*CORRECTION*
DOCKET NO. 10-06-24
DPUC REVIEW OF THE CURRENT STATUS OF THE COMPETITIVE SUPPLIER
AND AGGREGATOR MARKET IN CONNECTICUT AND MARKETING PRACTICES
AND CONDUCT OF PARTICIPANTS IN THAT MARKET
NOTICE OF REQUEST FOR WRITTEN COMMENTS
(*September 20, 2010*)
On its own motion and pursuant to Connecticut General Statutes (Conn. Gen.
Stat.) §16-245a, the Department of Public Utility Control (Department) established the
above docket on June 21, 2010, to investigate the current sales and marketing practices
and conduct as well as other business activities of all electric suppliers and aggregators
doing business in the state. In this proceeding, the Department intends to establish a
code of conduct for all suppliers and aggregators, which shall set forth guidelines
governing (a) sales and marketing practices, (b) authorized business relationships
between suppliers and aggregators, (c) interactions between suppliers and electric
distribution companies, and (d) suppliers‟ compliance with Department requirements.
In this docket, the Department will examine the relationships between suppliers
and customers, suppliers and aggregators, third parties who provide marketing and
sales support to licensed suppliers, and suppliers and the Department. The Department
hereby invites all participants to submit written comments on any issues regarding those
relationships, including, but not limited to, the following:
1. The Department‟s Proposed Guidelines for Marketing and Sales Practices for
Electric Suppliers and Aggregators, attached to this Notice as Exhibit A;
2. In Docket No. 99-09-21RE01, Application of Levco Tech, Inc. for an Electric
Aggregation License – Operations, the Department held that pursuant to the express
language of Conn. Gen. Stat. §16-1(a)(31), electric aggregators are the customers‟
agent and therefore, their loyalty must lie with the customers and they may not
represent or act as an agent or representative for any supplier at any time, in any
capacity. In that case, the Department revoked Levco Tech, Inc.‟s aggregator license
based on the Department‟s finding that Levco was acting as an agent for the customers
and for Dominion Retail Inc. (an electric supplier) simultaneously. Recently, in Docket
No. 10-01-04, Application of Northgate Technologies, Inc. for a Certificate of
Registration as an Electric Aggregator, the Department denied Northgate‟s application
for an Aggregator Certificate of Registration based on the finding that Northgate had an
existing Agency Agreement with an Electric Supplier. In both dockets, the Department
also concluded that electric suppliers are not permitted to use any registered or licensed
electric aggregators to represent it or market on its behalf in any capacity. Discuss
whether you agree with the Department‟s holdings in these dockets.
3. Pursuant to its Decision dated February 27, 2008, in Docket No. 07-05-33, DPUC
Administration of Disclosure Label Requirements and Examination of Direct Billing By
Electric Suppliers, the Department established filing requirements for Electric Suppliers
that offer generally available, all-inclusive generation service charge rates. As noted in
that Decision, this filing was intended to facilitate retail choice in Connecticut by
providing price information to residential and business consumers via the Internet.
Decision, pp. 10 and 11. These price filings form the basis for the price comparisons
that now appear on the „Rate Board‟ at www.ctenergyinfo.com. Since February 27,
2008, the Department has witnessed an increase in the number of Electric Suppliers
posting prices to the Rate Board as well as an increase in the types of offers (e.g.,
monthly variable, variable, variable with a cap, short-term fixed and long-term fixed) and
renewable content (e.g., 25%, 50% and 100%). Given the dramatic increase in the
variety of offers, it is appropriate to establish rules governing the posting of this
information. Comment on this matter, propose appropriate guidelines for posting this
information and discuss improvements to the current form used for this purpose.
4. Pursuant to the Department‟s Decision dated October 10, 2007, in Docket
No. 05-08-05RE02, DPUC Investigation Into The Process By Which Customers Can
Choose An Electric Supplier When Initiating Electric Service – Amended Referral
Program, Electric Suppliers are allowed to participate in the Referral Program described
in that Decision. Decision, pp. 2-4. Comment on the Referral Program in general and
whether it should be discontinued or modified to assure compliance with its intent.
