Section 512.10  Definitions

"Act" means the Public Utilities Act [220 ILCS 5].

"Alternative gas supplier" or "AGS" means Alternative Gas Supplier as defined in Section 19-105 of the Act. 

"AGS sales agent" means "sales agent" as defined in Section 19-105 of the Act (220 ILCS 5/19-105).  "AGS sales agent" does not include any agent, broker or consultant that is acting as agent for the customer and not soliciting enrollments on behalf of any individual AGS.

"Commission" means the Illinois Commerce Commission.

"Commission Approved Savings Guarantee Plan" means a savings guarantee plan offered to recipients of Low Income Home Energy Assistance Program (LIHEAP) funding, Low Income Home Water Assistance Program (LIHWAP) funding, or Percentage of Income Payment Plan (PIPP) funding which is approved by the Commission and which offers natural gas supply to customers at an amount that is less than the utility gas supply price.

"Complaint" means an objection made to an AGS by a customer or other entity as to its charges, facilities or service, the disposal of which complaint requires investigation or analysis.

"Customer," when used without additional modifying language, shall mean small commercial customers and residential customers collectively, as those terms are defined herein.

"Early termination fee" or "ETF" means a fee or penalty for terminating an agreement or contract for natural gas supply products or services provided by the AGS before the end of the contract term. 

"Enrollment" means the process by which an AGS in any gas utility service area where customers are able to choose their natural gas supplier submits or executes a change in a customer's selection of a natural gas provider, enters into and effectuates a contract with a customer, and enrolls the consumer as a customer in the residential or small commercial gas transportation service program of the applicable gas utility.

"Fixed rate" means that the per-therm charge for natural gas supply remains the same for the term of the contract.

"Gas utility" means a gas utility as defined in Section 19-105 of the Act.

"Goodwill and institutional advertising" means any advertising either on a local or national basis designed primarily to bring the AGS’ name before the general public in such a way to improve the image of the AGS or to promote the AGS or the industry, and that does not:

contain information about prices, terms, or conditions of retail gas supply products or services offered by an AGS to customers; or

direct or induce customers to sign up for such products or services.

"Inbound enrollment call" means a telephone call to an AGS sales agent initiated by a customer that results in either an enrollment or a change of provision of the customer's natural gas supply service.

"In-person solicitation" means any enrollment attempt initiated or completed when an AGS sales agent is physically present with the customer.

"Letter of Agency" or "LOA" means the document described in Section 19-115(c)(1) of the Act.

"Pending enrollment" means a valid enrollment request has been submitted by an AGS and accepted by a gas utility but the beginning meter reading date upon which the switch will become effective has not yet occurred.

"Public utility" means "public utility" as defined by Section 3-105 of the Act.

"Rescission" or "to rescind" means the cancellation of an agreement or contract with an AGS before the AGS has submitted an enrollment request to the gas utility or within 10 business days after the date on the gas utility’s written notice to the customer confirming the switch.

"Residential customer" means a residential customer as defined in Section 19-105 of the Act.

"Send" or "Sent", when used in this Part to describe the action to be taken by an AGS of sending a document to a customer, may include, if agreed to by the receiving customer, transmission of the document to the customer via electronic delivery (e.g., fax or email).

"Small commercial customer" means small commercial customer as defined in Section 19-105 of the Act.

"Tariffed service" means tariffed service as defined by Section 19-105 of the Public Utilities Act (220 ILCS 5/19-105).

"Third party verification" or "TPV" means the process prescribed by Section 19-115(c)(2) of the Act. 

"Transferred call" means any enrollment call to an AGS in which the customer did not directly dial an AGS Sales Agent.  This includes calls that originate as live or automated calls to the customer, who then might select an option that results in the call being forwarded to an AGS Sales Agent.  "Transferred call" does not include enrollment calls in which the customer directly dials an AGS call center and selects to be forwarded to an AGS Sales Agent from a call center menu or live operator.  For purposes of enrollment compliance, transferred calls shall be treated as telemarketing within the meaning of Section 512.130.

"Transportation services" means transportation services as defined by Section 19-105 of the Act.

"Utility assistance recipient" means a utility customer that received financial assistance in the previous 12 months from either the Low Income Home Energy Assistance Program (LIHEAP), Low Income Home Water Assistance Program (LIHWAP), or, at the time of enrollment is participating in the Percentage of Income Payment Plan (PIPP). [220 ILCS 5/19-116]

"Utility gas supply cost" means the price per therm available from the Illinois Commerce Commission website applicable at the time the AGS offers or sell the products or services to the customer, including the date the price became effective and the date the price will expire.

"Variable rate" means that the per-therm charge for natural gas supply is subject to change during the term of the contract.

"Written" or "in writing" means a paper copy.  When this Part requires information to be "written" or "in writing", an electronic copy satisfies that requirement so long as both the AGS and the customer have agreed to electronic communication.

Section 512.15  Compliance

Each AGS shall be in full compliance with each requirement set forth in this Part on or before May 1, 2023 unless the Commission grants an extension of time to an AGS for cause.  Nothing in this Part modifies or limits compliance by the AGS with any requirement set forth in Public Act 101-590.

Section 512.30  Waiver

a)         The Commission, on application or petition of an AGS or gas utility, may grant a temporary or permanent waiver from this Part, or any applicable subsections contained in this Part, in individual cases in which the Commission finds:  

1)         the provision from which the waiver is granted is not statutorily mandated;

2)         no party will be injured by the granting of the waiver; and

3)         the rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

b)         The burden of proof in establishing a right to a waiver shall be on the party seeking the waiver.

Section 512.40  Alternative Gas Supplier Utility Assistance Recipient

An AGS shall not knowingly submit an enrollment to change a customer’s natural gas supplier if the gas utility’s records indicate that the customer received financial assistance in the previous twelve months from either the Low Income Home Energy Assistance Program (LIHEAP), Low Income Home Water Assistance Program (LIHWAP), or at the time of enrollment the customer is participating in the Percentage of Income Payment Plan (PIPP) unless the enrollment is pursuant to a Commission Approved Savings Guarantee Plan.  [220 ILCS 5/19-116(a)]  An agreement entered into between an AGS and a customer in violation of Section 19-116 of the Act is void and unenforceable.

