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Compliance Audit Checklists

Compliance Audit Checklists

Mitigate risk with Earth Etch market-specific compliance audit checklists so you can avoid serious fines, license suspension or harm to your company’s reputation.

Self-Service Compliance Made Easy

Earth Etch Compliance Audit Checklists detail commission rules, statutes, regulations and/or docket decisions pertaining to regulatory and operational requirements within the state. They are designed to ensure that employees and agents are informed of and compliant with state regulations. When you purchase an audit, we'll alert you of any updates and give you the updated audit free of charge for a period of one year from purchase.

Earth Etch Compliance Audit Checklist
Earth Etch Compliance Audit Screenshot

Why Would You Need to Use an Earth Etch Audit?

Failing to meet State-specific obligations can lead to serious fines, license suspension or harm to your company’s reputation. A company can be fined for each infraction they fail to be compliance on, which can add up quickly. Because each State has different regulatory compliance rules in a variety of areas you'll need to keep up to date on them, which can be difficult task. With Earth Etch Compliance Audit Checklists, we have you covered with our step-by-step self-audits.

What's in an Earth Etch Audit?

No matter the state, Earth Etch Compliance Audit Checklists help you meet regulatory compliance requirements in a proactive way. Take a look below at what's included in each of Earth Etch's Compliance Audit Checklists. Our audits are broken down by market and by section so you can easily pinpoint the information you need.

Select a State name below to see it's different audit's contents.

Connecticut

  • Electric Audit Contents

This Connecticut Electric Audit Bundle Includes the Following Sections:

Key Definitions
§ 16-1 & 2/4/2015 Final Decision in Dkt No. 14-07-20

This section identifies important Connecticut electric definitions related to suppliers.

Marketing Requirements
§§ 16-245o, 42-134 through 42-141, 42-284 through 42-288 & 2/4/2015 Final Decision in Dkt No. 14-07-20, 6/29/2007 Final Decision in Dkt. No. 07-01-21

This section details general marketing requirements such as use of customer information, third-party agent requirements, and disclosure requirements as well as door-to-door marketing and telemarketing requirements.

Revised Electric Supplier Marketing Standards
Docket No. 14-07-20RE01, PURA Development and Implementation of Marketing Standards and Sales Practices by Electric Suppliers- Revised Standards, Decision (May 6, 2020).

This product details PURA’s Revised Marketing Standards and Sales Practices (effective August 6, 2020). 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.

Standard Service; Alternative Standard Service; Participating Electric Suppliers
§§ 16-245o, 42-134 through 42-141, 42-284 through 42-288 & 2/4/2015 Final Decision in Dkt No. 14-07-20, 6/29/2007 Final Decision in Dkt. No. 07-01-21

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

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, consent, documentation, independent representatives and assignment of customers requirements.

Contract Requirements
§ 16-245o & 2/11/2015 Final Decision in Dkt. No. 14-07-17, 2/4/2015 Final Decision in Dkt. No. 14-07-20, 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.

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
§§ 16-245d and 16-259a & 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.

Termination of Utility Service
§§ 16-262c, 16-262g & 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, 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 & 2/4/2015 Final Decision in Dkt. No. 14-07-20

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)

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

Annual Reporting Requirements
§ 16-245y

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 as of 2019 - Various Dockets

This section identifies important considerations re following PURA docket activity as well as various key PURA dockets as of 2019.

Delaware

  • Electric Audit Contents

This Delaware Electric Audit Bundle Includes the Following Sections:

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
§ 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.

Contract & Contract Summary
§ 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 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
§ 13.0

This section details the registration, reporting and marketing requirements for Green Power Products.

Disclosure of Fuel Resource Mix
§ 14.0

This section details 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.

Failure to Comply
§ 17.2

This section details the penalties for failure to comply with the applicable rules.

District of Columbia

  • Electric & Gas Audit Contents

This District of Columbia Electric & Gas Audit Bundle Includes the Following Sections:

----- 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 15-18 Electric Only - Non-Residential -----

Non-Residential Customer’s Rights
§§ 1800, 1801, 1802 & 1899

This section identifies Non-Residential customer’s rights as related to customer inquiries and complaints, complaint hearing procedures and decisions and appeals.

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

Electricity Quality of Service Standards
§§ 3600, 3602, 3604, 3606 & 3699

This section identifies electric customer service standards requirements including billing error notification and compliance reporting rules.

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.

