ARES Compliance Audit Checklist covers the marketing practices requirements set forth in Part 412. Section 2 also addresses certain marketing-related provisions in the Public Utilities Act and Consumer Fraud and Deceptive Business Practices Act. In addition, Section 2 covers the Telephone Solicitations Act and the Automatic Telephone Dialers Act.

Uniform Disclosure Statement Template
Appendix A Uniform Disclosure Statement

Compliance Audit Checklist covers Part 412, Appendix A Uniform Disclosure Statement.

Verification Requirements
Public Utilities Act
§ 16-115A(b) Part 412 Obligation of Retail Electric Suppliers
Subpart B: Marketing Practices
§412.120 In Person Solicitation
§412.130 Telemarketing
§412.140 Inbound Enrollment Calls
§412.150 Direct Mail
§412.160 Online Marketing Consumer Fraud and Deceptive Business Practices Act Sections:
§2EE(a), §2EE(a)(v)(A), §2EE(a)(v)(B), §2EE(a)(v)(C)

Section 2.5 of the Illinois ARES Compliance Audit Checklist covers verification requirements.

Rescission, Deposits, Early Termination, Automatic Contract Renewal, Assignment, Billing and Use of Personal Information
Part 410 Standards Of Service For Electric Utilities And Alternative Retail Electric Suppliers
§410.200(h)(2), §410.210(a), §410.210(b), §410.210(h) Part 412 Subpart C: Recission, Deposits, Early Termination and Automatic Contract Renewal
Consumer Fraud and Deceptive Business Practices Act
§ 2EE(c)(9), § 2EE(c)(7)(A), § 2EE(c)(7)(B), § 2EE(c)(7)(C), § 2HH Automatic Contract Renewal Act

Section 3 of the of the Illinois ARES Compliance Audit Checklist covers content from Part 412, Subpart C: Rescission, Deposits, Early Termination, and Automatic Contract Renewal. Section 3 also addresses assignment, billing, information to customers, and limits on the use of a subscribers personal information.

Dispute Resolution, Reporting Requirements, Customer Complaint Reports, Non-Compliance
Part 200, §200.160 Informal Complaints Part 410 Standards Of Service For Electric Utilities And
Alternative Retail Electric Suppliers
§410.10, §410.40, §410.45 Part 412 Subpart D: Dispute Resolution and
Customer Complaint Reports Consumer Fraud and Deceptive Business Practices Act § 2EE(d)

Section 4 of the Illinois ARES Compliance Audit Checklist reviews content from Part 412 Subpart D: Dispute Resolution and Customer Complaint Reports. Section 4 also addresses Part 412 reporting requirements, customer complaint reporting and non-compliance with Part 412.

Part 421 Environmental Disclosure
Public Utilities Act
220 ILCS 5/16-127(c)

This section identifies the requirements for the quarterly environmental reports due to the ICC as well as the quarterly customer bill inserts required from retail electric suppliers.

Key Definitions
§ 11.02

This section identifies important Massachusetts electric definitions related to suppliers.

Billing & Termination of Generation Service Requirements
§ 11.05(3)

This section identifies the customer affirmative choice requirements for initiation of service related to Letters of Agency (LOAs) and Third-Party Verifications (TPVs) as well as requirements concerning the customer’s right to rescind.

Customer Authorization Requirements
§ 11.05(4)

This section identifies the customer affirmative choice requirements for initiation of service related to Letters of Agency (LOAs) and Third-Party Verifications (TPVs) as well as the rescission period for the affirmative choice.

Security Deposits and Late Payment Charges
§ 11.05(6)

This section identifies the requirements pertaining to security deposits and late payment charges from Non-Residential Customers.

Information Disclosure Requirements
§ 11.06

This section identifies the format, content, distribution and reporting requirements for the required Information Disclosure Label.

Complaint and Damage Claim Resolution; Penalties
§ 11.07

This section details complaint and dispute resolution procedures and associated penalties applicable to customer complaints.

Investigations and Proceedings
D.P.U. 16-156-A

This section identifies the rules and procedures for competitive supply informal reviews and formal investigations.

Retail Marketing and Sale of Electricity
§§ 11.05(5) & 19

This section covers the prohibition on misrepresentations to the public and consumers. It also covers required disclosures as well as other prohibited unfair and deceptive acts or practices.

Energy Switch Massachusetts Web Site Rules
D.P.U. 14-140-F

This section identifies the requirements for uploading supplier product information, for the content of the product information, and for providing supplier information on the Energy Switch Massachusetts website as well as how information is displayed, the user preference options and the general layout and content of this website.