Section 512.80  Application of Subpart B

The provisions of this Subpart shall only apply to an AGS serving or seeking to serve residential or small commercial customers, and only to the extent that an AGS provides services to residential or small commercial retail customers.

Section 512.100  Marketing Materials

a)         All marketing materials, including but not limited to electronic marketing materials, in-person solicitations, and telephone solicitations, concerning prices, terms, and conditions of retail gas supply service shall contain information that adequately discloses the prices, terms, and conditions of the products or services and shall disclose the Utility Gas Supply Cost and shall disclose the date on which the Utility Gas Supply Cost shall become effective and the date on which it will expire.  

b)         All marketing materials, including, but not limited to, electronic marketing materials, in-person solicitations, and telephone solicitations, shall include the following statement:

"(Name of the alternative gas supplier) is not the same entity as your gas delivery company.  You are not required to enroll with (name of alternative gas supplier).  Beginning on (effective date), the utility gas supply cost rate per therm is (cost).  The utility gas supply cost will expire on (expiration date).  For more information go to the Illinois Commerce Commission's free website at www.icc.illinois.gov/ags/consumereducation.aspx.".  [220 ILCS 5/19-115(g)(1)]

c)         Subsections (a) and (b) do not apply to goodwill or institutional advertising.

Section 512.105  Use of Utility Logo and Name

a)         An AGS shall not utilize the logo of a public utility in any manner.

b)         An AGS shall not utilize the name of a public utility in any manner that is deceptive or misleading, including, but not limited to, implying or otherwise leading a customer to believe that an AGS is soliciting on behalf of or is an agent of a utility.

c)         An AGS shall not utilize the name, or any other identifying insignia, graphics or wording, or that has been used at any time to represent a public utility company or its services or to identify, label or define any of its natural gas power and energy service offers. [815 ILCS 505/2DDD(c)(1)]

Section 512.110  Minimum Contract Terms and Conditions

The sales contract shall, in plain language, contain the disclosures specified in this Section in 12-point type size or larger, in the order presented in this Section, and in the same language as the sales solicitation.  The UDS, which shall be in the same language as the sales contract and the sales solicitation, shall be appended to the sales contract.  The disclosures specified in this Section shall appear at the beginning of the sales contract; no other contract terms, other than disclosures required under Part 412 if the AGS is also offering electric supply, may precede these disclosures.  Any additional contract language shall use 10-point type size or larger.  The sales contract shall include the following disclosures:

a)         The legal name of the AGS and the name under which the AGS will market its products, if different;

b)         The business address of the AGS;

c)         The charges for service for the length of the contract by month and, if any charges are variable during the term of the contract,

1)         an explanation of how the variable charges are determined,

2)         the current rate per therm price, a one-year price history, or history for the life of the product if it has been offered less than one year,

3)         the statement:  "Variable. The variable rate may go up or down" followed by one of the following:

A)        "and is subject to the savings guarantee described below" if the AGS provides a guarantee of savings pursuant to subsection (j);

B)        "and will be less than the Utility Gas Supply Cost during" and describe the intervals during which the rate is guaranteed to be at or below the Utility Gas Supply Cost;

C)        "and will be equal to the Utility Gas Supply Cost during" and describe the intervals during which the rate is guaranteed to equal the Gas Utility Supply Cost; or

D)        "and the rate may be higher than the Utility Gas Supply Cost during any given period" if none of the above statements apply.

d)         For any product for which the price includes a fixed periodic charge, including any charge which accrues monthly, weekly, or over any other period of time, that does not change with the customer's usage and does not include all supply and delivery service charges, the AGS shall provide an estimated total price per therm for natural gas service using sample monthly usage levels of 50, 100 and 300 therms;

e)         For any product offered at a fixed monthly charge that does not change with the customer's usage and does not include all supply and delivery service charges, the AGS must provide a statement to the customer stating that the fixed monthly charge is not the total monthly amount for gas service and identifying which charges are not included in the fixed monthly charge;

f)         The length of the contract in months, and whether the contract renews automatically, including any applicable renewal clause disclosed in a manner consistent with this Part;

g)         The fact that customers shall have a right to terminate their agreements with alternative gas suppliers at any time without any termination fees or penalties;

h)         If the AGS intends at any point during the term of the contract to seek a deposit or prepayment from the customer, the AGS shall identify whether and under what circumstances a deposit or prepayment will be required, along with a disclosure of the manner in which the deposit or prepayment will be calculated and the circumstances in which the deposit or prepayment will be refunded;

i)          Any fees assessed by the AGS to a customer for switching to the AGS;

j)          If an AGS represents that a customer will realize savings under any conditions or circumstances, the AGS shall provide a written statement, in plain language, describing the conditions or circumstances that must occur in order for the customer to realize the savings.  The statement shall disclose the entity or entities and price or prices to which the AGS is comparing its own offer for purposes of assessing or calculating savings;

k)         A statement that the customer may rescind the agreement by contacting the AGS or the gas utility within 10 business days after the date on the gas utility’s written notice to the customer confirming the switch;

l)          The following statement:  "(Insert name of AGS) is an independent seller of natural gas certified by the Illinois Commerce Commission.  (Insert name of AGS) is not representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program," unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, "or a governmental body or program of a governmental body";

m)        A statement that: 

1)         the gas utility remains responsible for the delivery of natural gas to the customer's premises and will continue to respond to any service calls and emergencies; and

2)         the customer will receive written notification from the gas utility confirming a switch of the customer's gas supplier; and

n)         The toll-free telephone numbers for the AGS, the gas utility, and the Commission's Consumer Services Division.

o)         The statement:  "A summary document entitled ‘The Uniform Disclosure Statement’ (UDS) is attached to this contract.  The UDS has important disclosures, including information about your new rate and your right to end this contract without termination fees or penalties.  Please read this contract and the UDS carefully."