----- DCMR 15-37 Gas Only - Residential and Non-Residential -----

Natural Gas Quality of Service Standards
§§ 3700, 3704, 3707, 3708 & 3799

This section identifies natural gas customer service standards requirements including billing error notification and compliance reporting rules.

Illinois

  • Electric Audit Contents
  • Gas Audit Contents

This Illinois Electric Audit Bundle Includes the Following Sections:

Key Definitions
§§ 412.10, 453.10 & 454.20

This section identifies important Illinois retail electric definitions related to suppliers.

Use of Utility Logo and Name
§ 412.105 & SB 651 §2EE

This section details if and when a supplier may use a utility logo and name.

Alternative Retail Electric Supplier Utility Assistance Recipient
SB 651 § 16-115E

This section details the rules regarding switching customers who are on the Low Income Home Energy Assistance Program or in the Percentage of Income Payment Plan.

Minimum Contract Terms & Conditions
§ 412.110

This section details the minimum contract requirements as to format and provides information on content requirements such as disclosures, term and renewal, rescission period and early termination fees.

Uniform Disclosure Statement
§§ 412.115 & SB 651 16-115A

This section details the format and content requirements for this one-page Uniform Disclosure Statement required in all residential and small commercial customer contracts.

In-Person Solicitation
§§ 412.120 & SB 651 16-115A & 2EE

This section details the agent identification, representation and verbal disclosure requirements as well as TPV and criminal background check requirements when conducting door-to-door solicitations.

Telemarketing
§§ 412.130 & SB 651 16-115A & 2EE

This section identifies the necessary agent identifications, representations and disclosures as well as the required customer acknowledgements for TPVs when conducting outbound telemarketing.

Inbound Enrollment Calls
§§ 412.140 & SB 651 §§16-115A & 2EE

This section details the verbal disclosures and document retention requirements for conducting inbound enrollment calls as well as the requirements for mailing of customer contract documents.

Customer Call Centers
§§ 410.45 & SB 651 16-123

This section details the requirements for operating a customer call center as well as the reporting and record retention requirements for same.

Direct Mail
§§ 412.150 & SB 651 16-115A & 2EE

This section details the required uniform disclosures, Letter of Agency (LOA) and customer documents required when conducting direct mail campaigns.

Online Marketing & Internet Enrollment
§§ 412.160, Part 453 & SB 651 16-115A & 2EE

This section details the required statements, uniform disclosures, electronic signature and electronic Letter of Agency (LOA) requirements for internet marketing and enrollment.

Rate Notice to Customers
§§ 412.165 & SB 651 16-115A & 16-118

This section identifies when rate change notices are required and the timing and format of these notices.

Conduct, Training & Compliance of RES Agents
§§ 412.170 & SB 651 16-115A

This section details agent training and monitoring requirements related to marketing and sales as well as agent record retention requirements.

Records Retention & Availability
§ 412.180

This section identifies the time period and format in which customer contract documents must be retained.

Renewable Energy Product Descriptions
§ 412.190

This section details the marketing requirements related to ‘green’, ‘renewable energy’ or ‘environmentally friendly’ claims as well as the disclosure and reporting requirements for same.

Rescission of Sales Contract
§ 412.210

This section details the time period and methods by which residential and small commercial customers may rescind their contracts.

Deposits & Early Termination of Sales Contract
§§ 412.220 & 412.230 & SB 651 16-119

This section identifies under what circumstances a customer may terminate a contract without an early termination fee or penalty and how often a customer may rely upon this provision.

Contract Renewal
§§ 412.240 & SB 651 & 2EE

This section details the notice format, timing and disclosure requirements for contract renewals.

Contract Assignment
§ 412.250

This section identifies what steps must be taken before any customer contract assignment takes place including specific notice requirements to customers and the ICC.

Required Retail Energy Supplier (RES) Information
§ 412.310

This section details what information must be provided to the ICC prior to marketing as well as information that must be provided on an ongoing basis including force majeure obligations.

Dispute Resolution
§ 412.320

This section details required complaint response times and record retention as well as the informal complaint process and proper billing procedures during dispute resolution.

Consumer Fraud & Deceptive Business Practices Act Letter of Agency – LOA
815 ILCS 505/2EE & SB 651

This section identifies when a Letter of Agency (LOA) is required and the minimum content requirements.