5. Review the “Information for Electric Suppliers and Aggregators” found under the
“Electric” category on the Department‟s web site at www.ct.gov/dpuc . Identify any
issues you currently have with any of the subject matter found. For example, the third
topic is titled “Disclosure Label Documents”. Review the subtopics and discuss any
issues or concerns.
Written Comments are due *September 20, 2010*. An original and one (1) copy
of all submissions shall be filed with the Executive Secretary of the Department and one
(1) copy shall be submitted directly to the Office of Consumer Counsel.
If a complete electronic version of the filing is not web filed, submit an original
and one copy.
Dated at New Britain, Connecticut, this 7th day of September, 2010.
DEPARTMENT OF PUBLIC UTILITY CONTROL
Kimberley J. Santopietro
Executive Secretary
Exhibit A
PROPOSED GUIDELINES
FOR
MARKETING AND SALES PRACTICES FOR
ELECTRIC SUPPLIERS AND AGGREGATORS
Table of Contents
I. Applicability.
II. Training of Employees and Agents.
III. Sales and Marketing Practices.
IV. Door-to-Door Sales and Marketing.
V. Monitoring. Quality Control. Documentation.
VI. Complaints and Customer Inquiries.
VII. Compliance With All Applicable Laws. Civil Penalties.
____________________________________
I. APPLICABILITY
(a) These guidelines are intended to facilitate the effective operation of a vigorous,
dynamic, yet fair, competitive energy market, to the benefit of consumers, Electric Suppliers
(Suppliers), Electric Aggregators (Aggregators) and Electric Distribution Companies
(Distribution Companies) alike. A competitive energy market can provide a positive experience
for all consumers. Suppliers and Aggregators are expected to conduct themselves with these
expectations in mind so that their sales and marketing activities do not call into question the
fairness and integrity of the competitive market. Anything that damages the reputation of the
competitive market harms not only consumers, but also all Suppliers and Aggregators
participating in the market.
(b) These guidelines describe the standards that Suppliers and Aggregators and their
agents must follow when marketing or providing electric generation or aggregation services to
customers on Connecticut. While these guidelines are important, they cannot address all of the
possible issues that may arise when Suppliers or Aggregators or their sales and marketing agents
interact with customers. Everyone should use good judgment to avoid any practices that may
appear to be overly intimidating or aggressive, especially when dealing with vulnerable
customers, such as the elderly, and Suppliers and Aggregators should have policies in place to
prevent such practices.
(c) As used in these guidelines:
(1) “Agent” is intended to apply to any person who is conducting marketing
or sales activities, or both, on behalf of a Supplier or Aggregator. Consequently, unless
stated to the contrary, the term “agent” includes an employee, a representative, an
independent contractor, or a vendor;
(2) “Customer” includes any person or entity, in any customer class, whether
residential, commercial, industrial, governmental (municipal and state), street-lighting
and railroad, regardless of demand or consumption, who currently or prospectively
receives electric generation or aggregation services;
(3) “Door-to-door sales” means the sale of electric generation services in
which the Supplier, Aggregator or agent of a Supplier or Aggregator solicits the sale and
the customer’s agreement or offer to purchase is made at a place other than the place of
business of the seller;
(4) “DPUC” or “Department” means the Department of Public Utility Control
or its successor; and
(5) “Marketing” means the publication, dissemination or distribution of
informational and advertising materials regarding a Supplier’s or Aggregator’s services
and products to the public by print, broadcast, electronic media, direct mail or by
telecommunication.
