Provide On-going Compliance Monitoring of Fields Sales
RCS has performed regular compliance monitoring on tele-sales
generated by a REP's third party vendor. RCS obtained data directly from
the REP's third party verification vendor to select calls for review.
Sampled calls were assessed for compliance with PUCT regulations governing
telesales. Assessment sheets were maintained on each reviewed call, and
summary reports were prepared and distributed to REP management to facilitate
identification of issues requiring further resolution.
Conduct Compliance Audit prior to PUCT Audit
RCS has conducted compliance audits, similar to those conducted by the
PUCT Enforcement Division, in advance of the PUCT audit. This allows REPs
to identify and resolve any compliance issues prior to the PUCT audit,
potentially foregoing costly penalty assessments.
Provide Enforcement Support
RCS has worked with numerous REPs undergoing PUCT audits at various
stages of the audit process. RCS has helped prepare audit responses
as well as analyzed PUCT findings, and participated in the settlement
negotiation with PUCT staff.
Revamp Telemarketing and Door-to-Door Sales Channel
Undertaken as part of an ongoing relationship with its client, RCS
helped revamp this client's key sales channels to ensure that resulting sales
would be compliant with PUCT regulations. As part of that effort, RCS
met with operations and marketing staffs to map out existing processes and
identify opportunities for improvement with the goal of ensuring that the final processes
included appropriate quality controls, and would result in efficient enrollment
processing. Since the revamped processes were introduced, complaints related
to these channels have been greatly reduced. On-site vendor reviews were
also performed by RCS as part of this effort.
Provide Sales Channel Launch Support
RCS prepared key training documents for use with sales staff, as well
as reviewed sales materials and scripts. RCS also conducted
training on regulatory requirements as part of this clients launch in the Texas
market. These training sessions allowed staff members to more confidently
respond to customer inquiries during sales calls.
Prepare Regulatory Documents
RCS has prepared the key customer regulatory documents (Terms of
Service, Electricity Facts Label, Your Rights as a Customer) for several
clients. By outsourcing this function, the client could better allocate
its internal resources to other key projects.
Prepare PUCT Complaint Responses
RCS has researched and prepared PUCT complaint responses for filing
with the PUCT which enabled the client company to respond in a timely manner
without using scarce internal resources.
Provide Regulatory Training
RCS provided on-site training for customer service staff members on relevant
PUCT customer protection rules. Such training allowed employees to more
confidently respond to customer inquiries, reduced customer contact times and
multiple staff contacts to address customer concerns.
Participate in REP Application Process
RCS has helped clients by reviewing documents submitted as part of
their REP application as well as meeting with PUCT staff members to address PUCT
concerns and issues with REP applications. Such participation by RCS
provided these clients with regulatory expertise that was lacking internally and
resulted in the granting of their REP certification.
Provide Strategic Guidance on Regulatory Issues
RCS has helped many of its clients by providing strategic regulatory
guidance on a myriad of issues ranging from how to disclose errors to the PUCT
to positioning non-compliance issues with the PUCT. Such guidance has
allowed these clients to appropriately weigh the risks and rewards with various
courses of action with the benefit of a better understanding of the risks from
the PUCT perspective.