Door-to-Door Marketing Notification Requirements and Standards of Conduct
D.P.U. 14-140-G

This section identifies the format, content and filing requirements for the Notice of Door-to-Door Marketing to residential customers as well as the requirements for background checks of sales agents and standards of conduct of employees and agents engaged in direct marketing.

Customer Assignment Reporting Requirements
D.P.U. 14-140-D

This section identifies the commission, customer and utility notification requirements for assignment of customers.

Order On Tier One Initiatives (Available as a Standalone Purchase - Click Here)
D.P.U. 19-07-A

This audit checklist covers requirements arising from the Department’s recent Order on Tier One Initiatives (May 22, 2020) and subsequent related Hearing Officer Memorandums dated June 25, 2020, and July 17, 2020, and October 27, 2020.

General
COMAR 20.53.01

This section identifies important Maryland electric definitions related to suppliers.

Pre-Enrollment Information
COMAR 20.53.03

This section identifies pre-enrollment and customer consent requirements.

Transfers of Service
COMAR 20.53.04

This section provides the requirements for supplier or customer cancellations or drops.

Supplier-Utility Coordination, Utility-Consolidated Billing, and Supplier-Consolidated Billing
COMAR 20.53.05

This section provides information on energy scheduling procedures, load assignments, utility consolidated and budget billing and purchase of receivables programs, and supplier-consolidated billing.

Nonresidential Customer Protection
COMAR 20.53.06

This section identifies the enrollment, contract, rescission period, cancellation and supplier-consolidated billing requirements for non-residential customers.

Residential Customer Protection
COMAR 20.53.07

This section identifies the general requirements for residential customer protection related to disclosure of customer information, customer consent, advertising and solicitations, contracts, disputes and termination.

Supplier-Consolidated Billing Customer Protections
COMAR 20.53.08

This section identifies customer protection rules for Supplier-Consolidated Billing including Alternative Payment Plans, Deposits, Late Payment Charges, Customer Bill Record Retention, Bill Adjustment, Complaint Handling, Customer Rights Pamphlet, and Call Center Requirements.

Issuance, Format, and Content of Bills for Supplier-Consolidated Billing
COMAR 20.53.07.09

This section identifies format and content requirements for Supplier-Consolidated Bills.

Supplier-Agent Relations
COMAR 20.53.10

This section identifies the agent qualifications, training and ongoing monitoring requirements for suppliers including door-to-door agent requirements and background checks as well as the record retention requirements for same.

Renewable Energy Portfolio Standard Program
COMAR 20.61.01 Through 20.61.06

This section identifies the requirements for the Renewable Energy Portfolio Standard Program in MD including standards, credits, consumer protection and annual reporting requirement..

Net Metering
COMAR 20.50.10

This section identifies the qualification requirements for net metering as well as the contract and billing requirements for same.

General Provisions & Definitions
Ch. 305, § 1; Ch. 306, § 1

This audit rule section describes general provisions and defines key definitions found in the Public Utilities Commission-General Chapter 305. Licensing Requirements, Annual Reporting, Enforcement and Consumer Protection Provisions.

Licensing & Registration of Third-party Sales Agents Annual Reporting, Uniform Disclosure & Portfolio Requirements
Ch. 305, § 2(E)

This Chapter establishes licensing requirements for competitive electricity providers, which includes marketers, brokers, and aggregators, and establishes registration requirements for third-party sales agents. The Chapter includes annual reporting provisions uniform disclosures and portfolio requirements.

Sanctions and Enforcement
Ch. 305, § 3

This Chapter establishes sanctions including penalties, cease and desist orders, restitution, revocation/suspension, and termination of registration for competitive electric providers noncompliance with the rules. This section also identifies enforcement procedures for court action and notice requirement to the Attorney General.

Customer Protection
Ch. 305, § 4

This Chapter first details general customer protections for customer authorization, customer information, trade practices collection and equal credit rules, and telemarketing. This section also details small customer consumer protection requirements on a host of topics from rescission rights, contract and renewal requirements, customer authorization, door-to-door, as well as complaint handling and market risk disclosures.

Informational Filings
Ch. 305, § 5

On June 2, 2022, the Commission adopted amendments to Chapter 305 of its rules to, among other things, conform the rule to recent legislative changes regarding competitive electricity providers (CEPs), door-to-door marketing and the registration of the third-party sales agents. The amended rule requires CEPs to register their third-party sales agents and to make certain related informational disclosures.

Uniform Information Disclosure
Ch. 306, §§ 2 and 3

This Chapter contains requirements for competitive electricity providers to disclose price, contract, resource mix, and emissions information to customers in a uniform format.