II. TRAINING OF EMPLOYEES AND AGENTS
(a) Suppliers and Aggregators shall ensure, and maintain appropriate documentation
indicating, that the training of their marketing or sales agents includes:
(1) Knowledge and awareness of applicable Connecticut laws and regulations
governing marketing, consumer protection and door-to-door sales, including the
Connecticut Unfair Trade Practices Act, Conn. Gen. Stat. §42-110a et seq., and any other
ethical sales practices;
(2) Knowledge of the Supplier’s or Aggregator’s products and services;
(3) Knowledge of the Supplier’s or Aggregator’s rates, disclosure statement,
and payment options, including the applicability of an early termination fee;
(4) Knowledge of the customers’ right to rescind and cancel contracts;
(5) Knowledge of and adherence to a script developed by the Supplier or
Aggregator, and knowledge on the proper completion of contract and enrollment
documents; and
(6) The ability to provide the customer with a toll-free number from which the
customer may obtain information about the Supplier’s or Aggregator’s mechanisms for
handling billing questions, disputes, and complaints.
(b) Advance review and approval of training documents and programs by the
Department is not required. However, these documents along with records concerning training
activities and completion of the training by agents shall be made available to the Department
upon request.
III. SALES AND MARKETING PRACTICES
(a) Each Supplier and Aggregator is responsible for any misleading, fraudulent
deceptive or other unlawful marketing or sales performed by its agents.
(b) Telephone Contact with Customers. Any agent of a Supplier or Aggregator who
contacts customers by telephone for the purpose of selling any product or service offered by the
Supplier or Aggregator shall:
(1) Provide the agent’s first name and, on request, the identification number;
(2) State the name of the Supplier or Aggregator on whose behalf the call is
being made;
(3) Never represent that the agent is an employee or representative or acting
on behalf of a Distribution Company or that the Supplier or Aggregator is affiliated with
or acting on behalf of a Distribution Company. In addition, the agent must clearly
indicate that taking service from the Supplier will not affect the customer’s distribution
service and such service will continue to be provided by the Distribution Company;
(4) State the purpose of the telephone call;
(5) Where it is apparent that the customer’s English language skills are
insufficient to allow the customer to understand and respond to the information conveyed
by the agent or where the customer or another third-party informs the agent of this
circumstance, the agent shall immediately transfer the customer to a representative who
speaks the customer’s language, if such a representative is available, or terminate the call;
and
(6) Remove the customers’ names from the marketing database upon
customers’ request.
(c) Conduct. Suppliers and Aggregators and their agents shall:
(1) Not engage in misleading or deceptive conduct;
(2) Not make false or misleading representations including misrepresenting
rates or savings offered by the Supplier or Aggregator;
(3) Provide the customer with written information about the products and
services being offered, upon request, or with a website address at which the information
can be obtained, if the customer requests such information via the internet;
(4) Provide accurate and timely information about services and products being
offered. Such information shall include information about the rates, contract terms, early
termination fees and right of cancellation and rescission pursuant to Conn. Gen. Stat.
§16-245o;
(5) Ensure that the Supplier’s or Aggregator’s product or service offerings
contain information, verbally or written, in plain language that is designed to be
understood by the customer. This includes providing any written information to the
customer in a language in which the supplier’s representative has substantive discussions
with the customer or in which a contract is negotiated;
(6) Not advertise or disclose the price of electricity in such a manner as to
mislead a reasonable person into believing that the electric generation services portion of
the bill will be the total bill amount for the delivery of electricity to the customer’s
location. When advertising or disclosing the price of electricity, the Supplier, Aggregator
or agent shall also disclose the Distribution Company’s average current charges,
including the competitive transition assessment and the systems benefits charge, for that
customer class;
(7) Not use bills, marketing materials or consumer education materials of
another Supplier, Aggregator, Distribution Company, or government agency in any way
that infers a relationship that does not exist. Agents of a Supplier or Aggregator that is an
affiliate of a Distribution Company shall also comply with the rules regarding the code of
conduct at Conn. Gen. Stat. §16-244h and Conn. Agencies Regs. §16-244h-1 to
§16-244h-7, inclusive. When the Supplier’s or Aggregator’s trade name is similar to that
of its affiliated Distribution Company, the agent shall inform a customer that the Supplier
or Aggregator is not the same company as the Distribution Company, that its prices are
not regulated by the Department, and that a customer is not required to buy its supply or
other products to receive the same quality service from the Distribution Company;
(8) Not discriminate in the provision of electricity as to availability and terms
of service based on race, color, religion, national origin, sex, marital status, age, receipt
of public assistance income, and exercise of rights under the Consumer Credit Protection
Act (15 U.S.C. § § 1601—1693c). See 15 U.S.C. § § 1691—1691f (relating to equal
credit opportunity) and 12 CFR Part 202 (relating to equal credit opportunity)(Regulation
B). See also Conn. Gen. Stat. §16-245r; and
(9) Comply with the federal “Do Not Call” law and the Telemarketing and
Consumer Fraud and Abuse Prevention Act, 15 U.S.C. §6101, et seq., as well as the
Telemarketing Sales Rule, 16 CFR Part 310.
