Ontario Energy Board

Amendments to the Code of Conduct for Gas Marketers

Part A (December 1, 2016 Amendments)

  1. The Code of Conduct for Gas Marketers is amended by replacing the word “Board”, wherever it appears, except where it is used in the phrases “Ontario Energy Board” or “Ontario Energy Board Act, 1998”, with “OEB”, and by replacing all references to “a Board-approved” with “an OEB-approved”.
  2. Section 1.2 of Part A of the Code of Conduct for Gas Marketers is amended by deleting the definition of “Board” and adding the following definition after the definition of “marketing”:
    “OEB”
    means the Ontario Energy Board;
  3. Section 1.4 of Part A of the Code of Conduct for Gas Marketers is amended by adding the section number “1.4.1” before the words, “Unless otherwise defined in this Code”, and by adding the following new section 1.4.2:

    1.4.2 Nothing in this Code shall be construed as permitting a gas marketer to:

    1. sell or offer to sell gas to a consumer in person at the consumer’s home;
    2. cause a salesperson to sell or offer to sell gas to a consumer in person at the consumer’s home; or
    3. undertake advertising or marketing activities in a manner contrary to the ECPA Regulation.
  4. Section 1.10 of Part A of the Code of Conduct for Gas Marketers is amended by adding the following section 1.10.4:

    1.10.4 The amendments to this Code made by the OEB on December 1, 2016 come into force on January 1, 2017.

  5. Section 1.1 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following paragraphs after paragraph (f):

    (f.1) if marketing to a consumer at residential premises, provide and leave with the consumer such documents as may be approved by the OEB;

    (f.2) not undertake advertising or marketing activities in a manner contrary to the ECPA Regulation;

  6. Section 1 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following new section 1.2:

    1.2 If a consumer asks whether an OEB-approved document referred to in section 1.1(f.1) is available in a language other than English or requests one, the gas marketer shall inform the consumer that the OEB-approved document is available from the OEB in the languages listed on the document.

  7. Section 3 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following new sections 3.2A, 3.2B, 3.2C and 3.2D after section 3.2:

    3.2A A contract with a consumer shall:

    1. include standard contract terms and conditions approved by the OEB; and
    2. not contain any provision that is inconsistent with the OEB-approved standard contract terms and conditions.

    3.2B A gas marketer shall use the OEB-approved standard contract terms and conditions referred to in section 3.2A without alteration or redaction except as expressly contemplated by the OEB-approved standard contract terms and conditions and then only in respect of the information specifically called for by the OEB-approved standard contract terms and conditions.

    3.2C A gas marketer shall ensure that any provision that it includes in a contract in addition to the OEB-approved standard contract terms and conditions referred to in section 3.2A is in plain language.

    3.2D If a consumer asks whether the OEB-approved standard contract terms and conditions referred to in section 3.2A are available in a language other than English or requests them, and if the standard contract terms and conditions are available from the OEB in that language, the gas marketer shall inform the consumer that the OEB-approved standard contract terms and conditions are available from the OEB in other languages.