Section 512.115  Uniform Disclosure Statement

a)         All AGS product offers for residential and small commercial customers require a one-page (front and back of one 8.5 x 11 sheet of paper) Uniform Disclosure Statement (UDS) using the form in Appendix A.

1)         All text in the UDS shall be printed in 12-point type or larger.

2)         The UDS may include a logo of the AGS.

3)         The UDS shall not contain any items other than those found in Appendix A or described in this Section.

b)         The disclosures in the UDS shall conform to Appendix A and shall include the information listed in this subsection (b), in the order listed.

1)         Name:  The legal name of the AGS and the name under which the AGS will market its products, if different.

2)         Address:  The AGS’ business address and internet address.

3)         Phone:  The AGS’ toll-free telephone number and hours of operation.

4)         Price:  The AGS supply price per therm, or as otherwise stated below, and the number of months the price stays in effect.

A)        If the price is a fixed monthly charge that does not change with the customer's usage, the fixed monthly charge shall be shown in dollars.

B)        If the price is a custom price, the UDS shall include the word "custom" and the AGS shall replace "custom" with the price offered to a particular customer once the AGS has determined the custom price for the customer.

C)        If the price is tied to a publicly available index or benchmark, the UDS shall state the index or benchmark and include the phrase "Refer to contract."

D)        Variable Rate Products:  For a variable rate product, the UDS shall state that the current rate per therm price and a one-year price history, or history for the life of the product if it has been offered less than one year, are available on the AGS’ website and at a toll-free number.  An AGS shall not rename a product in order to avoid disclosure of price history.

5)         Utility Gas Supply Cost to compare.  "(Name of the alternative gas supplier) is not the same entity as your gas delivery company.  You are not required to enroll with (name of alternative gas supplier).  Beginning on (effective date), the utility gas supply cost rate per therm is (cost).  The utility gas supply cost will expire on (expiration date).  For more information go to the Illinois Commerce Commission’s free website at www.icc.illinois.gov/ags/consumereducation.aspx."

6)         Other Periodic Charges:  If the price includes a fixed charge that does not change with the customer's usage, including any charge that accrues monthly, weekly, or over any other period of time, that fixed periodic charge shall be disclosed in dollar amounts, shall show the fixed period of time for which that charge occurs and, unless the fixed periodic charge is monthly, the sum of the charges on a monthly basis. 

7)         Total Price with Other Periodic Charges:  If the price includes a fixed charge that does not change with the customer's usage, including any charge that accrues monthly, weekly, or over any other period of time, and the fixed periodic charge does not include all supply and delivery service charges, the UDS shall display the total price per therm at sample usage levels of 50, 100 and 300 therms.

8)         Length of the Contract:  The length of the contract in months.

9)         Subsequent Prices after the Initial Price:  If the initial price remains in effect for the entire term of the contract, the UDS shall state "N/A" or "Not Applicable."  If the price after the initial price does not change for the remainder of the term of the contract, the UDS shall state the price in cents per therm and the number of months that price will stay in effect.  If the price after the initial price is a price that includes a fixed periodic charge that does not change with the customer's usage, and the charge does not include all supply and delivery service charges, the UDS shall display the total price in cents per therm at sample usage levels of 50, 100 and 300 therms.  If the price after the initial price is a rate that changes at any time, the UDS shall include the following:  "Variable.  The variable rate may go up or down and the rate may be higher or lower than the Gas Utility’s rate during any given period." 

10)        Contract Renewal:  The UDS shall disclose whether the contract renews automatically.

11)        Rescission:  The UDS shall include the following:  "You have the right to rescind (stop) your enrollment within 10 business days after the date on your Gas Utility’s written notice confirming the switch of your supplier.  You may call us at (insert toll-free number) or your utility at (insert toll-free number) to rescind."

12)        Termination:  The statement that:  "You have the right to terminate an agreement with an alternative gas supplier AT ANY TIME WITH NO TERMINATION FEES AND NO PENALTIES.  You may call us at (insert AGS’ toll-free number) to terminate this contract."  The preceding portion in capital letters shall be capitalized and in bold.

13)        Seller:  The UDS shall include the following:  "This is a sales solicitation and the seller is (insert AGS name), an alternative gas supplier.  If you enter into a contract with the seller, (insert AGS name) will be your gas supplier.  The seller is not endorsed by, representing, or acting on behalf of, a utility or a utility program, a consumer group or a consumer group program," unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, "or a governmental body or program of a governmental body."

14)        Questions/Information:  The UDS shall include the following:  "If you have any questions or concerns about this sales solicitation, you may contact the Illinois Commerce Commission's Consumer Services Division at 1-800-524-0795."

15)        Date of Solicitation:  The UDS shall state the date the customer was solicited.

16)        AGS Sales Agent name and ID:  The UDS shall include an AGS Sales Agent name and ID.

c)           The UDS shall be provided in the same language as the solicitation and sales contract.

Section 512.120  In-person Solicitation

a)         An AGS sales agent shall state that the sales agent represents an independent seller of natural gas certified by the Illinois Commerce Commission who is not employed by, representing, endorsed by, or acting on behalf of a utility, or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body. [815 ILCS 505/2DDD(c)(2.3)]

b)         When it would be apparent to a reasonable person that a customer's language skills in the language used for the solicitation are insufficient to allow the customer to understand and respond to the information conveyed by the agent in that language, or when the customer or another person informs the agent of this circumstance, the AGS sales agent shall find another representative fluent in the customer's language, use an interpreter, or end the in-person contact with the customer. In the event the AGS sales agent, individually or through an interpreter, makes a sales solicitation in a language other than English for any reason, the AGS sales agent shall present the UDS, sales contract, and third-party verification in the same language as the sales presentation.  When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed. 

c)         AGS sales agents who engage in in-person solicitation for the purpose of selling natural gas offered by the AGS shall display identification on an outer garment.  This identification shall be visible at all times and prominently display the following:

1)         The AGS sales agent's full name in a reasonably sized font;

2)         A Sales Agent ID number;