Metering, Billing, Collections, and Enrollment Interactions Among Transmission and Distribution Utilities and Competitive Electricity Providers
Ch. 322, §§ 1-11

This section includes key definitions related to metering, billing and collections, exceptions to the rule by contract, bill issuance for generation service, for transmission and distribution service, and for aggregator and broker service, prior competitive electricity provider past due charges under consolidated utility billing, charge for consolidated utility billing, agency billing, aggregator and broker service billing, bill calculation for generation service and for transmission and distribution service, bill adjustments, metering for generation service and for transmission and distribution service, meter reading, collections and payments, enrollment for generation service, cancellation of service, transfer of customer and business data and contracts between transmission and distribution utilities and competitive electricity providers.

Load Obligation and Settlement Calculations for Competitive Providers of Electricity
Ch. 321, §§ 1-10

This section provides key definitions related to load obligation and settlement calculations for competitive providers, and details transmission and distribution utility obligation, telemetering, load profiles for various customer groups, profiling methodology, daily estimation of competitive electricity provider hourly loads, calculation of hourly load responsibilities, monthly settlement of competitive electricity provider energy use, information access, and annual reporting.

Renewable Resource Portfolio Requirement
Ch. 311, §§ 1-9

The Commission adopted amendments to its Renewable Portfolio Standard (RPS) rule, Chapter 311, to make changes required to implement enacted legislation and address some cleanup edits to the rule. Specifically, this Chapter establishes requirements and standards for implementing the eligible resource new renewable resource, and new thermal energy portfolio requirements.

Key Definitions
Part 2002

This section identifies important New Hampshire retail electric definitions related to suppliers.

Reporting and Assessment Requirements
Parts 2003, 2004.05, 2006.03, 2006.04, 2503.02, and 2503.03

This section addresses required reports such as the quarterly sales report, the annual Renewable Portfolio standard compliance filing and the information required therein, the annual alternative compliance payment, Environmental Disclosure statement, annual assessment and information required for assessment exemption claim.

Consumer Protection Requirements
Part 2004

This section describes the Terms of Service Disclosure, pricing disclosure requirements, disclosure prior to end of contract, environmental disclosure, required contents of bills, required customer authorization for transfer of electric service to CEPS, approved means of obtaining authorization and requirements for each method, enrollment procedures, solicitation of customers, both in person and by telephone, off-cycle meter reading, transfer of accounts between suppliers, change in ownership of CEPS, voluntary discontinuance of service, transfer of customers due to unexpected cessation of service, Commission action when necessary to maintain service, termination of service by CEPS, protection of confidential customer information and other consumer protections.

Enforcement Provisions and Protections
Part 2005

This section details the assessment of fines through notice of violation, prospective suspension of marketing and sales activities, suspension and revocation of registration of CEPS, factors to be considered regarding sanctions, Commission claims against CEPS financial security for nonpayment of fines, and investigation by Commission by reason of consumer complaint.

Renewable Portfolio Standard
Parts 2501-2508

This section describes portfolio standards, annual compliance filings and the information required therein, the annual alternative compliance payment, net metering credit, certificate banking, the issuance and transfer of renewable energy certificates, transfer and aggregation of certificates, certification of renewable energy sources, rules for metering, verification and reporting, and the renewable energy fund.

Net Metering for Customer-owned Renewable Energy Generation Sources of 1,000 Kilowatts or Less
Parts 901-909

This section details General rules, rights and obligationsm Statutory and other requirements, Net energy measurement for small and large customer-generators, Grandfathering provisions, Interconnection application process, Installation and interconnection of facility, Technical requirements, Group Net Metering, including registration of hosts, reporting requirements and sanctions for non-compliance.

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Applicability, Scope and Key Definitions
§ 14:4-1.1, § 14:4-2.1, and § 14:4-7.1

This section outlines the applicability and scope of the subchapters detailed in subsequent Audit Checklists.

Change Order Required for Switch
§ 14:4-2.3

This sections details the change order requirements and verification requirements for each enrollment method.

Signing Up or Switching Customers Electronically
§ 14:4-2.1

This section details the requirements for enrolling customers via a website including required statements, mechanisms, web pages, notices, encryption and version numbers rules.

LDC Notice to Customer of Change Order
§ 14:4-2.6

This section details LDC notice requirements upon receipt of change order from TPS along with LDC change order and customer complaint process requirements.

Record keeping; Slamming Complaints and Investigation; Enforcement
§§ 14:4-2.5, 14:4-2.7 and 14:4-2.8

This section details the record retention and complaint handling requirements re antislamming rules as well as enforcement rules re acts of LDC/TPS agents and penalties for same.

Advertising Standards
§ 14:4-5.2(c) and § 14:4-7.3

This section details the required information, prohibitions, and complaint handling rules for advertising by a TPS.

Marketing Standards
§ 14:4-7.4

This section details the content requirements, prohibitions and complaint handling rules for marketing materials of a TPS.