  8. Section 3.3 of Part B of the Code of Conduct for Gas Marketers is amended by deleting the words “where verification is required” in the section heading and the words “under a contract to which verification applies” in the body of the section.
  9. Section 3.4 of Part B of the Code of Conduct for Gas Marketers (Transfer requests and supply (where verification is not required)) is deleted.
  10. Sections 3.5 to 3.7 of Part B of Code of Conduct for Gas Marketers are renumbered, respectively, 3.4 to 3.6.
  11. The renumbered section 3.5 of the Code of Conduct for Gas Marketers is amended by adding the word “Regulation” after “ECPA” in the last sentence.
  12. Section 4.6 of Part B of the Code of Conduct for Gas Marketers is amended by adding the words “or posted on the OEB’s website with” after “the instructions contained in” in paragraph (a), and by replacing paragraph (b) with:
    1. complete the OEB-approved price comparison template by including details of the gas marketer’s contract price offer and such other information as is required by the instructions contained in or posted on the OEB’s website with the template, and shall do so in accordance with those instructions.
  13. Section 4.11 of Part B of the Code of Conduct for Gas Marketers is amended by replacing paragraphs (a), (b) and (d) with, respectively:
    1. the verification representative shall ensure that the call includes all of the statements and questions set out in the applicable script approved for that purpose by the OEB and that those statements and questions are made and asked in the order set out in the script;
    2. the verification representative shall not deviate from the applicable OEB-approved script except when and as expressly permitted by the terms of the script, or as required to comply with paragraph (e), to provide a factual answer to a question from the consumer or to provide a factual clarification where the consumer has indicated that he or she does not understand a statement made by the verification representative;
    3. the verification representative shall not at any time during the verification call make any statements of a promotional nature about the products, services or business of the gas marketer or make any representation that is inconsistent with or contrary to any of the statements or questions set out in the applicable OEB-approved script;
  14. Section 5.2 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following new sub-paragraphs (vi) and (vii) to paragraph (b), and by renumbering the former sub-paragraphs (vi) to (xiii) as (viii) to (xv), respectively:
    1. any OEB-approved document referred to in section 1.1(f.1);
    2. the OEB-approved standard contract terms and conditions referred to in section 3.2A;
  15. Section 5.3 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following new sub-paragraphs (iii) and (iv) to paragraph (b), and by renumbering the former sub-paragraphs (iii) to (ix) as (v) to (xi), respectively:
    1. any OEB-approved document referred to in section 1.1(f.1);
    2. the OEB-approved standard contract terms and conditions referred to in section 3.2A;
  16. Section 5.4 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following new sub-paragraphs (v) and (vi) to paragraph (b), and by renumbering the former sub-paragraphs (v) to (xi) as (vii) to (xiii), respectively:
    1. any OEB-approved document referred to in section 1.1(f.1);
    2. the OEB-approved standard contract terms and conditions referred to in section 3.2A;
  17. Section 7 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following new sections 7.7, 7.8 and 7.9:

    Gas marketer complaint and compliance information

    7.7 As of a date to be determined by the OEB, a gas marketer shall maintain on its website such information as may be prescribed by the OEB relating to the gas marketer’s performance in relation to complaints and compliance with applicable legal and regulatory requirements. The information shall be posted in the form provided or approved by the OEB, shall be updated as required by the OEB and shall be posted on a separate page on the gas marketer’s website.

    7.8 The gas marketer shall include on the webpage referred to in section 7.7 a prominent link to the page on the OEB’s website designated by the OEB for that purpose that reads: “For more information on our complaint and compliance performance visit the Ontario Energy Board website.”

    7.9 A gas marketer shall include a prominent link to the webpage referred to in section 7.7 on the home page of its website.

  18. Part C of the Code of Conduct for Gas Marketers is deleted.
  19. The following amendments are made to Appendix A to the Code of Conduct for Gas Marketers:
    1. In the definition of “applicable legal and regulatory requirements” in section 1.1 of Part I, the words “Effective ECPA Date” are replaced with “Effective Certification Date”
    2. The definition of “Effective ECPA Date” in section 1.1 of Part I is deleted
    3. The definition of “Effective Certification Date” in section 1.1 of Part I is deleted and replaced with: “‘Effective Certification Date’ means the date on which this Certificate is signed by the Gas Marketer and filed with the OEB”
    4. The definition of “text-based” in section 1.1 of Part I is deleted
    5. In the certificate of compliance in Part II, the following item (A) is added under the heading “1. Salespersons”, and the former items (A) to (E) are renumbered (B) to (F), respectively:

      No salesperson acting on behalf of the Gas Marketer will be remunerated on and after the Effective Certification Date in a manner contrary to any applicable legal and regulatory requirements.

