(D) Residential and small
commercial enrollment.
(1) Mailings,
facsimiles, and direct solicitation.
(a)
Where enrollment occurs by mail, facsimile, or direct solicitation, the
customer's signature on a contract shall constitute consent.
(b) Consistent with rule
4901:1-21-05
of the Administrative Code, prior to entering into a contract for service, CRES
providers shall provide each customer with enrollment documents that contain,
at a minimum, understandable pricing, the terms and conditions of service, the
dollar amount of all recurring and nonrecurring charges (including any fees for
early termination of the contract), the applicable generation resource mix and
environmental characteristics, and the duration of the contract.
(c) Before obtaining a signature from the
applicant, CRES providers shall provide each customer a reasonable opportunity
to read all enrollment documents and shall answer any and all questions posed
by any applicant about information contained in the documents.
(d) Immediately upon obtaining the customer's
signature, CRES providers shall provide the applicant a legible copy of the
signed contract. This provision does not apply to
direct mail enrollments where the CRES provider has already provided the
customer with a separate, complete copy of the terms and conditions for the
customer's records. The copy of the terms and conditions must be identical to
the signed copy returned by the customer and include a matching version
number.
(e) Where enrollment
occurs by direct solicitation, customers shall be advised both verbally and in
the contract that: (i) the electric utility will be sending a confirmation
notice of the transfer of service; (ii) they are allowed
seven calendar
days
to rescind the
contract; and, (iii) the customer
must
contact the electric utility to rescind the contract.
(f) The CRES provider shall not initiate
the
switch of a customer's electric service with the electric utility prior
to the completion of the enrollment transaction with the customer.
(g) The CRES provider shall send an
electronic enrollment request to the electric utility within three
business days following completion of the enrollment
transaction with the customer, unless a later start date is agreed to in the
contract.
(h)
CRES providers conducting contract sales to
residential customers through door-to-door solicitation shall provide for
independent third-party verification (TPV) to ensure the validity of the
enrollment prior to submission to the electric utility. The TPV shall be
conducted in accordance with paragraph (D)(2)(a) of rule 4901:1-21-06 of the
Administrative Code, excluding paragraph (D)(2)(a)(vi) of rule 4901:1-21-06 of
the Administrative Code and the process shall include the following:
(i)
The sales agent
shall contact the party responsible for the TPV at the conclusion of the sales
transaction and provide the necessary contract tracking information to initiate
the TPV process.
(ii)
The independent third-party verifier must confirm with
the customer that the sales agent has left the property of the customer. The
sales agent is not to return before, during, or after the TPV
process.
(iii)
The independent third-party verifier shall structure
the TPV interview to give the customer adequate time to respond to questions
and shall not lead the customer in their response.
(iv)
The CRES
provider must retain the audio recording of the customer's enrollment for one
year after the contract with the customer is terminated.
(v)
The CRES
provider must provide a copy of the independent TPV to staff within three
business days of any such request.
(i)
Terms and
conditions print specifications The terms and conditions must be provided to
the residential customer at the time of sale. Paper copies of terms and
conditions must be printed in dark ink on white or pastel paper and be
ten-point type or greater. Electronic copies of the signed contract may be
provided in the following conditions:
(i)
The customer has
agreed to receive an electronic copy of the contract and provides his/her
electronic mail address.
(ii)
The TPV conducted in accordance with paragraph
(D)(1)(h) of this rule shall include a verbal statement and the customer's
acknowledgment that the customer consents to receive a copy of the terms and
conditions via electronic mail.
(iii)
The customer
is offered an unsigned paper copy which includes a version number that matches
the signed electronic copy.
(iv)
The terms and
conditions are electronically mailed to the customer at the time of
sale.
(v)
The CRES provider shall provide a mechanism by which
both the submission and receipt of the electronic terms and conditions are
recorded by time and date.
(j)
The
representative of a CRES provider shall leave the premises of a customer when
requested to do so by the customer or the owner or occupants of the
premises.
(k)
CRES providers shall remove a customer's name from the
marketing/sales database upon the customer's request.
(2) Telephonic enrollment
(a) To enroll a residential or small
commercial customer telephonically, a CRES provider shall make a date and time
stamped audio recording verifying before the completion of the telephone call,
at a minimum, all of the following:
(i) The
CRES provider's or independent third-party
verifier's identity and the exact purpose of the call
(ii) A verbal statement and the customer's
acknowledgement that the call is being recorded.
(iii)
A verbal
statement and the customer's acknowledgement that the CRES provider is not the
customer's current electric utility company and that the customer may choose to
remain with the electric utility company or enroll with another CRES
provider.
(iv) A verbal question and the customer's
acknowledgement that the customer wishes to enroll with the provider.
(v)
A verbal question and the customer's acknowledgement that the customer is the
customer of record at the customer's
electric utility or is
authorized to switch providers by the customer of record.