Credit
§ 14:4-7.4

This section details the requirements for a written income, security deposit and credit policy.

Contracts
§ 14:4-7.6

This section details the process and content requirements for TPS contracts including price & fee information, rescission period, termination rights, renewal & expiration requirements, material changes notices, and sample filing requirements.

TPS Contract Summaries
§ 14:4-7.6A and P.L.2021, c.45

This section details the contract summary requirements for Residential & Small Commercial customers including content and required placement and provision.

Customer Bills; Customer Information
§§ 14:4-7.7 and 14:4-7.8

This section details the required content for TPS customer bills along with the rules for consolidated billing and consent requirements for handling of customer information.

Termination or Transfer of a Residential Contract by TPS
§§ 14:4-7.10 and 14:4-7.10A

This section details the requirements for termination or transfer of Residential contracts by a TPS.

Presentation of New Jersey Sales Tax; Fixed Rates
§§ 14:4-7.11 and 14:4-7.12

This section details the requirements for including New Jersey Sales and Use Tax in rates and charges as well as the requirements when using the term ‘fixed’ in rates and charges.

Complaints; Penalties
§§ 14:4-7.9, 14:4-7.13 and & P.L.2021, c.458

This section details the requirements for customer complaint handling and record retention and the penalties for false or misleading advertising or marketing claims.

Telemarketing: “Do Not Call”
SubChapters 1 Through 5 & P.L.2021, c.458.

This section details the rules applicable to telemarketers making residential telemarketing sales calls to New Jersey customers.

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Environmental Information Disclosure
§ 14:8-3.1

This section details the Environmental Information Disclosure requirements including use of sample format and update and distribution requirements.

Net Metering for Class I Renewable Energy Systems
§§ 14:8-4.1 through 14:8-4.4

This section details the scope and definitions re TPS requirement to offer Net Metering along with specific rules re credit, annualized period, ownership of renewable attributes, and rates/fees/charges.

Renewable Portfolio Standards
§§ 14:8-2.1 through 14:8-2.11

This section details the Renewable Portfolio Standards in New Jersey including amount of renewable energy required, using RECs, SRECs, and ORECs for RPS compliance, issuance of RECs and SRECs, alternative compliance payments, demonstrating compliance, reporting and recordkeeping.

Key Definitions
§ 1

This section identifies important New York electric and gas definitions related to Energy Services Companies (ESCOs).

Eligibility Requirements
§§ 2.D through 2.F

This section identifies the requirements for maintaining ESCO eligibility status as well as the consequences of noncompliance including discontinuation of participation in a retail access program.

Creditworthiness
§ 3

This section identifies creditworthiness standards that apply to ESCOs and Direct Customers.

Customer Information
§ 4

This section identifies the requirements for the handling and use of customer information related to authorization process, federal do-not-call registry, usage data, release of information, account & consumption history, billing and credit information, charges for information, and unauthorized information release.

Changes in Service Providers - General Provisions
§§ 5.A & 5.B

This section identifies general requirements for changing a service provider including customer agreement and residential rescission period information.

Telephone & Door-to-Door Agreement & TPV
§ 5.B.1(a) & Attachment 1

This section details the TPV requirements for telephonic and D2D enrollments including required statements, verification questions and record retention rules.

Electronic Agreement & Authorization Requirements
§ 5.B.1(b) & Attachment 2

This section details the requirements for electronic customer agreements including the electronic information needed to substantiate customer agreement and/or authorization, encryption standards, rescission period and record retention rules.

Written Agreement & Authorization Requirements
§ 5.B.1(c) & Attachment 3

This section details the requirements for written customer agreements including authorization rules, disclosure statement requirements and record retention rules.

Standard Sales Agreement
§ 5.B.4

This section details the required contract terms & conditions and customer disclosure statement for standard sales agreements.

Standard Sales Agreement-- Additional Terms & Conditions for Residential Customer and Door-to-Door Customers
§ 5.B.5

This section details additional requirements for standard sales agreements related to residential and D2D customers including prepayments, termination fees, variable charges, material changes and contract renewals.

Customer Enrollment, Drop & Notification Procedures
§§ 5.D. & 5.E

This section details the required information for enrollment and drop requests, utility and ESCO requirements related to these requests, off-cycle switch requirements and customer notification requirements regarding same.

Enrollment Rejection, Relocations, Returning to Utility Service & New Delivery Customers
§§ 5.F through 5.I

This section details the reasons for utility enrollment rejections, the process for customer relocations and returning customers to utility service, and the requirements for ESCOs to follow when arranging for utility delivery service to new customers.

Multiple Assignments of Sales Agreements
§ 5.J

This section details the notice, documents and acknowledge requirements for an ESCO assigning all or a portion of its sales agreement to other ESCOs.