    6. In the certificate of compliance in Part II, item (B) under the heading “2. Sales using a text-based contract” is replaced with the following:

      (B) The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Code of Conduct for Gas Marketers will be used in accordance with all applicable legal and regulatory requirements

    7. In the certificate of compliance in Part II, item (D) under the heading “4. Verification” is replaced with the following:

      Adequate processes and controls, designed to ensure that each verification call made or received by the Gas Marketer’s verification representative on and after the Effective Certification Date (including a call from a consumer for the purpose of giving notice not to verify) is recorded and that a copy of the call recording can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place

    8. In the certificate of compliance in Part II, item (B) under the heading “5. Contract Renewals and Extensions” is replaced with the following:

      The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Code of Conduct for Gas Marketers will be used on an after the Effective Certification Date in accordance with all applicable legal and regulatory requirements

  20. The following amendments are made to Appendix B of the Code of Conduct for Gas Marketers:
    1. The definition of “text-based” in section 1.1 of Part I is deleted
    2. In the certificate of compliance in Part II, the following new item (A) is added under the heading “Salespersons”, and the former items (A) to (E) are renumbered (B) to (F), respectively:

      (A) No salesperson acting on behalf of the Gas Marketer will be remunerated on and after the Effective Certification Date in a manner contrary to any applicable legal and regulatory requirements

    3. In the certificate of compliance in Part II, item (B) under the heading “Sales using a text-based contract” is replaced with the following:

      (B) The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Code of Conduct for Gas Marketers will be used in accordance with all applicable legal and regulatory requirements

    4. In the certificate of compliance in Part II, item (D) under the heading “Verification” is replaced with the following:

      Adequate processes and controls, designed to ensure that each verification call made or received by the Gas Marketer’s verification representative (including a call from a consumer for the purpose of giving notice not to verify) is recorded and that a copy of the call recording can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place

    5. In the certificate of compliance in Part II, item (B) under the heading “Contract Renewals and Extensions” is replaced with the following:

      (B) The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Code of Conduct for Gas Marketers will be used in accordance with all applicable legal and regulatory requirements

    6. In the certificate of compliance in Part II, the headings 9 to 16 are renumbered 1 to 8, respectively.

Part B: March 31, 2017 Amendments (Translation of Consumer Facing Materials)

  1. Section 1.10 of Part A of the Code of Conduct for Gas Marketers is amended by adding the following new section 1.10.5:

    1.10.5 The amendments to this Code made by the OEB on March 31, 2017 come into force on April 18, 2017.

  2. Section 1.2 of Part B of the Code of Conduct for Gas Marketers is deleted and replaced with the following:

    1.2 If a consumer asks whether an OEB-approved document referred to in section 1.1(f.1) is available in a language other than English or requests one, the gas marketer shall inform the consumer that the OEB can make a translation available on request.

  3. Section 3.2D of Part B of the Code of Conduct for Gas Marketers is deleted and replaced with the following:

    3.2D If a consumer asks whether the OEB-approved standard contract terms and conditions referred to in section 3.2A are available in a language other than English or requests them, the gas marketer shall inform the consumer that the OEB can make a translation available on request.

  4. Sections 4.3 and 4.4 of Part B of the Code of Conduct for Gas Marketers are deleted and replaced with the following:

    4.3 If a consumer asks whether an OEB-approved disclosure statement is available in a language other than English or requests one, the gas marketer shall inform the consumer that the OEB can make a translation available on request.

    4.4 If a gas marketer wishes to provide a consumer with an OEB-approved disclosure statement in a language other than English, the gas marketer shall first ascertain whether the disclosure statement is available from the OEB in that language. If the disclosure statement is available from the OEB in that language, the gas marketer may only provide the consumer with the disclosure statement as made available by the OEB. If the disclosure statement is not available from the OEB in that language, the gas marketer may provide the consumer with a translation of the OEB-approved disclosure statement provided that the translation is true, accurate and complete.