D2D or Telephonic Enrollments – Third Party Verification (TPV)
815 ILCS 505/2EE & SB 651

This section identifies the requirements for vendor qualifications, oral authorizations, customer-initiated enrollment calls and record retention for TPVs.

Marketing Violations
815 ILCS 505/2EE-HH

This section identifies the requirements for advertising disclosures, protection of customer information and penalties for violations of the Consumer Fraud & Deceptive Business Practices Act.

Net Metering
§ 465

This section identifies the net metering requirements for retail electric suppliers including application, enrollment, reporting and billing procedures.

Environmental Disclosure
§ 421

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.

Agents Brokers & Consultants
§ 454

This section identifies the requirements for Agents, Brokers & Consultants operating in Illinois such as code of conduct, handling and maintaining customer records and information and reporting requirements.

This Illinois Gas Audit Bundle Includes the Following Sections:

Key Definitions
220 ILCS 5/19-105

This section identifies important Illinois retail gas definitions related to suppliers.

Illinois Material Changes in Business and Managerial Resources
220 ILCS 5/19-111 & 220 ILCS 5/19-112

This section identifies the requirements for filing notices of material changes in business with the Commission, the types of material changes requiring this notice, and the additional items the Commission considers when assessing the required level and abilities of managerial resources for an alternative gas supplier.

Obligations of Alternative Gas Suppliers
220 ILCS 5/19-115 & 220 ILCS 5/19-135

This section identifies the requirements for alternative gas suppliers including rules regarding call centers, rate disclosures, customer switching and authorizations, enrollments, complaint handling, marketing, early termination, rescission period, and single billing.

Alternative Gas Suppliers Utility Assistance Recipient
220 ILCS 5/19-116

This section identifies the prohibitions and exceptions for enrolling customers under utility financial assistance programs.

Commission Oversight of Services Provided to Gas Suppliers
220 ILCS 5/19-120

This section details the Commission’s authority and jurisdiction over customer complaints and ability to assess penalties and remedies and to order a compliance plan for alternative gas suppliers.

Consumer Education
220 ILCS 5/19-125

This section details the types and locations of consumer education located on the ICC’s website as well as the requirements for uniform disclosures by alternative gas suppliers to customers.

Obligations of Alternative Gas Suppliers Under The Consumer Fraud and Deceptive Business Practices Act
220 ILCS 505/2DDD through 505/2GGG

This section details additional requirements for alternative gas suppliers including rules regarding solicitation, customer authorization, early termination, rescission period, automatic contract renewal, advertising and customer information.

Massachusetts

  • Electric Audit Contents
  • Gas Audit Contents
  • D.P.U. 19-07-A (Electric & Gas)

This Massachusetts Electric Audit Bundle Includes the Following Sections:

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 minimum content requirements for generation service bills as well as notice requirements for termination of residential generation service for nonpayment and for termination of sales contracts at end of term.

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 circumstances for requiring 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 identifies the prohibited misrepresentative, unfair or deceptive acts or practices for marketing and sale of electricity as well as the required disclosures.

Energy Switch Revised Website 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.

This Massachusetts Gas Audit Bundle Includes the Following Sections:

Key Definitions
§ 14.02

This section identifies important Massachusetts retail gas definitions related to suppliers.

Supplier and Retail Agent Requirements
§ 14.04

This section details the purpose and scope of the rules, requirements regarding certification, billing, termination of supplier service, and customer authorization, and security deposits and late payment charges.

Information Disclosure Requirements
§ 14.05

This section addresses Terms of Service requirements, the distribution of Terms of Service, information disclosures in advertising, and enforcement.

Complaint and Damage Claim Resolution
§ 14.06

This section addresses liability claims, procedures for complaints related to the unauthorized institution of supplier service, other customer complaints, and penalties.

Order On Tier One Initiatives
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.

This Special Massachusetts Electric & Gas Audit Bundle on D.P.U. 19-07-A - Order On Tier One Initiatives Includes the Following Sections:

Order On Tier One Initiatives
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.

Maryland

  • Electric Audit Contents
  • Gas Audit Contents
  • Community Solar Audit Contents

This Maryland Electric Audit Bundle Includes the Following Sections:

Key Definitions
COMAR 20.53.01.02

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 and Utility 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.

Non-Residential Customer Protection
COMAR 20.53.06

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

General Residential Customer Protection
COMAR 20.53.07.01 Through 0.53.07.06

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

Residential Customer Protection: Advertising and Solicitations
COMAR 20.53.07.07

This section identifies the disclosure requirements for advertising to or soliciting residential customers via internet and telephone and the MD PSC offer posting requirement on its website.