(d) No contract for provision of electric generation services by a Supplier shall
require a residential customer to pay any fee for termination or early cancellation of a contract in
excess of (1) $100; or (2) twice the estimated bill for energy services for an average month. In
order to charge a fee greater than $100, a Supplier must have provided the residential customer at
the time that the contract is offered, an estimate of the average monthly bill that the customer
would be charged for electric generation services.
(e) No material change shall be made in the terms or duration of any contract for the
provision of electric generation services by a Supplier without the express consent of the
customer. This shall not restrict a Supplier from renewing a contract by clearly informing the
customer in writing, not less than 30 days nor more than 60 days prior to the renewal date, of the
renewal terms of the customer’s option not to accept the renewal offer, provided however, no fee
pursuant to subsection (d) of this section shall be charged to a customer who terminates or
cancels such renewal not later than 7 business days after receiving the first billing statement from
the Supplier under the terms of the contract as renewed.
(f) Any violation of this section shall be deemed an unfair or deceptive act or practice
under subsection (a) of Conn. Gen. Stat. §42-110b.
IV. DOOR-TO-DOOR SALES AND MARKETING.
(a) Background Check. Any Supplier or Aggregator performing door-to-door sales
or marketing shall conduct, on all existing and potential door-to-door marketing or sales agents,
comprehensive criminal background checks and screenings necessary to determine if such agents
present a possible threat to the health and safety of the public. This includes checking the sex
offender registry commonly referred to as the Connecticut Sex Offender Registry maintained by
the Connecticut State Police. Suppliers and Aggregators shall exercise good judgment in
developing standards and qualifications and shall not hire an individual that fails to meet these
standards.
(b) Identification (ID). Each door-to-door sales or marketing agent shall prominently
display or wear a photo ID badge showing, in reasonably sized font or type: the full name of the
agent, the name and logo of the Supplier or Aggregator the agent represents, and the name of the
agent’s employer, if different than the Supplier or Aggregator. The agent is also required to
immediately provide a business card or other material that states the agent’s identity and the
Supplier or Aggregator name and contact information. The agent’s name does not need to be
pre-printed on sales or marketing materials. However, when an agent’s name is handwritten on
such materials, it shall be printed and legible. The ID shall be visible at all times. The door-to-
door sales agent or marketing agent shall not dress in uniforms or wear any apparel that contain
any branding elements (including logo) that are deceptively similar to that of the local
Connecticut distribution companies.
(c) Receipt of Transaction. In connection with any door-to-door sale, it constitutes an
unfair and deceptive act or practice for any Supplier or Aggregator or any agent of such Supplier
or Aggregator to fail to furnish the customer with a fully completed receipt or copy of any
contract pertaining to such sale at the time of its execution, which is in the same language, e.g.,
Spanish, as that principally used in the oral sales presentation and which shows the date of the
transaction and contains the name and address of the Supplier or Aggregator, and in immediate
proximity to the space reserved in the contract for the signature of the customer or on the front
page of the receipt if a contract is not used and in bold face type of a minimum size of 10 points,
a statement in substantially the following form:
“You, the Customer, may cancel this transaction at any time prior to midnight of
the third business day after the date of this transaction. See the attached notice of
cancellation form for an explanation of this right.”