Unauthorized Customer Transfers
§ 5.K

This section details the ESCO and utility obligations re customers who have been slammed – switched to another energy provider without customer authorization.

Lists of ESCO Customers, Budget Billing, Charges & Fees
§ 5.L

This section identifies important New York electric and gas definitions related to Energy This section details the customer information utilities shall provide to ESCOs upon request, the requirements for offering budget billing to residential customers, the utility process for handling enrollment requests and the rules re assessment of charges and fees by utilities.

Customer Inquiries
§ 6

This section details the utility and ESCO requirements for responding to general customer inquiries and specific customer requests as well as the requirement to provide emergency contact information.

Distribution Utility Invoices
§ 7

This section details the procedures for invoicing of charges for services provided by the distribution utility directly to an ESCO or direct customer including payment, overpayment, refunds, billing inquiries and disputes.

Disputes Involving Distribution Utilities, ESCOs or Direct Customers
§ 8

This section describes the dispute resolution processes available at the Department to resolve disputes relating to utilities, ESCOs and/or direct customers, including disputes alleging anti-competitive practices.

Billing & Payment Processing
§ 9

This section details the requirements for billing and payment processing options offered by the utility and an ESCO in a multi-retailer model including consolidate and dual billing requirements.

Marketing Standards
§ 10

This section describes the standards that ESCOs and their marketing representatives must follow when marketing to customers in New York including rules re agent training, D2D and telephonic solicitation and TPV requirements.

Key Definitions
4901:1-21-01

This section identifies important Ohio definitions related to Competitive Retail Electric Suppliers.

Purpose & Scope
4901:1-21-02

This section outlines the applicability, purpose and scope of the rules. It also addresses waivers and the interaction of the rules with other laws and Supplier terms and conditions.

General Provisions
4901:1-21-03

This section prohibits unfair, misleading, deceptive, or unconscionable acts or practices by CRES providers. It also addresses prohibitions concerning disconnection of distribution service and slamming. It also sets forth the requirement to furnish at least one offer on the Energy Choice Ohio website.

Records and Record Retention
4901:1-21-04

This section identifies record maintenance and retention requirements.

Marketing, Solicitation and Customer Information
4901:1-21-05

This section identifies specific requirements for marketing materials and offers. It also addresses the timeframe for the production of marketing materials to PUCO staff. This section also expands, with examples, what constitutes prohibited marketing, solicitation and sales acts and practices. This section also covers criminal background checks and door-to-door sales restrictions.

Mail & Fax Customer Enrollment and Consent
4901:1-21-06

This section identifies the documents and signed contract requirements for customer enrollment and consent via mail and facsimile.

Door-to-Door Customer Enrollment and Consent
4901:1-21-06

This section identifies the documents, signed contract and TPV requirements for customer enrollment and consent via D2D solicitation including the circumstances under which a TPV may be waived.

Telephonic Customer Enrollment and Consent
4901:1-21-06

This section identifies the documents, signed contract and recording verification requirements for customer enrollment and consent via telephone solicitation.

Internet Customer Enrollment and Consent
4901:1-21-06

This section identifies the web site and customer consent form requirements for customer enrollment and consent via the internet.

Credit and Deposits
4901:1-21-07

This section identifies the contract disclosure requirements as well as the standards and application of procedures for customer credit and deposits.

Customer Access, Slamming Complaints and Complaint Handling Procedures
4901:1-21-08

This section details the requirements related to access to customer service representatives, complaint handling, and provisions unique to slamming complaints.

Environmental Disclosure
4901:1-21-09

This section details the content and timing requirements for the required environmental disclosure to customers and to the commission.

Customer Information
4901:1-21-10

This section covers the requirements around customer information, including: access to customer payment history; requirements when disclosing a customer’s account number, social security number, and energy usage data. This section also covers the required customer information release consent format.

Contract Administration and Renewal
4901:1-21-11

This section details contract administration requirements related to record retention, contract assignment, cancellation or termination, rescission period, renewals, contract expiration and material changes.

Contract Disclosure
4901:1-21-12

This section details contract disclosure requirements related to rescission, termination and cancellation, price information, limits on terms & conditions, complaint and dispute handling, billing information, duration, automatic renewal, credit, deposits and collections.

Net Metering Contracts
4901:1-21-13

This section reviews selected provisions from Ohio Administrative Code 4901:1-10-28 Net Metering as well as the Ohio rules applicable to net metering contracts, 4901:1-21-13.

Customer Billing and Payments
4901:1-21-14

This section identifies the requirements for CRES bills that do not include any electric utility charges including required statements, payment information, application of partial payments, on-line billing and dispute procedures.

Noncompliance with Rules or Orders
4901:1-21-15

This section details the consequences for failure to comply with the rules.