Residential Customer Protection: Supplier Contracts
COMAR 20.53.07.08

This section identifies the contract format and content required for residential customers including automatic renewal notice and Contract Summary requirements as well as specific requirements for telephone, internet and door-to-door solicitation contracts.

Residential Customer Protection: Customer Disclosure
COMAR 20.53.07.09

This section identifies the residential customer contract disclosure requirements such as price description and enrollment notice.

Residential Customer Protection: Contract Expiration or Cancellation
COMAR 20.53.07.10

This section identifies the notice requirements for residential customer contract expiration or cancellation.

Residential Customer Protection: Assignment of Contract
COMAR 20.53.07.12

This section details the notice and record retention requirements for assignment of residential customer contracts.

Residential Customer Protection: Notice of Change in Rate
COMAR 20.53.07.13

This section details the notice requirements for estimated, fixed and variable rate changes in residential customer contracts.

Supplier Agent Relations: General Requirements
COMAR 20.53.08.01, 20.53.08.02 & 20.53.08.03

This section identifies the agent qualifications, training and ongoing monitoring requirements for suppliers as well as the record retention requirements for same.

Supplier Agent Relations: Door-to-Door Marketing and Sales
COMAR 20.53.08.02, 20.53.08.04, 20.53.08.05 & 20.53.08.06

This section identifies additional requirements for door-to-door agents including criminal background checks, identification and sales requirements, and prior notification to the MD PSC re upcoming D2D activity.

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.

This Maryland Gas Audit Bundle Includes the Following Sections:

General Provisions
COMAR 29.59.01

This section identifies important Maryland retail gas definitions and general provisions of the Competitive Gas Supply regulations.

Pre-Enrollment Information
COMAR 29.59.03

This section discusses pre-enrollment supplier customer consent.

Transfers of Service
COMAR 29.59.04

This section covers effective date of enrollment, change of supplier and supplier drops.

Utility Consolidated Billing
COMAR 29.59.05

This section covers utility consolidated billing, utility responsibilities in the event of supplier default, utility purchased receivables or prorated payments and budget billing.

Nonresidential Customer Protection
COMAR 29.59.06

This section discusses nonresidential enrollment, contract requirements, notice of enrollment, cancellation of supply service by utility or customer and rescission period.

Residential Customer Protection
COMAR 29.59.07

This section covers residential customer protections, including disclosure of customer information, creditworthiness, geographic marketing, unauthorized enrollment or service, enrollment dispute, termination, advertising and solicitations, supplier contracts, methods of contracting, customer disclosure, notice of contract expiration or cancellation, assignment of contract, notice to customer of assignment or transfer, notice of change in rate, and written notice requirement.

Supplier Agent Relations
COMAR 29.59.08

This section discusses residential supplier responsibility for its agents, agent qualifications and standards, agent training, agent identification and misrepresentation, door-to-door sales and notification to the Commission regarding door-to-door sales.

This Maryland Community Solar Audit Bundle Includes the Following Sections:

Key Definitions
COMAR 20.62.01.02

This section identifies important Maryland Community Solar definitions.

Consumer Protection: General Requirements
COMAR 20.62.05.02, 20.62.05.04, 20.62.05.06, 20.62.05.09, 20.62.05.11 and 20.62.05.14

This section identifies general consumer protection requirements concerning unauthorized subscriptions, share transfers and portability, and subscription disputes.

Consumer Protection: Advertising, Solicitations and Marketing
COMAR 20.62.05.03 & 20.62.05.05

This section identifies the marketing disclosure requirements as well as specific requirements related to internet advertising, telephone solicitation and geographic marketing.

Consumer Protection: Subscriber/Agent Relations - General Requirements
COMAR 20.62.05.15, 20.62.05.16 & 20.62.05.17

This section identifies the agent qualifications, training and ongoing monitoring requirements for subscriber organizations as well as the record retention requirements for same.

Consumer Protection: Subscriber/Agent Relations and Door-to-Door Marketing and Sales
COMAR 20.62.05.16, 20.62.05.18, 20.62.05.19 & 20.62.05.20

This section identifies additional requirements for door-to-door agents including criminal background checks, identification and sales requirements, and prior notification to the MD PSC re upcoming D2D activity.