The Supplier or Aggregator may select the method of providing the customer with the
duplicate notice of cancellation form set forth in subsection (d) of this section, provided
however, that in the event of cancellation the customer must be able to retain a complete copy of
the contract or receipt. Furthermore, if both forms are not attached to the contract or receipt, the
Supplier or Aggregator is required to alter the last sentence in the statement above to conform to
the actual location of the forms.
(d) Notice of Cancellation. At the time the customer signs the door-to-door sales
contract or otherwise agrees to buy services from the Supplier or Aggregator, the agent shall
provide the customer with a completed form in duplicate, captioned either “NOTICE OF RIGHT
TO CANCEL” or “NOTICE OF CANCELLATION,” which shall (where applicable) contain in
ten point bold face type the following information and statements in the same language, e.g.,
Spanish, as that used in the contract:
NOTICE OF CANCELLATION
[date of transaction]
_______________________
(Date)
“You may CANCEL this transaction, without any Penalty or
Obligation, within THREE BUSINESS DAYS from the above date.
If you cancel, any payments made by you under the contract or sale,
and any negotiable instrument executed by you will be returned within TEN
BUSINESS DAYS following receipt by [name of Supplier or Aggregator],
and any security interest arising out of the transaction will be cancelled.
To cancel this transaction, mail or deliver a signed and dated copy of
this Cancellation Notice or any other written notice, or send an email, to
[name of Supplier or Aggregator], at [address of Supplier or Aggregator]
NOT LATER THAN MIDNIGHT OF [date].
I HEREBY CANCEL THIS TRANSACTION.
Date: ____________
Customer’s Signature: __________________
(e) Cancellation. In connection with any door-to-door sale, it constitutes an unfair
and deceptive act or practice for any Supplier or Aggregator or any agent of such Supplier or
Aggregator to:
(1) Fail, before furnishing copies of the “Notice of Cancellation” to the
customer, to complete both copies by entering the name of the Supplier or Aggregator,
the address of the Supplier’s or Aggregator’s place of business, the date of the
transaction, and the date, not earlier than the third business day following the date of the
transaction, by which the customer may give notice of cancellation;
(2) Include in any door-to-door contract or receipt any confession of judgment
or any waiver of any of the rights to which the customer is entitled under this section
including specifically the customer’s right to cancel the sale in accordance with the
provision of this section;
(3) Fail to inform each customer orally, at the time the customer signs the
contract or purchases of service, of the customer’s right to cancel;
(4) Misrepresent in any manner the customer’s right to cancel; and
(5) Fail or refuse to honor any valid notice of cancellation by a customer and
within 10 business days after the receipt of such notice, to: (A) Refund all payments,
including any security deposits or advanced payments, made under the contract or sale;
(B) return any goods or property traded in, in substantially as good condition as when
received by the Supplier or Aggregator; (C) cancel and return any negotiable instrument
executed by the customer in connection with the contract or sale and take any action
necessary or appropriate to terminate promptly any security interest created in the
transaction.
(f) Hours. When soliciting residential customers, Suppliers and Aggregators shall
limit door-to-door marketing or sales activity to the hours between 10:00 am and 6:00 pm. There
are no time restrictions for any other classes of customers. When the local ordinance is stricter,
Suppliers and Aggregators shall comply with the local ordinance.
(g) Ceasing further contact. Suppliers, Aggregators and all marketing and sales
agents shall immediately leave the premises of a customer when requested to do so by the
customer or the owner or an occupant of the premises. Suppliers, Aggregators and all marketing
and sales agents shall respect any individual’s request to be exempted from further door-to-door
marketing or sales contacts and should annotate any existing marketing or sales databases to
reflect this request.