3)         A photograph of the AGS sales agent; and

4)         The trade name and logo of the AGS the sales agent is representing in the course of solicitation taking place.

d)         The AGS sales agent shall leave the premises at the customer's, owner's or occupant's request.  In the absence of local ordinances or regulations, AGS and their sales agents shall not conduct in-person solicitation at residential dwellings before 9:00 a.m. and after 7:00 p.m. or civil dusk, whichever is earlier.

e)         The AGS sales agent shall, during the sales presentation to the customer, verbally disclose all items listed in Section 512.110(a) and (c) through (n) to the customer unless the sales presentation is terminated by the customer before the disclosures are completed.  A sales agent may disclose the items in any order, provided that all applicable items are explained to the customer before the agent obtains the customer’s utility account number.  However, an AGS may secure consent to obtain customer-specific usage information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved process.

f)         A copy of the UDS described in Section 512.115 and Appendix A, along with an explanation that it is a summary of the contract terms, must be left with the customer at the conclusion of the visit unless a customer refuses to accept a copy.  Nothing in this subsection (f) prevents an AGS sales agent from providing the UDS electronically instead of in paper form to a customer upon that customer's request.  The AGS sales agent shall also offer, at the time of the initiation of the solicitation, a business card or other material that lists the agent's name, identification number and title, and the AGS’ name and contact information, including telephone number.

g)         In-person solicitations that lead to an enrollment require a third-party verification (TPV).  The TPV shall be conducted in the same language that was used in the solicitation and shall include all of the items listed in Section 512.110(a) and (c) through (n).  Each disclosure must be made individually to obtain clear acknowledgement of each disclosure.  The AGS agent must be in a location where the agent cannot hear the customer while the TPV is conducted.  The AGS shall not approach the customer after the TPV for a period of 24 hours unless contacted by the customer.

h)         The contract shall be sent to the customer within one business day after the gas utility's confirmation to the AGS of an accepted enrollment.

i)          The AGS sales agent shall not conduct any in-person solicitations at any building or premises where any sign, notice or declaration of any description whatsoever is posted that prohibits sales, marketing or solicitations.  However, an AGS sales agent may meet with representatives of a small commercial customer and conduct an in-person solicitation at a building or premises where such a notice is posted if an authorized representative of the small commercial customer has previously scheduled an appointment to meet with an agent of the AGS at that building or premises.

j)          The AGS sales agent must obtain consent to enter multi-unit residential dwellings. Consent obtained to enter a multi-unit dwelling from one prospective customer or occupant of the dwelling shall not constitute consent to market to any other prospective customers in the dwelling without separate consent.

k)         Upon a customer's request, the AGS shall not conduct any further marketing to that customer until the customer requests to receive further marketing.  The AGS shall notify its agents of the customer’s request not to be solicited.

Section 512.130  Telemarketing

a)         In addition to complying with the Telephone Solicitations Act [815 ILCS 413], an AGS sales agent who contacts customers by telephone for the purpose of selling natural gas supply service shall provide the agent's name and identification number.  The AGS sales agent shall state that the sales agent represents an independent seller of natural gas supply service, certified by the Illinois Commerce Commission.  An AGS sales agent shall not state or otherwise imply that the sales agent is employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or a consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or a program of a governmental body. [815 ILCS 505/2DDD(c)(2.3)]

b)         When it would be apparent to a reasonable person that a customer's language skills in the language of the solicitation are insufficient to allow the customer to understand and respond to a telephone solicitation in that language, or the customer or another person informs the agent of this circumstance, the agent must transfer the customer to a representative who speaks the customer's language, if such a representative is available, or terminate the call.  When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c)         An AGS sales agent shall, during the sales presentation to the customer, disclose the items listed in Section 512.110(a) and (c) through (n), unless the sales presentation is terminated by the customer before the disclosures are completed.  An AGS sales agent may disclose the items in any order provided that all applicable items are explained to the customer prior to the agent obtaining the customer’s utility account number.  An AGS may secure consent to obtain customer-specific usage information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved process.

d)         Any telemarketing solicitation that lead to a telephone enrollment must be recorded and retained for a minimum of two years.  All telemarketing calls that do not lead to a telephone enrollment, but last at least two minutes, shall be recorded and retained for a minimum of six months.  The recordings shall be provided upon request to Commission staff.  Recordings of a customer who has completed a telephone enrollment shall also be provided to that customer upon request.

e)         For telemarketing that leads to a completed telephone enrollment, a third-party verification must be used to authorize a customer's enrollment.  The third-party verification must require the customer to verbally acknowledge that the customer understands the all disclosures required by Section 512.110(a) and (c) through (n).  Each item must be disclosed to the customer individually to obtain clear acknowledgment of each disclosure.  An AGS sales agent initiating a 3-way conference call or a call through an automated verification system shall drop off the call and shall not participate in or listen to the call, but shall not cause the call to be terminated once the 3-way connection has been established.  The AGS shall not contact the customer after the TPV for a period of 24 hours unless contacted by the customer.

f)         The UDS and contract shall be sent, in writing, to the customer within one business day after the natural gas utility's confirmation to the AGS of an accepted enrollment.

g)         Upon a customer's request, the AGS shall refrain from any further direct telemarketing to that customer.  The AGS shall notify its agents of a customer's request.

Section 512.140  Inbound Enrollment Calls

a)         An AGS sales agent shall state that the sales agent represents an independent seller of natural gas certified by the Illinois Commerce Commission.  An AGS sales agent shall not state or otherwise imply that the sales agent is employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body. [815 ILCS 505/2DDD(c)(2.3)]

b)         When it would be apparent to a reasonable person that a caller's language skills are insufficient to allow the customer to understand and respond to a telephone conversation or solicitation in the language spoken by the sales agent, or the customer or another person informs the agent of this circumstance, the agent must transfer the customer to a representative who speaks the customer's language, if such a representative is available, or end the call.  When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed. 

c)         The AGS sales agent shall verbally disclose the items listed in Section 512.110(a) and (c) through (n).  An AGS sales agent may disclose the items in any order so long as all applicable items are explained to the customer during the sales presentation.

d)         All inbound enrollment calls that lead to an enrollment shall be recorded, and the recordings shall be retained for a minimum of two years.  An inbound enrollment call that does not lead to an enrollment but lasts at least two minutes shall be recorded and retained for a minimum of six months.  The recordings shall be provided upon request to Commission staff or a customer who has completed a telephone enrollment.

e)         The AGS shall send the UDS and contract to the customer within one business day after the natural gas utility's confirmation to the AGS of an accepted enrollment.