Consumer Protection: Disclosures
COMAR 20.62.05.07 & 20.62.05.10

This section identifies required contract disclosures including Contract Summary, notice of subscription and subscription information.

Consumer Protection: Contracts for Customer Subscription in a CSEGS
COMAR 20.62.05.08

This section identifies the required minimum terms and conditions for residential customer contracts and includes information on method of contracting and notice requirements for automatic renewals.

Consumer Protection: Contract Expiration or Cancellation
COMAR 20.62.05.12

This section identifies the notice requirements for customer contract expiration or cancellation.

Consumer Protection: Assignment of Subscription Contract
COMAR 20.62.05.13

This section identifies the notice and records requirements for assignment of subscription contracts.

Maine

  • Electric Audit Contents

This Maine Electric Audit Bundle Includes the Following Sections:

Key Definitions
Ch. 305, § 1; Ch. 306, § 1

This section covers key definitions from chapters 305 (Licensing Requirements, Annual Reporting, Enforcement and Consumer Protection Provisions for Competitive Provision of Electricity) and 306 (Uniform Information Disclosure)

Reporting Requirements
Ch. 305, § 2(E); Ch. 306, § 2; Ch. 311, §§ 3(C), 3(D)(1), 6(G) and 6(H)

This section addresses the scope of the rule, waivers and exemptions, the contents of annual reports, handling of confidential information, the applicability of the annual reporting requirements to aggregators and brokers, uniform information disclosure, and the contents, format and availability of the information disclosure label, including the label reporting period, determination of the resource portfolio, disaggregation of resource portfolio, fuel mix and emissions. It also discusses information disclosure in advertising and enforcement of the regulations on disclosure, as well as verification of compliance, annual reporting, Commission audits and rejection of GIS certificates. It also describes the alternative compliance mechanism and annual report of the portfolio requirement.

Sanctions and Enforcement
Ch. 305, § 3

This section describes sanctions and enforcement provisions, procedures related to the issuance of cease and desist orders, revocation and/or suspension of a license.

Customer Protection
Ch. 305, § 4

This section details the regulations for customer authorization for service, customer consent for the release of information, trade practices, collection costs, equal credit, telemarketing, marketing of electricity attributes and notice of any opt-out fees. It also addresses small customer protections, disclosure regarding standard offer, bill information, the terms of service document, right of rescission, verification of the affirmative customer choice (including third-party and electronic authorization), minimum service period, minimum notice of changes in terms of service, automatic renewals of variable and fixed-rate contracts, assignment to another provider, variable rates and charges, termination fees, promotional practices, trade practices, in-person solicitation of customers, cancellation of service, generation service bills, application for service and denial of credit, customer complaints and dispute resolution (including appeals to the Commission), refunds upon determination by the Commission, and market risk disclosure to customers.

Informational Filings
Ch. 305, § 5

This section describes the required informational filings regarding generally available service and individual service contracts.

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, §§ 1-8

This section details the requirements for Class I, 1A, II renewable resources, certification process, renewable energy credits, alternative compliance payments & annual reporting.

New Hampshire

  • Electric Audit Contents

This New Hampshire Electric Audit Bundle Includes the Following Sections:

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.

New Jersey

  • Electric & Gas Audit Contents

This New Jersey Electric & Gas Audit Bundle Includes the Following Sections:

----- Electric & Gas -----

Applicability & Scope
§§ 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.

Key Definitions
§§ 14:4-1.2, 14:4-2.2 and 14:4-7.2

This section details important New Jersey definitions related to Third Party Suppliers.

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
§ 14:4-2.4

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
§ 14:4-7.3

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

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

Customer Bills; Customer Information
§§ 14:4-7.10 and 14:4-7.10A

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
§§ 14:4-1.1, 14:4-2.1 and 14:4-7.1

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 and 14:4-7.13

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”
§13:45D

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

----- Electric Only -----

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.

New York

  • Electric & Gas Audit Contents

This New York Electric & Gas Audit Bundle Includes the Following Sections:

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.

Ohio

  • Electric Audit Contents
  • Gas Audit Contents

This Ohio Electric Audit Bundle Includes the Following Sections:

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 and purpose of the rules for residential and small commercial customers as well as general information re compliance with and waiver of the rules.

General Provisions
4901:1-21-03

This section details general marketing, disconnection, switching, and Energy Choice Ohio web posting requirements.

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 the requirements for marketing materials and offers, general telephone and D2D marketing requirements as well as the prohibitions against unfair, misleading, deceptive or unconscionable acts or practices.