(h) Federal law and local ordinances. Suppliers, Aggregators and any agents
performing door-to-door marketing or sales shall comply with the federal cooling off period
requirements under the Rule Concerning Cooling-Off Period for Sales Made at Homes or at
Certain Other Locations; 16 CFR 429.0 et seq. Any such Supplier, Aggregator or agent, as a
courtesy, should also notify the local municipal officials of their locations and schedule of door-
to-door marketing or door-to-door sales activities. Suppliers, Aggregators and their agents shall
comply with all local ordinances regarding door-to-door solicitations. These ordinances may be
titled “peddling and hawking” or “transient businesses,” and may require that a permit be
obtained for each agent. Permit requirements may be linked to background checks in some
municipalities. Some ordinances may also prohibit all door-to-door sales or marketing. Local
officials would be the contact point in these situations.
V. MONITORING. QUALITY CONTROL. DOCUMENTATION.
(a) On customer enrollment documentation, there shall be a notation or other means
that indicates whether the enrollment was the result of a door-to-door or telephone sale with a
unique sales agent identifier. The record shall be made available to the Department upon
request.
(b) An appropriate, representative sample of all sales and marketing calls, both
telephonic and door-to-door, shall be monitored by the Supplier’s or Aggregator’s sales or
marketing managers or by the vendor’s managers using appropriate methods to ensure accuracy,
completeness, courtesy and compliance with applicable rules.
(c) All transactions shall be verified by some appropriate method that confirms the
customer’s consent to the transaction and agreement to be switched in accordance with Conn.
Gen. Stat. §16-245s. Each Supplier shall maintain records of each customer’s consent or
switching confirmation for at least 10 years. These documents shall be made available
expeditiously to Department staff upon request.
(d) If a Supplier or Aggregator detects a problem with an enrollment, the Supplier or
Aggregator shall contact the customer by phone, email or by letter explaining the issue and offer
help with a resolution. If the Supplier detects a problem with the enrollment and the agent who
enrolled the customer is still within the vicinity of the customer’s residence, the Supplier may
contact the customer by telephone and ask if the customer would like to have the agent return to
answer the customer’s questions. The agent may return to the customer’s residence only if the
customer responds in the affirmative.
VI. COMPLAINTS. CUSTOMER INQUIRIES. DISPUTE RESOLUTION.
(a) Suppliers and Aggregators shall provide a single point of contact and a list of
designated escalation contacts for Department staff to resolve consumer inquiries or complaints
received by the Department. Suppliers and Aggregators shall respond expeditiously to all
consumer inquiries and any other DPUC requirements, including providing all information
regarding the customer and complaint as requested by Department staff (including a copy of the
contract and any audio recordings of the verification call).
(b) Suppliers and Aggregators shall investigate customer inquiries and complaints
concerning marketing or sales practices within 5 days of receipt of the complaint, and shall
cooperate with the relevant agencies regarding complaints about marketing or sales practices
prohibited by the State and with local law enforcement officials in investigations concerning
deceptive marketing or sales practices.
(c) A supplier shall maintain and document an internal process for handling customer
complaints and resolving disputes arising from marketing and sales activities, and shall respond
promptly to complaints forwarded by the Department. All documents regarding the dispute
resolution process shall be made available to Department upon request.
VII. COMPLIANCE WITH ALL APPLICABLE LAWS. CIVIL PENALTIES.
(a) Suppliers and Aggregators shall comply with all relevant and applicable statutes
and regulations and Department’s orders concerning marketing and sales, use of customer
information, customer service, termination of service, renewable portfolio standards (RPS), and
reporting requirements. Applicable statutes and regulations include but are not limited to:
Conn. Gen. Stat. §16-16. Report of accidents.
Conn. Gen. Stat. §16-49. Assessment of regulated companies.