Section 512.150  Direct Mail

a)         If an AGS Sales Agent contacts customers for enrollment for natural gas supply service by direct mail, the direct mail material shall include all the disclosures required in Sections 512.110(a), (b) and (n) for the service being solicited. 

b)         Statements in any direct mail material shall not claim that the AGS sales agent represents, is endorsed by, or is acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body and shall not utilize false, misleading, materially inaccurate or otherwise deceptive language.

c)         If a direct mail solicitation includes a written Letter of Agency ("LOA"), the direct mail solicitation shall include the items listed in Section 512.110(a) and (c) through (n) and also the UDS described in Section 512.115.  The UDS shall be provided on a separate page from the other marketing materials included in the direct mail solicitation.  If a written LOA is being used to authorize a customer's enrollment, the written LOA shall comply with Section 19-115(c)(1)(E) of the Public Utilities Act and shall contain a statement that the customer has read and understood each of the disclosures required by Section 512.110(a), (c), and (e) through (m).  The LOA to be signed and returned to the AGS shall be separate from the documents containing the Section 512.110 disclosures and from the UDS, such that they can remain with the customer.

d)         If the direct mail solicitation allows a customer to enroll by telephone, and the customer elects to do so, Section 512.140 shall apply.  If the direct mail solicitation allows a customer to enroll online, and the customer elects to do so, Section 512.160 shall apply.

e)         A copy of the contract must be sent to the customer within one business day after the natural gas utility's confirmation to the AGS of an accepted enrollment.

Section 512.160  Online Marketing

a)         Each AGS offering natural gas supply service to customers online shall disclose all items listed in Section 512.110 for any services offered through online enrollment before requiring the customer to enter any personal information other than zip code, natural Gas Utility service territory, and type of service sought unless the AGS secures consent to obtain customer-specific information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved method.  The AGS marketing material shall not make any statements that it is a representative of, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or a program of a governmental body.

b)         The UDS and contract must be printable in a PDF format and shall be available electronically to the customer.

c)         The enrollment website of the AGS shall, at a minimum, include:

1)         All disclosures required by Section 512.110;

2)         A statement that electronic acceptance of the terms is an agreement to initiate service and begin enrollment; and

3)         An email address and toll-free phone number of the AGS where the customer can express a decision to rescind the contract.

Section 512.165  Rate Notice to Customers

a)         Each AGS shall make publicly available on its website, without need for customer login, rates currently available to residential customers, including but not limited to fixed periodic charges and per-therm charges.  Additionally, when a customer’s rates change during the term of an agreement or contract, the AGS shall make the new rates available to that customer on its website, and, if applicable, through the customer’s online account, at least 30 days prior to the effective date of any rate change.  The AGS must disclose the period to which the rates will apply.  In addition, each AGS shall provide the rate information to its residential variable rate customers who request it through the AGS’ toll-free number.  The customer's contract shall contain the website address and toll-free phone number through which a customer may obtain variable rate information in accordance with this Section.

b)         If the AGS charges for residential variable rate customers are included on the utility’s bill, the AGS shall use the allotted space on the utility’s bill to disclose the customer's variable rate that is in effect at the time the bill is received by the customer and the percentage change, if any, of the variable rate from one monthly billing period to the next.  When there is insufficient available allotted space on the utility bill for the AGS to make these disclosures each month, the AGS shall ensure that no residential variable rate customer receives consecutive monthly bills that fail to disclose upcoming variable rates in the bill's message section.

c)         If the AGS bills its residential variable rate customers directly, the AGS shall ensure that those customers' bills always contain the variable rate information described in this Section.  Additionally, every AGS that issues a single bill for delivery and supply shall include the utility gas supply cost.

d)         If the natural gas utility's implementation of Section 19-135 prevents an AGS from complying with this Section, the AGS shall include a bill message that contains the toll-free phone number and website address where the variable rate information can be obtained by the customer.  The requirements of subsections (b) and (c) to provide notifications in customer bills do not apply if the AGS sends the notifications required by this subsection via a written communication sent at the same time as the customer's monthly bill.

e)         If a residential variable rate customer's rate increases by more than 20% from one monthly billing period to the next, in addition to any notice required by this Section, the AGS shall send a separate, dated, written notice to the customer informing the customer of the upcoming rate change and including the utility gas supply cost.

f)         Subsections (a) through (e) shall not apply to contracts that disclose the formula that will allow a customer to determine the variable rate based on a publicly available, whether for free or a fee, index or benchmark.  For contracts to which subsections (a) through (e) do not apply: 

1)         The AGS shall provide sufficient information on its website, or through the customer’s online account to identify the inputs to the formula used to calculate the variable rate, including the timing and location of the index or benchmark price and any other information necessary to calculate the rate;

2)         The AGS shall provide clear and unambiguous information on the index or benchmark and any risks represented by the potential volatility (price spikes) involved in the rate calculations; and

3)         Notice of the rates shall be available on the AGS’ website and by toll-free telephone as soon as reasonably practicable.

g)         If a contract includes a provision that results in a change to the residential customer's rate plan, including a change from a fixed rate to a variable rate, the AGS shall send a separate, dated, written notice of the upcoming change at least 30 days, but no more than 60 days, prior to the switch.  The separate written notice shall include:

1)         A statement printed or visible from the outside of the envelope or in the subject line of the email (if customer has agreed to receive official documents by email) that states "Upcoming Rate Plan Change";

2)         The bill cycle in which the changes to the rate plan will begin; and

3)         A statement in bold lettering, in at least 12-point type, that the rate can change for the remainder of the contract.  If the customer is on a plan that changes from a fixed price to a variable price at the end of the contract term or during the contract term, and if the customer is eligible for one or more fixed rate offers from the AGS, the AGS shall include information about those offers, including information explaining how to enroll in the offers.

h)         An AGS that currently enrolls residential customers on a variable rate product for three consecutive months in any gas utility's service territory, including products that automatically switch or convert to a variable rate during the term of the contract, or automatically renews customers on a variable rate product for three consecutive months in any gas utility’s service territory, must, for each such variable rate product, publicly disclose on the AGS’ website and make available through a toll-free number, the one-year variable rate price history, or history for the life of the product if it has been offered less than one year and shall include the utility gas supply cost.  An AGS shall not rename a product in order to avoid disclosure of price history.