Formation and Operation of an Opt-Out Governmental Aggregation
4901:1-21-16

This section identifies the requirements for opt-out governmental aggregation related to pre-certification and the operation and governance plan.

Opt-Out Disclosure Requirements
4901:1-21-17

This section identifies the requirements for the opt-out governmental aggregation disclosures such as written notice, disclosure of terms and conditions, eligible customer lists, prohibitions on disclosure or use of customer information, customer written release, prohibition on inclusion of ineligible customers, and filing requirements.

Consolidated Billing Requirements
4901:1-21-18

This section details the requirements for CRES bills that include both the electric utility and CRES charges for electric services including proper format, partial payment procedures and online requirements.

Disclosure of Renewable Energy Resource Compliance Costs
4901:1-21-19

This section defines renewable energy and details the requirements for disclosure of same on customer bills.

Renewable Energy Portfolio Standard
4901:1-40

This section identifies the RPS rules including qualified resources, use of RECs and S-RECs, annual status reports, compliance reviews, cost cap and compliance payments requirements.

Utility Enrollment and Billing Information Regarding Suppliers
4901:1-10-29 & 4901:1-10-33

This section identifies utility enrollment and consolidated billing requirements as they relate to suppliers.

Please Note: This bundle is for Pennsylvania Code 54, 57 & 75 applicable to Electric Residential and Small Commercial customers. For all Pennsylvania Electric rules applicable to all Residential customers, please also purchase PA Code 111 Electric & Gas Compliance Audit Checklist Bundle.

Key Definitions
§ 54.2

This section identifies additional key definitions related to Electric Generation Suppliers.

Standards & Pricing Practices for Retail Electricity Service
§ 54.3

This section identifies the use of common terminology requirements when providing retail electricity service to all customers.

Bill Format for Residential and Small Business Customers
§ 54.4

This section identifies the requirements for the bill format including bill content related to basic and non-basic charges, usage data, definitions, customer contact information and separate EGS bill or single EDC bill.

Disclosure Statement for Residential and Small Business Customers
§ 54.5

This section identifies the disclosure statement and contract summary requirements such as when to provide to customers and the required contents including info on variable pricing, rescission period, definitions, statements, and notifications.

Request for Information About Generation Supply
§ 54.6

This section identifies the procedures for handling customer requests for generation energy sources, energy efficiency info, and historical billing data as well as the rules for generation marketing claims and claims of environmental benefits.

Marketing & Sales Activities
§ 54.7

This section identifies the marketing / sales activities set forth in Section 54.7 as well amendments to the Pennsylvania Telemarketing Registration Act. Among the Section 54.7 requirements covered in this section are the disclosure requirements for marketing materials when offering fixed and variable priced offers.

Privacy of Customer Information
§ 54.8

This section identifies the requirements for releasing customer information to third parties such as customer notification and customer opportunity to restrict such release.

Compliant Handling Process; Customer Dispute Procedures; Record Maintenance
§§ 54.9, 57.177 & 57.179

This section identifies the requirements for disclosure of customer rights related to complaint handling and resolution as well as the rules for when customers allege slamming violations including prohibition on charges and fees to switch back to original EGS, information on informal complaints, penalties, and record retention re slamming complaints.

Notice of Contract Expiration or Change in Terms for Residential and Small Business Customers
§ 54.10

This section identifies initial notice and “options” or second notice requirements re contract expiration or change in contract terms such as when to send, how to send, required content, and procedures to follow when customers do not respond to these notices.

Standards for Changing Customer’s EGS
§§ 57.172 through 57.176

This section identifies the requirements when customers contact either the EGS or the EDC to change their EGS including information on notification rules, time frame, and valid written authorization.

Net Metering
§§ 75.11 through 75.13

This section details the rules re Net Metering should an EGS choose to offer it.

Alternative Energy Portfolio Requirement
§§ 75.1, 75.61 through 75.66, 75.68 through 75.72

This section details the EDC and EGS obligations re the AEPS as well as the rules re alternative compliance payments, force majeure, banking of alternative energy credits, and the reporting requirements for quarterly adjustment of non-solar tier I obligations.

Purpose and Definitions
§§ 815 RICR 30-05-2.2 and 2.3

This section details the purpose of the rules for services to consumers, as well as important Rhode Island definitions related to suppliers.

Consumer Information Requirements
§ 815 RICR 30-05-2.4

This section sets forth the requirements for a standard billing format, including the specified required information as well as a single standard offer service price for comparison purposes and projections about future rate changes. It also describes the periodic review of the billing format conducted by the Division; the website maintained by the Division for posting of company policies and prices; and how suppliers may post their information to the site.