Conn. Gen. Stat. §16-243h. Credit to customers who generate electricity from Class I
renewable energy source; metering;
Conn. Gen. Stat. §16-245a. Compliance with Class I and II RPS;
Conn. Gen. Stat. §16-243q. Compliance with Class III RPS;
Conn. Gen. Stat. §16-243w. Requirement of offer time-of-use pricing options to all
customer classes;
Conn. Gen. Stat. §16-244c. Alternative standard service; Referral Program;
Conn. Gen. Stat. §16-244h. Code of Conduct;
Conn. Gen. Stat. §16-244i. Prohibition from disconnecting or terminating service to
customer directly billed;
Conn. Gen. Stat. §16-245. Licensing conditions and requirements;
Conn. Gen. Stat. §16-245d. Billing of electric service; standard format; contents;
Conn. Gen. Stat. §16-245o. Restrictions on use of customer information.
Promotional inserts in electric bills prohibited. Procedures for entering and
terminating service contracts. Penalties;
Conn. Gen. Stat. §16-245p. Information re electric supplier and electric distribution
company to be provided to customers;
Conn. Gen. Stat. §16-245q. Changing electric suppliers;
Conn. Gen. Stat. §16-245r. Discrimination by electric suppliers prohibited;
Conn. Gen. Stat. §16-245s. Switching of electric suppliers; procedures; penalties;
Conn. Gen. Stat. §16-245u. Unfair and discriminatory conduct and unfair trade
practices prohibited;
Conn. Gen. Stat. §16-259a. Inaccurate billing; customer not held liable after one
year; payment plan required;
Conn. Gen. Stat. §16-262c. Termination of service for nonpayment; moratorium
period; hardship cases; annual customer delinquency and energy assistance report to
the Department;
Conn. Gen. Stat. §16-262d. Required notices for termination of service for
nonpayment; nontermination in event of serious illness or during pendency of
complaint or investigation; amortization agreement required; notice re credit rating
information;
Conn. Gen. Stat. §16-262e. Required notice to tenants re intended termination;
assumption by tenants of liability for future service; deduction from rents; access to
meters;
Conn. Gen. Stat. §16-262j. Prohibition of refusal of service based on customer’s
inability to pay security deposit; required interest rate on customer’s security deposit;
Conn. Gen. Stat. §16-262x. Customer ID required when requesting termination of
residential utility service; notice to customer of record is required prior to termination
of service;
Conn. Agencies Regs. §16-244c-12. Notice of electric supplier on cessation of
business;
Conn. Agencies Regs. §16-244c-13. Notice by electric supplier on ISO termination
proceedings;
Conn. Agencies Regs. §16-244h-1 et seq. Electric Code of Conduct;
Conn. Agencies Regs. §16-245-1 et seq. Licensing requirements; Periodic review.
Post licensing filing requirements. Security. Renewable portfolio requirements.
Enforcement;
Conn. Agencies Regs. §16-245a-1 et seq. RPS requirements.
Conn. Agencies Regs. §16-245d-1 et seq. Standard billing format.
Conn. Agencies Regs. §16-3-100. Termination of service for nonpayment; and
Conn. Agencies Regs. §16-262j-1. Security deposits.
(b) When developing internal agent discipline policies, all Suppliers and Aggregators
should be aware of the Department’s long-standing “zero-tolerance” policy concerning
“slamming” and related customer-enrollment issues. The Department has penalized companies
that engage in inappropriate practices to make it clear that such practices will not be tolerated.
See Docket No. 09-11-12, Department of Public Utility Control Investigation Into Clearview
Electric, Inc. (the Department imposed a civil penalty of $27,500 for failure to comply with,
inter alia, the verification methods prescribed by Conn. Gen. Stat. §16-245o(e) for at least 12
customers). In addition, Conn. Gen. Stat. §16-41 provides for penalties of $10,000.00 per
offense per day for the failure of any Supplier or Aggregator to comply with any state statutes or
regulations or any order of the Department. Suppliers and Aggregators should also be aware
that, consistent with due process, the Department can suspend or revoke a Supplier’s license or
Aggregator’s registration for violations of applicable provisions of Title 16 of the Connecticut
General Statutes, Connecticut consumer protection law such as Connecticut Unfair Trade
Practices Act, Conn. Gen. Stat. §42-110a et seq., or any conditions for maintaining a supplier
license or aggregator certificate of registration.