Section 512.170  Conduct, Training and Compliance of AGS Sales Agents

a)         Each AGS shall conduct, or cause to be conducted, training for individual representatives engaged in in-person solicitation and telemarketing to residential customers on behalf of that AGS prior to conducting any such solicitations on the supplier’s behalf.  After initial training, each AGS shall be required to conduct refresher training for its individual representatives every 6 months.

b)         Each AGS shall perform criminal background checks on all employees and agents engaged in in-person solicitation.  The AGS shall maintain a record confirming that a criminal background check has been performed on its employees or agents in accordance with this Section.

c)         An AGS sales agent shall be knowledgeable of the requirements applicable to the marketing and sale of natural gas supply service to the customer class being targeted.  In addition to this Part, requirements pertaining to the marketing and sales of natural gas supply service may be found in other Commission rules, the Act and the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505].

d)         All AGS sales agents shall be familiar with natural gas supply services that they sell, including the rates, payment and billing options, and the customers' right to cancel.  In addition, the AGS sales agents shall have the ability to provide the customer with a toll-free number for billing questions, disputes and complaints, as well as the Commission's toll-free phone number for complaints.

e)         AGS sales agents shall not utilize false, misleading, materially inaccurate or otherwise deceptive language or materials in soliciting or providing services.  AGS sales agents shall also fully comply with the requirements of Section 512.100 governing marketing materials.

f)         No AGS sales agent shall make a record of a customer's Gas Utility account number unless all applicable disclosures are made to the customer and the customer has agreed to enroll with the AGS, the AGS has secured consent from the customer to obtain customer-specific information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved method, or the "record" is a recording required by Section 19-115(c)(4) of the Act and Sections 512.130 and 512.140 of this Part.

g)         All AGS sales agents shall complete a training program that covers the applicable Sections of this Part.  The AGS shall document the training of its sales agents and provide a certification to the Commission, in a format to be specified by Commission staff, showing that an agent completed the training program prior to a sales agent being eligible to market or sell gas supply in Illinois.  The AGS shall maintain records of certificates for three years after the date the training was completed.  Upon request by the Commission or Commission staff, an AGS shall provide training materials and training records, including refresher training as described in subsection (a), within seven business days.

h)         When an AGS contracts with an independent contractor or vendor to solicit customers on the AGS’ behalf, the AGS shall confirm that the contractor or vendor has provided training in accordance with this Section.

i)          Each AGS shall monitor marketing and sales activities to ensure that its AGS agents are providing accurate and complete information and complying with all laws and regulations.

Section 512.180  Records Retention and Availability

a)         An AGS must retain, for a minimum of the longer of two years or the length of the contract, verifiable proof of authorization to change suppliers for each customer.  Upon request by the Commission or Commission staff, the AGS shall provide authorization records within seven business days.

b)         Throughout the duration of the contract, and for two years after the contract ends, the AGS shall retain the customer's contract.  Upon the customer's request, the AGS shall provide the customer a copy of the contract via email, U.S. mail or facsimile.  The AGS shall send a copy of the contract within seven business days after receipt of the customer’s request if the customer is currently taking service under the contract or within fourteen business days if the customer is not currently taking service under the contract.  The AGS shall not charge a fee for the copies if a customer requests fewer than three copies in a 12-month period.

Section 512.200  Application of Subpart C

The provisions of this Subpart shall only apply to an AGS serving or seeking to serve residential or small commercial customers and only to the extent the AGS provides services to residential or small commercial retail customers.  In addition, Section 512.210 shall apply to gas utilities.

Section 512.210  Rescission of Sales Contract

a)         A customer may rescind a contract with an AGS without penalty before the AGS submits the enrollment request to the gas utility.  Within two business days after receipt of a valid electronic enrollment request from the AGS, the gas utility shall notify the customer in writing of the scheduled enrollment and provide the name of the AGS that will be providing natural gas supply service.  The customer may also rescind the contract with the AGS without penalty within 10 business days after the date of the gas utility notice to the customer.  The gas utility shall provide confirmation of an accepted enrollment to the AGS, including the date of the notice to the customer, at the same time that it provides a written enrollment notice to the customer.  The written enrollment notice from the gas utility shall state the last day for the customer to make a request rescinding the enrollment and provide contact information for the AGS.  The written enrollment notice from the gas utility shall also provide information regarding the customer's rights under this Section, including contact information for the utility and the Commission, if the customer believes the enrollment has been made in error or without the customer's consent.

b)         A Customer wishing to rescind the pending enrollment with an AGS may do so by contacting either the gas utility or the AGS within 10 business days after the date of the gas utility's notice to the customer; provided, however, that if the gas utility’s tariff for transportation services requires a longer period for rescission, the customer may rescind the pending enrollment during the period for rescission established by the gas utility’s tariff for transportation services without incurring early termination fees.

c)         In the event the residential customer provides notice of rescission to the gas utility, the gas utility shall notify the AGS within one business day after processing a valid rescission request from the customer.