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 customer access to the CRES, customer complaint response time, handling unauthorized switching and related complaints including initiating and previous CRES responsibilities as well as the utility’s responsibilities.

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 details the rules and prohibitions re disclosure of customer account information and social security numbers including the customer information release consent form requirements.

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 identifies the current net metering rules as well as highlights the pending proposed amendments to same.

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.

This Ohio Gas Audit Bundle Includes the Following Sections:

Key Definitions
4901:1-29-01

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

Purpose & Scope
4901:1-29-02

This section outlines the applicability and purpose of the rules for residential and small commercial customers as well as general information re the commission’s authority and compliance and enforcement of the rules.

General Provisions
4901:1-29-03

This section details general marketing, in-state employee and office, disconnection, customer authorization and Energy Choice Ohio web posting requirements.

Records and Record Retention
4901:1-29-04

This section identifies record maintenance and retention requirements.

Marketing, Solicitation and Customer Information
4901:1-29-05

This section identifies the requirements for marketing materials and offers, general telephone and D2D marketing requirements as well as the prohibitions against unfair, misleading, deceptive or unconscionable acts or practices.

Customer Enrollment and Consent
4901:1-29-06

This section identifies the contract requirements for customer enrollment and consent via mail and facsimile, D2D, telephonic, and internet solicitation including TPV and customer consent form requirements along with the requirements for customers returning to the natural gas utility.

Credit and Deposits
4901:1-29-07

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

Customer Access and Complaint Handling
4901:1-29-08

This section details the requirements related to customer access to the CRNGS and customer complaint handling procedures including slamming complaints.

Customer Information
4901:1-29-09

This section details the rules and prohibitions re disclosure of customer account information and social security numbers including the customer information release consent form requirements and the utility responsibilities re customer information.

Contract Administration and Renewals
4901:1-29-10

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

Contract Disclosure
4901:1-29-11

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..

Customer Billing and Payments
4901:1-29-12

This section identifies bill content and payment requirements as well as utility dual and consolidated billing requirements.

Coordination Between Natural Gas Companies and Retail Natural Gas Suppliers and Governmental Aggregators
4901:1-29-13

This section identifies utility tariff provision and supplier agreement requirements as well as procedures for handling eligible customer lists and customers returning to the utility.

Noncompliance
4901:1-34

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

Utility Enrollment and Billing Information Regarding Suppliers
4901:1-13-11 & 4901:1-13-14

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

Pennsylvania

  • Electric (Code 54, 57 & 75) Audit Contents
  • Gas (Code 59 & 62) Audit Contents
  • Electric & Gas (Code 111) Audit Contents

This Pennsylvania Electric (Code 54, 57, & 75) Audit Bundle Includes the Following Sections:

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 requirements re fixed price and variable price offers listed in marketing materials.

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.

This Pennsylvania Gas (Code 59 & 62) Audit Bundle Includes the Following Sections:

Please Note: This bundle is for Pennsylvania Code 59 & 62 applicable to Gas Residential and Small Commercial customers. For all Pennsylvania Gas rules applicable to Residential customers, please also purchase PA Code 111 Electric & Gas Compliance Audit Checklist Bundle.

Key Definitions
§ 62.72

This section identifies additional key definitions related to Natural Gas Suppliers.

Standards and Pricing Practices for Retail Natural Gas Service
§ 62.73

This section identifies the use of common terminology and standard pricing unit requirements when providing retail natural gas service.

Bill Format for Residential and Small Business Customers
§ 62.74

This section identifies the requirements for a billing entity re the bill format including bill content related to charges, meter information, definitions and separate NGS bill or single NGDC bill.

Disclosure Statement for Residential and Small Business Customers
§ 62.75

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

Request for Information
§ 62.76

This section identifies the requirements re providing efficiency information and historical billing data to customers upon request.

Marketing & Sales Activities
§ 62.77

This section identifies the requirements re providing efficiency information and historical billing data to customers upon request.

Privacy of Customer Information
§ 62.78

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

Customer Dispute Procedures & Complaint Handling Process
§§ 59.97 & 62.79

This section identifies requirements when customers allege a slamming violation including restriction on charges and fees, information on informal complaints, general dispute procedures and penalties and disclosure of customers’ rights.