(vi)
In accordance with rule
4901:1-21-12
of the Administrative Code, a verbal statement and the customer's acceptance of
each of the principal terms and conditions for the service that will be
provided, including, but not limited to, all of
the following:
(a) The service(s) that will
be provided.
(b) The
price.
(c) The length of the
contract term.
(d) An approximate
service commencement date.
(e) The
contract termination date, and any fees for customer cancellation prior to such
date.
(f) Any material limitations,
exclusions, contract contingencies, or conditions
precedent.
(g) Any fees or costs to
the customer.
(h)
Whether or not the CRES provider offers budget billing
for the generation portion of the bill.
(i) If applicable,
whether the provider will perform a credit check and require a deposit,
including the amount.
(j)Who will bill for
the provider's service(s).
(vii) A verbal
statement and the customer's acknowledgement that the provider will, within one
business day, send the customer a written contract
that details the terms and conditions that were summarized in the telephone
call.
(viii) A verbal statement and the customer's
acknowledgement that the customer has seven calendar days from the postmark
date of the electric utility's confirmation notice to cancel the contract
without penalty and a reminder that the electric utility will give the customer
a cancellation number to confirm any cancellation of the contract during the
cancellation period.
(ix) A toll-free
telephone number the customer can call to cancel the contract.
(x)
If applicable, a verbal request for and the customer's provision of the
customer's electric utility account number.
(xi) A verbal request
for and the customer's provision of the customer's mailing address.
(xii) A unique enrollment confirmation
number.
(b) Following
telephonic enrollment, the CRES provider shall comply with all of the
following:
(i) Within one
business day, send the customer a written contract
that details the terms and conditions summarized in the telephone call and the
generation resource mix and environmental characteristics information pursuant
to rule
4901:1-21-09
of the Administrative Code. Such contract shall in no way alter the terms and
conditions to which the customer agreed in the telephone call.
(ii) Retain the audio recording of the
customer's enrollment for one year after the contract with the customer is
terminated.
(iii) Provide a copy of
the audio recording to the customer, commission, or the staff within
three
business days of a request.
(c) The CRES provider shall send an
electronic enrollment request to the electric utility no sooner than three
business days and no later than five
business days after sending the customer the written
contract, unless a later start date is agreed to in the contract.
(d) The CRES provider shall not initiate
the switch of a customer's electric
service with the electric utility prior to the
completion of the enrollment transaction with the customer.
(e)
If a CRES
provider during a telephone enrollment engages an electric utility on a
three-way call, the CRES provider shall immediately disclose they are present
on the call with the customer.
(3) Internet enrollment.
(a) Where enrollment occurs by internet,
prior consent shall be obtained by encrypted customer input on a provider's
internet web site.
(b) The internet
enrollment web site shall, at a minimum, include all of the following:
(i) A copy of the CRES provider's customer
contract with all terms and conditions as required by rule
4901:1-21-12
of the Administrative Code.
(ii) A
conspicuous statement, within the body of the electronic version of the
contract, that residential and small commercial customers may cancel their
enrollment within seven calendar days following a confirmation notice from the
electric utility.
(iii) A statement
that the electric utility will be sending a confirmation notice of the transfer
of service and that the customer should contact the electric utility to rescind
the contract and a reminder that the electric utility will give the customer a
cancellation number to confirm any cancellation of the contract during the
cancellation period.
(iv) A
conspicuous prompt for the customer to print or save a copy of the
contract.
(c) The CRES
provider shall not initiate
the switch of a customer's electric
service with the electric utility prior to the
completion of the enrollment transaction with the customer.
(d) The CRES provider shall send an
electronic enrollment request to the electric utility within three
business days following completion of the enrollment
transaction with the customer, unless a later start date is agreed to in the
contract.
(e) Any electronic
version of the contract shall be identified by version number, in order to
ensure the ability to verify the particular contract to which the customer
assents.
(f) Throughout the
duration of the contract, the CRES provider shall retain and, within three
business days of the customer's request, provide to
the customer an electronic mail message, paper copy, or facsimile of the terms and conditions of the
numbered contract version to which the customer assents.
(g) The CRES provider shall require the
customer to complete an electronic customer consent form in a format
retrievable by the CRES provider that includes the following:
(i) The customer's agreement to the terms and
conditions.
(ii) An electronic
agreement version number.
(iii) The
name of the CRES provider.
(iv) The
date the customer electronically enrolled.
(v) The name of the account holder.
(vi) The electric utility account number or
other customer identification number provided by the electric utility and used
for customer choice purposes.
(vii)
The account holder's U.S. mailing address.
(h) The CRES provider shall provide a
mechanism by which both the submission and receipt of the electronic customer
consent form are recorded by time and date.
(i) After the customer completes the
electronic customer consent form, the internet enrollment process shall
disclose conspicuously that the customer has been enrolled and the CRES
provider shall provide the customer a unique enrollment confirmation
number.