Section 512.220  Termination of Sales Contract

a)         Residential and small commercial customers shall have a right to terminate their contracts with alternative gas suppliers at any time without any termination fees or penalties.  The contract shall disclose the right to terminate and provide a toll-free phone number that the customer may call in order to terminate the agreement.  This requirement does not relieve the customer of obligations to pay for services rendered under the contract until service is terminated.

b)         An AGS must process any Customer’s termination request by transmitting a termination request to the utility within two business days after receipt of the termination request from the Customer.  The AGS shall document and retain for a period of two years all such customer requests to terminate service with the AGS.  If unforeseen circumstances delay the transmission of the request to the utility, the AGS must transmit the request to the utility within the following two business days, provided, however, that the AGS must detail the reason for the delay in its records.

Section 512.230  Contract Renewal

a)         Non-Automatic Renewal.  The AGS shall clearly and conspicuously disclose any renewal terms in its contracts, including any cancellation procedure.  The AGS shall send a notice of contract expiration separate from the bill at least 30 but no more than 60 days prior to the date of contract expiration.  Nothing in this Section shall preclude an AGS from offering a new contract to the customer at any other time during the contract period.  If the customer enters into a new contract prior to the end of the contract expiration notice period, the notice of contract expiration under this Section is not required.  The separate written notice of contract expiration shall include:

1)         A statement printed or visible from the outside of the envelope or in the subject line of the email (if customer has agreed to receive official documents by email) that states "Contract Expiration Notice";

2)         The anticipated bill cycle in which the existing contract will expire; 

3)         A full description of the renewal offer, including the date service would begin under the new offer if a renewal offer was provided.  If the new contract's terms differ from the existing contract, the AGS shall include a UDS that identifies the new terms, as well as a side-by-side comparison of the material changes between the existing contract and the new contract; and

4)         A statement, in at least 12-point font, that the customer must provide affirmative consent to accept the renewal offer, that establishing service with another AGS can take up to 45 days, and that failure to renew the existing contract or switch to another AGS may result in the customer being reverted to the gas utility default service.  The statement shall provide the length of the gas utility tariff minimum stay period, if applicable.

b)         Automatic Renewal

1)         Automatic Contract Renewal Statement

A)        In addition to complying with the Illinois Automatic Contract Renewal Act [815 ILCS 601], beginning January 1, 2020, an AGS shall not sell or offer to sell any products or services to a consumer pursuant to a contract in which the contract automatically renews, unless an AGS provides to the consumer at the outset of the offer, in addition to other disclosures required by law, a separate written statement titled "Automatic Contract Renewal" that clearly and conspicuously discloses in bold lettering in at least 12-point font the terms and conditions of the automatic contract renewal provision, including:  

i)          the estimated bill cycle on which the initial contract term expires and a statement that it could be later based on when the utility accepts the initial enrollment;

ii)         the estimated bill cycle on which the new contract term begins and a statement that it will immediately follow the last billing cycle of the current term;

iii)        the procedure to terminate the contract before the new contract term applies; and

iv)        the cancellation procedure. [815 ILCS 505/2DDD(f-5)(1)]

B)        Disclosures compliant with Section 2DDD(f-5)(1) of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] shall constitute compliance with this subsection (b)(1).  Nothing in this subsection (b)(1) applies to contracts entered into before January 1, 2020.

2)         If the AGS sells or offers to sell the products or services to a consumer during an in-person solicitation or telemarketing solicitation, the disclosures described in subsection (b)(1) shall also be made to the consumer verbally during the solicitation.

3)         For contracts that automatically renew after the initial term, the AGS shall send a notice of contract renewal separately from the bill at least 30 days but no more than 60 days prior to the end of the contract term.  Nothing in this Section shall preclude an AGS from offering a new contract to the customer at any other time during the contract period.  If the customer enters into a new contract prior to the end of the contract renewal notice period, the notice of contract renewal under this subsection is not required.  Disclosures compliant with Section 2DDD(f-5)(2) of the Consumer Fraud and Deceptive Business Practices Act, as in force and effect on January 1, 2020, shall constitute compliance with this subsection (b)(3).

c)         The separate written notice of contract renewal referenced in subsection (b) shall include a clear and conspicuous disclosure of the contract terms, including a full description of any renewal offers available to the customer.  If the new contract terms differ from the terms of the existing contract, the AGS shall provide written notice of the new terms.  The AGS shall include the phone number and email address (or internet address if no email address currently exists) to which a customer may submit a consumer inquiry or complaint to the Illinois Commerce Commission and the Office of the Attorney General. The AGS shall also include, as is applicable: 

1)         for a fixed rate or flat bill contract, a side-by-side comparison of the current fixed rate or flat bill to the new fixed rate or flat bill;

2)         for a variable rate contract or time-of-use product in which the first month's renewal price can be determined, a side-by-side comparison of the current price and the price for the first month of the new variable or time-of-use price; or

3)         for a variable or time-of-use contract based on a publicly available index, a side-by-side comparison of the current formula and the new formula. [815 ILCS 505/2DDD(f-5)(2)(H)]

d)         An alternative gas supplier shall not automatically renew a consumer's enrollment after the current term of the contract expires when the current term of the contract provides that the consumer will be charged a fixed rate and the renewed contract provides that the consumer will be charged a variable rate, unless:

1)         the alternative gas supplier complies with subsection (b); and

2)         the customer expressly consents to the contract renewal in writing or by electronic signature at least 30 days, but no more than 60 days, before the contract expires. [815 ILCS 505/2DDD(f-5)(3)]

e)         In addition to sending documentation required by subsection (b) by U.S. Mail or by electronic mail, an AGS must alert the customer to the information contained in subsection (c)(2) by one additional means of communication.  The AGS may provide for the customer's choice one or more options for this additional notification.  Permissible forms of notification an AGS may offer include email, text message/SMS, postcards, or phone calls.  However, the Commission's policy preference is that an AGS use phone calls when an AGS is able to obtain a customer's express written consent to give notice in this manner.  An AGS may provide the additional notification by directing the customer to a website that contains the entirety of the information required by subsection (b).  Each AGS shall maintain records that the additional notification was sent to the customer for the longer of two years or one year after the customer is no longer served by the AGS.