Certain Customer Rights
§§ 815-RICR-30-05-2.5, Gen. Laws 39-26.7-5, 6-13, 6-13.3, 6-28 and 6-29

This section sets forth requirements for residential customer switching; the release of customer information by the distribution company to the supplier; the contents of the written terms and conditions of the contract for electric generation services being consented to by the customer; the requirement to provide such information to prospective customers; the requirement for customer authorization for service; the rules for the contents of service contracts, including rates, information on the comparison of rates and the right of recission and contract expiration and renewal requirements. It also details marketing requirements in general and specific rules for door-to-door sales, including relevant definitions, a customer’s right to cancel, required notices, the seller’s and buyer’s obligations upon cancellation and penalties for violation. It also sets out referral selling requirements, restrictions of the environmental marketing act and the obligation to conform to laws regarding unfair sales practices.

Nonregulated Power Producer Obligations
§ 815-RICR-30-05-2.6

This section discusses the obligations of nonregulated power producers including contract termination fees, the obligation to train employees and agents, penalties for noncompliance, switching requirements, recission rights and hiring and training requirements.

Reliability Responsibility Regulations for Nonregulated Power Producers
§ 810-RICR-40-10-2

This section addresses the operating and reliability standards for nonregulated power producers, including definitions of key terms; prerequisites for Rhode Island operators; the responsibility to meet load requirements; accounting, billing, metering and settlement procedures; complaint and enforcement procedures; and penalties and remedies for noncompliance.

Dispute Resolution and Complaint Handling
§§ 815-RICR-30-05-1.5, 815-RICR-00-00-1.6 through 1.8, 810-RICR-00-00-1.13

This section sets forth dispute resolution regulations relating to nonregulated power providers such as the treatment of informal inquiries or complaints as well as formal complaints, including form of complaint and process of treating same. It also discusses the rules for setting a formal hearing and offers to satisfy a complaint, as well as the format of Division investigations.

Implementation of a Renewable Energy Standard
§ 810-RICR-40-05-2

This section sets forth the regulations promulgated to establish a renewable energy standard for obligated entities, including all relevant definitions. It outlines the renewable energy standard established by the Commission, the annual increases in the amount of sales derived from Existing Renewable Resources, the Commission’s role in determining adequacy of supplies for scheduled increases, and what constitutes Eligible Renewable Energy Resources. It also addresses the annual compliance filing, compliance procedures, and the manner of compliance: standard, banked, or alternative. It also describes the contents of the annual compliance filing, contracting standards and sanctions for non-compliance. A link to additional information from the PUC is included.

Rules Governing Energy Source Disclosure
§ 810-RICR-810-40-05-3

This section provides key definitions related to energy source disclosure, sets out the disclosure requirements, and the enforcement and oversight powers of the Commission.

Net Metering
Gen. Laws §§ 39-26.4-1 through 3

This section sets out the purposes of the net metering rules and gives key definitions. It also describes the capacity limits, electric-distribution company estimates and billing, and gives links to additional information.

General Provisions of Customer Protection Rules
§ 25.471

This section outlines the purpose and applicability of the rules for services to all customers and general information regarding the prohibition against discrimination, as well as important Texas definitions related to suppliers.

Privacy of Customer Information
§ 25.472

This section details the contents and handling of mass customer lists and the treatment of customer and premise information.

Non-English Language Requirements
§ 25.473

This section specifies the information to be provided in multiple languages and the prohibition on mixed language materials.

Selection of Retail Electric Provider (REP)
§ 25.474

This section details the rules governing the initial REP selection process, enrollment via the Internet, written enrollment, door-to-door sales, telephonic enrollment, record retention regarding enrollment, rights of rescission, submission of switch or move-in requests, duties of the registration agent, exemption for certain transfers, enrollment fees, TDU cost recovery, meter reads for the purpose of a standard switch and scheduled switch dates.

General Retail Electric Provider Requirements and Information Disclosures to Residential and Small Commercial Customers
§ 25.475

This section contains key definitions related to contracts, general retail electric provider requirements, rules regarding changes in contract price, notice of changes, contract expiration and renewal offers, terms of service document, electricity facts label, the Your Rights As A Customer disclosure, and advertising claims.

Renewable and Green Energy Verification
§ 25.476

This section contains key definitions related to green and renewable energy, as well as rules for marketing standards for green and renewable energy production, compilation of scorecard data, calculating renewable generation and authenticating “green” claims, fuel mix for renewable energy, and compliance and enforcement.

Refusal of Electric Service
§ 25.477

This section outlines the acceptable reasons to refuse electric service, insufficient grounds for refusal to serve, the required disclosure upon refusal of service, and effective date of the rule.