Notice of Contract Expiration or Change in Terms for Residential and Small Business Customers
§ 62.81

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 a Customer’s Natural Gas Supplier
§§ 59.92, 59.93, 59.95, 59.96 & 59.99

This section identifies the requirements when customers contact either the NGS or the NGDC to change their NGS including information on notification rules, waiting period, valid written authorization and record retention rules.

License Suspension; License Revocation
§ 62.113

This section identifies the instances when a license may be suspended or revoked and fines imposed due to violation of the rules.

Pennsylvania Standards of Conduct and Disclosure for Licensees
§ 62.114

This section identifies the requirements to provide accurate information and notification of changes to customers, to protect customer information, to not discriminate or conduct fraudulent, deceptive or unlawful acts, and to comply with Commission regulations and orders.

This Pennsylvania Electric & Gas (Code 111) Audit Bundle Includes the Following Sections:

Please Note: This bundle is for Pennsylvania Code 111 applicable to Electric & Gas Residential customers ONLY. For all Pennsylvania Electric rules applicable to both Residential and Small Commercial customers, you may also purchase PA Code 54 & 75 Electric Compliance Audit Checklist. For all Pennsylvania Gas rules applicable to both Residential and Small Commercial customers, please also purchase PA Code 62 Gas Compliance Audit Checklist separately.

General
§ 111.1

This section identifies the purpose and applicability of 52 Pa Code Chapter 111. Marketing and Sales Practice for the Retail Residential Energy Market.

Key Definitions
§ 111.2

This section identifies important Pennsylvania electric and gas definitions related to suppliers.

Supplier Liability for Its Agent; Discipline
§ 111.3 and 111.6

This section identifies the supplier responsibilities for its agents, potential consequences for agent violations of rules, and rules to consider for suppliers to develop internal agent discipline practices and procedures.

Agent Qualifications & Standards; Criminal Background Investigations
§ 111.4

This section details the requirement for a supplier to develop written standards and qualifications for its agents as well as the requirements for conducting criminal background checks on its residential door-to-door marketing and sales agents.

Agent Training
§ 111.5

This section identifies supplier agent training and on-going monitoring requirements for residential telephonic and door-to-door marketing and sales.

Customer Authorization to Transfer Account; Transaction; Verification; Documentation
§ 111.7

This section details the requirements for supplier documentation and verification of agent residential transactions, verification record contents and retention, handling procedures for failed verification transactions as well as information on a waiver of the TPV verification requirement.

Agent Identification; Misrepresentation
§ 111.8

This section identifies the requirements for agent identification badges as well as agent statements and representations.

Door-to-Door Sales
§ 111.9

This section identifies the requirements for conducting residential door-to-door marketing and sales transactions including obeying local ordinances and honoring ‘do not market’ requests, agent training, and required statements for agents.

Telemarketing
§ 111.10

This section identifies the requirements for conducting residential telemarketing including obeying customer protection rules and Federal Telemarketing laws, when telemarketing registration is required, and the necessary agent disclosures.

Receipt of Disclosure Statement and Right to Rescind Transaction
§ 111.11

This section details the requirements for providing the disclosure statement to the customer and the notification re their right to rescind both for transactions with and without an agent and verification.

Consumer Protection
§ 111.12

This section identifies the prohibition requirements against discrimination and misleading or deceptive conduct, the customer rescission period, and the requirement to provide accurate information to customers.

Customer Complaints
§ 111.13

This section identifies the requirements for supplier investigation of and cooperation with customer inquiries, disputes and complaints as well as the requirements for supplier internal complaint handling processes.

Notification Regarding Marketing or Sales Activity
§ 111.14

This section details the supplier notification requirements to both the commission and the distribution company prior to door-to-door marketing and sales activity to residential customers.

Rhode Island

  • Electric Audit Contents

This Rhode Island Electric Audit Bundle Includes the Following Sections:

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.

Texas

  • Electric Audit Contents for Suppliers
  • Electric Audit Contents for Brokers

This Texas Electric Audit Bundle for Suppliers Includes the Following Sections:

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.

This Texas Electric Audit Bundle for Brokers Includes the Following Sections:

Broker Rules
§ 25.112

These Texas Public Utility Commission rules applies to all retail electric brokers that are required to be licensed prior to marketing or providing electric brokerage service within the State of Texas.

Client Testimonial

Senior Vice President
Energy Consulting Firm, Greater Philadelphia Area, Electric & Gas

“…proven track record delivering practical solutions to the everyday challenges faced by our firms retail electric and gas supplier clients."

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