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Client Projects

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.

 

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Copyright 2012 Regulatory Compliance Services
Last modified: February 10, 2012

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