Credit Requirements and Deposits
§ 25.478

This section sets forth the credit requirements for residential and non-residential customers, initial deposits for applicants and existing customers, additional deposits by existing customers, amount of deposits, interest on deposits, notification to customers regarding deposit policy, records of deposits, refunding deposits and voiding letters of guarantee, guarantees of residential customer accounts, reestablishment of credit, and handling of deposit records upon sale or transfer of company.

Issuance and Format of Bills
§ 25.479

This section outlines the frequency and delivery of bills, bill content, public service notices, non-recurring charges, record retention regarding billing, transfer of delinquent balances or credits, and key definitions related to billing.

Bill Payment and Adjustment
§ 25.480

This section specifies bill due date, penalty on delinquent bills for electric service, overbilling, underbilling by a REP, disputed bills, alternate payment programs or payment assistance, level and average payment plan, payment arrangements, deferred payment plans and other alternate payment arrangements, allocation of partial payments, placement and removal of switch-holds, and annual reporting requirements regarding low-income payment options and low-income payment assistance.

Unauthorized Charges
§ 25.481

This section addresses authorization of charges, requirements for billing charges, responsibilities for unauthorized charges, notice to customers regarding unauthorized charges, and compliance and enforcement.

Disconnection of Service
§ 25.483

This section specifies disconnection and reconnection policy; disconnection authority; disconnection with and without prior notice; disconnection prohibitions; disconnection on holidays or weekends; disconnection of critical care residential customers, chronic condition residential customers or energy assistance clients; disconnection during extreme weather; disconnection of master-metered apartments; required notices and their contents; reconnection of service; and disconnection of a non-submetered master metered multifamily property.

Electric No-Call List
§ 25.484

This section contains key definitions related to the no-call list, requirements of REPs, exemptions, the no-call database, required notices, violations, record retention, provision of records, presumptions, evidence, enforcement, and penalties.

Customer Access and Complaint Handling
§ 25.485

This section retails rules regarding customer access for the purpose of complaints, complaint handling, complaints to REPs or aggregators, and complaints to the commission.

Obligations Related to Move-In Transactions
§ 25.487

This section provides a definition of safety-net process, and addresses standard move-in requests, safety-net move-in requests, and the sunset provision for review of the safety-net process.

Procedures For a Premise with No Service Agreement
§ 25.488

This section addresses service to premises with no service agreement.

Treatment of Premises With No Retail Electric Provider of Record
§ 25.489

This section defines the term “no REP of record” and addresses the obligations of TDUs to identify premises with no REP of record, TDU submission of No REP of Record list to REPs, customer notification, wires charges billed to customer with no REP of record, format of notice by TDU to customer, a REP’s obligation to submit move-in transaction, disconnection of premise with no REP of record, and expedited reconnection of premise.

Record Retention and Reporting Requirements
§ 25.491

This section specifies record retention requirements of a REP, annual reports, information regarding payment options and payment assistance programs, and additional information obligations regarding alleged discriminatory practices.

Non-Compliance With Rules or Orders; Enforcement By the Commission
§ 25.492

This section addresses a REP’s non-compliance with PURA, Commission investigations, and suspension and revocation of certification.

Acquisition and Transfer of Customers From One Retail Electric Provider to Another
§ 25.493

This section outlines the transfer notice requirement, contents of notice for adverse changes in terms of service or for no adverse changes in terms, and the process to transfer customers.

Unauthorized Change of Retail Electric Provider
§ 25.495

This section details the process for resolving unauthorized change of retail electric provider, as well as customer complaints, record retention and enforcement regarding the unauthorized change.

Critical Load Industrial Customers, Critical Load Public Safety Customers, Critical Care Residential Customers and Chronic Condition Residential Customers
§ 25.497

This section details relevant key definitions, eligibility for protection as a Critical Care Residential Customer or Chronic Condition Residential Customer, benefits of designation, notice to customer of right to apply, application procedure, effect of designation on payment obligation, TX SET changes, effective date, and TDU annual report of customers in each designation.

Prepaid Service
§ 25.498

This section identifies key definitions and the Texas Commission rules that the Retail Electric Providers (REPs) are to follow if they offer prepaid service as an option to customers. This section also identifies unique definitions applicable to prepaid service offerings.

Prompt Payment Act
§ 25.482

This section addresses billing to a governmental entity and the application of the provisions of the Prompt Payment Act.

Provider of Last Resort (POLR)
§ 25.43

This section identifies the rules for Provider of Last Resort (POLR) service including standards of service, customer information, selection process, eligibility, designation, mass transition, applicable rates, REP obligations, termination, and reporting and notice requirements.

Acknowledgement of Risk Comm Contracts
§ 25.499

This section establishes requirements for the offering of wholesale indexed products and products containing separate assessment of ancillary services costs to a customer other than a residential or small commercial customer.