Part C: May 18, 2017 Amendments (Online Verification)

  1. Section 4.10 of Part B of the Code of Conduct for Gas Marketers is amended by adding the words “by telephone” after the word “consumer”.
  2. The opening paragraph of section 4.11 of Part B of the Code of Conduct for Gas Marketers is amended by adding the words “by telephone” after the word “consumer”.
  3. Section 4 of Part B of the Code of Conduct for Gas Marketers is amended by adding the following after section 4.11:

    4.11A A gas marketer shall ensure that verification of a contract with a consumer over the internet:

    1. complies with sections 4.11B and 4.11C; and
    2. is conducted through an internet verification website that is secure.

    4.11B The verification of a contract with a consumer over the internet shall comply with the following requirements:

    1. the gas marketer’s verification representative shall send an e-mail to the consumer, to the e-mail address provided by the consumer for internet verification purposes, that complies with paragraph (c) and that contains a link to the internet verification website that meets prevailing and generally-accepted security standards and protocols;
    2. the internet verification website must not be accessible by consumers other than through the link referred to in paragraph (a), and a consumer must not be permitted access to the internet verification website once the verification period prescribed by the ECPA Regulation has expired in relation to that consumer’s contract;
    3. the e-mail referred to in paragraph (a) must comply with the following requirements:
      1. the e-mail may only be sent to the consumer within the verification period prescribed by section 12(3) of the ECPA Regulation that is applicable to the consumer’s contract;
      2. the date and time of communication of the e-mail to the consumer must be verifiable;
      3. the e-mail shall contain the applicable message approved for that purpose by the OEB, without deviation except when and as expressly permitted by the terms of the applicable OEB-approved message, or as required to comply with paragraph (iv) or applicable law; and
      4. the e-mail shall contain contact information for the gas marketer’s verification representative for purposes of making inquiries or reporting technical issues with the internet verification website;
    4. the consumer’s session on the internet verification website must be cancelled in a reasonable period of time if the consumer does not continue the session, and a message to that effect must automatically be displayed on the consumer’s device;
    5. the consumer must be provided with the option to download or print the applicable OEB-approved verification form referred to in paragraph (g) at any time without any obligation to verify the contract;
    6. the internet verification process must include the following functionality:
      1. the consumer must be required to authenticate his or her identity before being able to proceed to the applicable OEB-approved verification form referred to in paragraph (g);
      2. the IP address of the device from which the consumer is undertaking the internet verification process must be recorded and maintained;
      3. the consumer’s responses to questions or statements on the OEB-approved verification form referred to in paragraph (g) must be saved such that the consumer may leave a session on the internet verification website and return to it later without having to start over;
      4. the consumer must be able to return to his or her responses to questions or statements on the OEB-approved verification form referred to in paragraph (g) and change them at any time before completing the form;
      5. the internet verification website must allow the consumer to increase the font size of content on the website; and
      6. the internet verification process must have such additional functionality as may be specified in the instructions on the applicable OEB-approved verification form;
    7. the applicable verification form approved by the OEB must be used, without deviation except when and as expressly permitted by the terms of the applicable OEB-approved verification form, or as required to comply with applicable law;
    8. the internet verification process must be automatically terminated where required by the ECPA Regulation or the applicable OEB-approved verification form, and a termination message must automatically be displayed on the consumer’s device advising the consumer of the reason for the termination in plain language; and
    9. where a consumer completes the applicable OEB-approved verification form, a message must automatically be displayed on the consumer’s device at the time and in accordance with the instructions on the form.

    4.11C A contract with a consumer is not considered verified unless the consumer has provided a response to each question or statement on the OEB-approved verification form referred to in section 4.11B(g) and the message referred to in section 4.11B(i) is displayed.

    4.11D Where a consumer has been sent the e-mail referred to in section 4.11B(a) but has not yet completed the internet verification process, a verification representative may re-send the e-mail to the consumer or otherwise communicate with the consumer with a reminder that the contract has not yet been verified, but may do so no more than once in any seven-day period. Such communication shall not contain any statements of a promotional nature about the products, services or business of the gas marketer or contain any representation that is inconsistent with or contrary to the OEB-approved message referred to in section 4.11B(c) or the applicable OEB-approved verification form referred to in section 4.11B(g).