Section 512.240  Assignment

An AGS that is certified to serve residential or small commercial customers shall not assign an agreement with a customer to any different AGS unless: 

a)         The new supplier is an AGS certified by the Commission;

b)         The rates, terms, and conditions of the agreement being assigned do not change during the remainder of the time covered by the agreement;

c)         The customer is given no less than 30 days prior written notice of the assignment; and

d)         The written notice shall include contact information for the new supplier, contact information for the default gas utility should the customer not wish to take service with the new AGS, and contact information for the Commission’s Consumer Services Division; and

e)         The supplier assigning the contract provides contact information that a customer can use to resolve a dispute. [220 ILCS 5/19-115(f)(4)]

Section 512.300  Application of Subpart D

The provisions of this Subpart shall only apply to an AGS serving or seeking to serve residential or small commercial retail customers and only to the extent the AGS provides services to residential or small commercial retail customers.  In addition, Section 512.320(c)(1)(B) and (c)(1)(E) shall apply to gas utilities.

Section 512.310  Required AGS Information

a)         Prior to an AGS initiating marketing to customers, and annually on or before January 1, the AGS shall file electronically with the Chief Clerk of the Commission the following documents and information:

1)         A copy of its bill formats (if it bills customers directly rather than using natural Gas Utility consolidated billing) (combined billing for AGS services and natural Gas Utility services);

2)         Standard customer contract;

3)         Customer complaint and resolution procedures; and

4)         The name, telephone number and email address of the company representative whom Commission employees may contact to resolve customer complaints and other matters.

b)         If, at the time of annual filing, there are no changes to the documents or information on file with the Commission in compliance with subpart (a) above, the AGS may file a document that affirms there are no changes from the prior year’s filing.

c)         The AGS must file updated information within 10 business days after changes in any of the documents or information required to be filed by this Section.

d)         If the AGS has declared force majeure within the past 10 years on any contracts to deliver natural gas supply services, the AGS shall provide notice to the Commission Staff prior to marketing to residential and small commercial retail customers.

e)         By January 1, 2020 and every January 1 thereafter, each AGS shall file with the Chief Clerk of the Commission, and provide a copy to the Commission's Consumer Services Division (CSD) and the Office of Retail Market Development (ORMD), the rates which it charged to residential customers in the prior year, including each distinct rate charged and whether the rate was a fixed or variable rate, the basis for the variable rate, and any fees charged in addition to the supply rate, including monthly fees, flat fees, or other service charges.

Section 512.320  Dispute Resolution

a)         A residential or small commercial retail customer has the right to make a formal or informal complaint to the Commission, and an AGS contract cannot impair this right.

b)         A customer or prospective customer for natural gas supply service may submit a complaint by U.S. mail, facsimile transmission, email or telephone to an AGS.  The AGS shall initiate an investigation and advise the complainant of the status or any results of that investigation within 14 calendar days.  If the AGS responds to the customer's or prospective customer's complaint verbally, the AGS shall inform the customer or prospective customer of the ability to request and obtain the AGS' response in writing.  When the AGS responds, a customer or prospective customer shall be informed of the right to file a complaint with the Commission or the Office of the Illinois Attorney General.

c)         Complaints to the Commission

1)         Informal Complaints (see 83 Ill. Adm. Code 200.160)

A)        The AGS shall inform the complainant of the complainant's ability to file an informal complaint with the Commission's Consumer Services Division (CSD) and provide contact information for the CSD.  Informal complaints may be filed with the CSD by phone, via the internet, by fax or by mail. Information required to process a customer's informal complaint includes: 

i)          The customer's name, mailing and service addresses, and telephone number;

ii)         The name of the AGS;

iii)        The customer's natural Gas Utility and AGS account numbers;

iv)        An explanation of the facts relevant to the complaint;

v)         The complainant's requested resolution; and

vi)        Any documentation that supports the complaint, including copies of bills or terms of service documents.

B)        The Commission's CSD may resolve an informal complaint via phone by completing a three-way call involving the customer, the CSD staff and the AGS.  If no resolution is reached by phone and a dispute remains, the CSD may send an informal complaint to the AGS. In the case of gas utility consolidated billing, the AGS shall notify the gas utility of any informal complaint received and the gas utility shall follow the procedures outlined in its billing service agreement with the AGS to withhold collection activity on disputed AGS charges on the customer's bill.

C)        The AGS shall investigate all informal complaints and advise the CSD in writing of the results of the investigation within 14 days after the informal complaint is forwarded to the AGS.

D)        The CSD shall review the complaint information and the AGS’ response and notify the complainant of the results of the Commission's investigation.

E)        While an informal complaint process is pending: 

i)          The AGS shall not initiate collection activities for any disputed portion of the bill until Commission staff has closed the informal complaint; and

ii)         A customer shall be obligated to pay any undisputed portion of the bill and the AGS (or the natural gas utility in the case of presenting the AGS’ charges on a consolidated bill) may pursue collection activity for nonpayment of the undisputed portion after appropriate notice.

F)         The AGS shall keep a record for two years after closure by the CSD of all informal complaints.  This record shall show the name and address of the complainant and the date and nature and adjustment or disposition of the informal complaint.

2)         Formal Complaints.  If the complainant is not satisfied with the results of the informal complaint process, the complainant may file a formal complaint with the Commission pursuant to Sections 10-101 and 19-115(d) of the Act and 83 Ill. Adm. Code 200.170.

Section 512.330  Failure to Comply

Unless otherwise noted, a violation of this Part shall be subject to the fines and penalties set forth in the Act.

Section 512.340  Severability

If any provision of this Part is found invalid by a court of competent jurisdiction, the remaining provisions shall remain in full force and effect.

Section 512.APPENDIX A   Uniform Disclosure Statement

UNIFORM DISCLOSURE STATEMENT

Name:

Business Address:

Internet Address:

Phone and hours of operation:

This is a sales solicitation and the seller is (insert AGS name), an alternative gas supplier.  If you enter into a contract with the seller, (insert AGS name) will be your gas supplier.  The seller is not endorsed by, representing, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body.

If you have any questions or concerns about this sales solicitation, you may contact the Illinois Commerce Commission's Consumer Services Division at 800-524-0795.