  4. Section 4.12 of Part B of the Code of Conduct for Gas Marketers is amended by adding the words “or an internet verification process” after the words “verification call”.
  5. Section 5.3(a) of Part B of the Code of Conduct for Gas Marketers is amended by adding the words “or the requirements for internet verification as set out in sections 4.11B to 4.11D, including the OEB-approved message referred to in section 4.11B(c) and the OEB-approved verification form referred to in section 4.11B(g), as applicable to the method of verification that the verification representative will be using” after the words “section 4.11”.
  6. The table in Appendix A of the Code of Conduct for Gas Marketers is amended by adding the following after item (H) under the heading that reads “The channels that the Gas Marketer intends to use for the purpose of marketing gas as of the Effective Certification Date are the following”:
The methods of verification the Gas Marketer intends to use as of the Effective Certification Date are the following: Yes No
(A) Telephone    
(B) Internet    
  1. Section 4 (“Verification”) of the table in Appendix A of the Code of Conduct for Gas Marketers is amended as follows:
    1. item (C) is amended by deleting the word “acting” and replacing it with the words “conducting verification by telephone”;
    2. a new item (C.1) is added after item (C) as follows: “(C.1) All verification representatives conducting internet verification on behalf of the Gas Marketer have been instructed to do so using the e-mail message and verification form approved by the OEB”; and
    3. a new item (D.1) is added after item (D) as follows: “(D.1) Adequate processes and controls, designed to ensure that all communications over the internet between the Gas Marketer’s verification representative and a consumer are recorded and that the record of such communications can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place.”
  2. The table in Appendix B of the Code of Conduct for Gas Marketers is amended by adding the following after item (H) under the heading that reads “The channels that the Gas Marketer intends to use for the purpose of marketing gas as of the Effective Date are the following”:
The methods of verification the Gas Marketer intends to use as of the Effective Date are the following: Yes No
(A) Telephone    
(B) Internet    
  1. Section 4 (“Verification”) of the table in Appendix B of the Code of Conduct for Gas Marketers is amended as follows:
    1. item (C) is amended by deleting the word “acting” and replacing it with the words “conducting verification by telephone”;
    2. a new item (C.1) is added after item (C) as follows: “(C.1) All verification representatives conducting internet verification on behalf of the Gas Marketer have been instructed to do so using the e-mail message and verification form approved by the OEB”; and
    3. a new item (D.1) is added after item (D) as follows: “(D.1) Adequate processes and controls, designed to ensure that all communications over the internet between the Gas Marketer’s verification representative and a consumer are recorded and that the record of such communications can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place.”

(150-G235)

Amendments to the Electricity Retailer Code of Conduct

Part A: December 1, 2016 Amendments

  1. The Electricity Retailer Code of Conduct is amended by replacing the word “Board”, wherever it appears, except where it is used in the phrases “Ontario Energy Board” or “Ontario Energy Board Act, 1998”, with “OEB”, and by replacing all references to “a Board-approved” with “an OEB-approved”.
  2. Section 1.2 of Part A of the Electricity Retailer Code of Conduct is amended by deleting the definition of “Board” and adding the following definition after the definition of “low volume consumer”:
    “OEB”
    means the Ontario Energy Board;
  3. Section 1.4 of Part A of the Electricity Retailer Code of Conduct is amended by adding the section number “1.4.1” before the words, “Unless otherwise defined in this Code”, and by adding the following new section 1.4.2:

    1.4.2 Nothing in this Code shall be construed as permitting a retailer to:

    1. sell or offer to sell electricity to a low volume consumer in person at the consumer’s home;
    2. cause a salesperson to sell or offer to sell electricity to a low volume consumer in person at the consumer’s home; or
    3. undertake advertising or marketing activities in a manner contrary to the ECPA Regulation.
  4. Section 1.10 of Part A of the Electricity Retailer Code of Conduct is amended by adding the following section 1.10.4:

    1.10.4 The amendments to this Code made by the OEB on December 1, 2016 come into force on January 1, 2017.

  5. Section 1.1 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following paragraphs after paragraph (f):

    (f.1) if retailing to a low volume consumer at residential premises, provide and leave with the low volume consumer such documents as may be approved by the OEB;

    (f.2) not undertake advertising or marketing activities in a manner contrary to the ECPA Regulation;

  6. Section 1 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following new section 1.2:

    1.2 If a low volume consumer asks whether an OEB-approved document referred to in section 1.1(f.1) is available in a language other than English or requests one, the retailer shall inform the low volume consumer that the OEB-approved document is available from the OEB in the languages listed on the document.

  7. Section 3 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following new sections 3.2A, 3.2B, 3.2C and 3.2D after section 3.2:

    3.2A A contract with a low volume consumer shall:

    1. include standard contract terms and conditions approved by the OEB; and
    2. not contain any provision that is inconsistent with the OEB-approved standard contract terms and conditions.

    3.2B A retailer shall use the OEB-approved standard contract terms and conditions referred to in section 3.2A without alteration or redaction except as expressly contemplated by the OEB-approved standard contract terms and conditions and then only in respect of the information specifically called for by the OEB-approved standard contract terms and conditions.

    3.2C A retailer shall ensure that any provision that it includes in a contract in addition to the OEB-approved standard contract terms and conditions referred to in section 3.2A is in plain language.

    3.2D If a low volume consumer asks whether the OEB-approved standard contract terms and conditions referred to in section 3.2A are available in a language other than English or requests them, and if the standard contract terms and conditions are available from the OEB in that language, the retailer shall inform the low volume consumer that the OEB-approved standard contract terms and conditions are available from the OEB in other languages.

  8. Section 3.3 of Part B of the Electricity Retailer Code of Conduct is amended by deleting the words “- where verification is required” in the section heading and the words “under a contract to which verification applies” in the body of the section.
  9. Section 3.4 of Part B of the Electricity Retailer Code of Conduct (Transfer requests and supply (low volume consumers – where verification is not required)) is deleted.
  10. Sections 3.5 to 3.9 of Part B of the Electricity Retailer Code of Conduct are renumbered, respectively, 3.4 to 3.8.
  11. The renumbered section 3.8 of the Electricity Retailer Code of Conduct is amended by replacing the reference to “Section 3.8” with “Section 3.7”.
  12. Section 4.6 of Part B of the Electricity Retailer Code of Conduct is amended by adding the words “or posted on the OEB’s website with” after “the instructions contained in” in paragraph (a), and by replacing paragraph (b) with:
    1. complete the OEB-approved price comparison template by including details of the retailer’s contract price offer and such other information as is required by the instructions contained in or posted on the OEB’s website with the template, and shall do so in accordance with those instructions.
  13. Section 4.11 of Part B of the Electricity Retailer Code of Conduct is amended by replacing paragraphs (a), (b) and (d) with, respectively:
    1. the verification representative shall ensure that the call includes all of the statements and questions set out in the applicable script approved for that purpose by the OEB and that those statements and questions are made and asked in the order set out in the script;
    2. the verification representative shall not deviate from the applicable OEB-approved script except when and as expressly permitted by the terms of the script, or as required to comply with paragraph (e), to provide a factual answer to a question from the low volume consumer or to provide a factual clarification where the low volume consumer has indicated that he or she does not understand a statement made by the verification representative;
    3. the verification representative shall not at any time during the verification call make any statements of a promotional nature about the products, services or business of the retailer or make any representation that is inconsistent with or contrary to any of the statements or questions set out in the applicable OEB-approved script;
  14. Section 5.2 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following new sub-paragraphs (vi) and (vii) to paragraph (b), and by renumbering the former sub-paragraphs (vi) to (xiii) as (viii) to (xv), respectively:
    1. any OEB-approved document referred to in section 1.1(f.1);
    2. the OEB-approved standard contract terms and conditions referred to in section 3.2A;
  15. Section 5.3 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following new sub-paragraphs (iii) and (iv) to paragraph (b), and by renumbering the former sub-paragraphs (iii) to (ix) as (v) to (xi), respectively:
    1. any OEB-approved document referred to in section 1.1(f.1);
    2. the OEB-approved standard contract terms and conditions referred to in section 3.2A;
  16. Section 5.4 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following new sub-paragraphs (v) and (vi) to paragraph (b), and by renumbering the former sub-paragraphs (v) to (xi) as (vii) to (xiii), respectively:
    1. any OEB-approved document referred to in section 1.1(f.1);
    2. the OEB-approved standard contract terms and conditions referred to in section 3.2A;
  17. Section 7 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following new sections 7.7, 7.8 and 7.9:

    Retailer complaint and compliance information

    7.7 As of a date to be determined by the OEB, a retailer shall maintain on its website such information as may be prescribed by the OEB relating to the retailer’s performance in relation to complaints and compliance with applicable legal and regulatory requirements pertaining to low volume consumers. The information shall be posted in the form provided or approved by the OEB, shall be updated as required by the OEB and shall be posted on a separate page on the retailer’s website.

    7.8 The retailer shall include on the webpage referred to in section 7.7 a prominent link to the page on the OEB’s website designated by the OEB for that purpose that reads: “For more information on our complaint and compliance performance visit the Ontario Energy Board website.”

    7.9 A retailer shall include a prominent link to the webpage referred to in section 7.7 on the home page of its website.

  18. Section 8.1 of Part B of the Electricity Retailer Code of Conduct is amended by deleting the second comma in the first sentence.
  19. Part C of the Electricity Retailer Code of Conduct is deleted.
  20. The following amendments are made to Appendix A to the Electricity Retailer Code of Conduct:
    1. In the definition of “applicable legal and regulatory requirements” in section 1.1 of Part I, the words “Effective ECPA Date” are replaced with “Effective Certification Date”
    2. The definition of “Effective Certification Date” in section 1.1 of Part I is deleted and replaced with: “‘Effective Certification Date’ means the date on which this Certificate is signed by the Retailer and filed with the OEB”
    3. The definition of “Effective ECPA Date” in section 1.1 of Part I is deleted
    4. The definition of “text-based” in section 1.1 of Part I is deleted
    5. In the certificate of compliance in Part II, the following item (A) is added under the heading “1. Salespersons”, and the former items (A) to (E) are renumbered (B) to (F), respectively:

      No salesperson acting on behalf of the Retailer will be remunerated on and after the Effective Certification Date in a manner contrary to any applicable legal and regulatory requirements.

    6. In the certificate of compliance in Part II, item (B) under the heading “2. Sales using a text-based contract” is replaced with the following:

      (B) The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Electricity Retailer Code of Conduct will be used on an after the Effective Certification Date in accordance with all applicable legal and regulatory requirements

    7. In the certificate of compliance in Part II, item (D) under the heading “4. Verification” is replaced with the following:

      Adequate processes and controls, designed to ensure that each verification call made or received by the Retailer’s verification representative on and after the Effective Certification Date (including a call from a consumer for the purpose of giving notice not to verify) is recorded and that a copy of the call recording can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place

    8. In the certificate of compliance in Part II, item (B) under the heading “5. Contract Renewals and Extensions” is replaced with the following:

      The required disclosure statement, price comparison and any OEB-approved document referred to in section 1.1(f.1) of the OEB’s Electricity Retailer Code of Conduct will be used on an after the Effective Certification Date in accordance with all applicable legal and regulatory requirements

  21. The following amendments are made to Appendix B of the Electricity Retailer Code of Conduct:
    1. The definition of “text-based” in section 1.1 of Part I is deleted
    2. In the certificate of compliance in Part II, the following new item (A) is added under the heading “Salespersons”, and the former items (A) to (E) are renumbered (B) to (F), respectively:

      (A) No salesperson acting on behalf of the Retailer will be remunerated on and after the Effective Certification Date in a manner contrary to any applicable legal and regulatory requirements

    3. In the certificate of compliance in Part II, item (B) under the heading “Sales using a text-based contract” is replaced with the following:

      (B) The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Electricity Retailer Code of Conduct will be used in accordance with all applicable legal and regulatory requirements

    4. In the certificate of compliance in Part II, item (D) under the heading “Verification” is replaced with the following:

      Adequate processes and controls, designed to ensure that each verification call made or received by the Retailer’s verification representative (including a call from a consumer for the purpose of giving notice not to verify) is recorded and that a copy of the call recording can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place

    5. In the certificate of compliance in Part II, item (B) under the heading “Contract Renewals and Extensions” is replaced with the following:

      (B) The required disclosure statement, price comparison and any OEB document referred to in section 1.1(f.1) of the OEB’s Electricity Retailer Code of Conduct will be used in accordance with all applicable legal and regulatory requirements

    6. In the certificate of compliance in Part II, the headings 9 to 16 are renumbered 1 to 8, respectively.

Part B: March 31, 2017 Amendments (Translation of Consumer Facing Materials)

  1. Section 1.10 of Part A of the Electricity Retailer Code of Conduct is amended by adding the following new section 1.10.5:

    1.10.5 The amendments to this Code made by the OEB on March 31, 2017 come into force on April 18, 2017.

  2. Section 1.2 of Part B of the Electricity Retailer Code of Conduct is deleted and replaced with the following:

    1.2 If a low volume consumer asks whether an OEB-approved document referred to in section 1.1(f.1) is available in a language other than English or requests one, the retailer shall inform the low volume consumer that the OEB can make a translation available on request.

  3. Section 3.2D of Part B of the Electricity Retailer Code of Conduct is deleted and replaced with the following:

    3.2D If a low volume consumer asks whether the OEB-approved standard contract terms and conditions referred to in section 3.2A are available in a language other than English or requests them, the retailer shall inform the low volume consumer that the OEB can make a translation available on request.

  4. Sections 4.3 and 4.4 of Part B of the Electricity Retailer Code of Conduct are deleted and replaced with the following:

    4.3 If a low volume consumer asks whether an OEB-approved disclosure statement is available in a language other than English or requests one, the retailer shall inform the low volume consumer that the OEB can make a translation available on request.

    4.4 If a retailer wishes to provide a low volume consumer with an OEB-approved disclosure statement in a language other than English, the retailer shall first ascertain whether the disclosure statement is available from the OEB in that language. If the disclosure statement is available from the OEB in that language, the retailer may only provide the low volume consumer with the disclosure statement as made available by the OEB. If the disclosure statement is not available from the OEB in that language, the retailer may provide the low volume consumer with a translation of the OEB-approved disclosure statement provided that the translation is true, accurate and complete.

Part C: May 18, 2017 Amendments (Online Verification)

  1. Section 4.10 of Part B of the Electricity Retailer Code of Conduct is amended by adding the words “by telephone” after the words “low volume consumer”.
  2. The opening paragraph of section 4.11 of Part B of the Electricity Retailer Code of Conduct is amended by adding the words “by telephone” after the words “low volume consumer”.
  3. Section 4 of Part B of the Electricity Retailer Code of Conduct is amended by adding the following after section 4.11:

    4.11A A retailer shall ensure that verification of a contract with a low volume consumer over the internet:

    1. complies with sections 4.11B and 4.11C; and
    2. is conducted through an internet verification website that is secure.

    4.11B The verification of a contract with a low volume consumer over the internet shall comply with the following requirements:

    1. the retailer’s verification representative shall send an e-mail to the consumer, to the e-mail address provided by the consumer for internet verification purposes, that complies with paragraph (c) and that contains a link to the internet verification website that meets prevailing and generally-accepted security standards and protocols;
    2. the internet verification website must not be accessible by consumers other than through the link referred to in paragraph (a), and a consumer must not be permitted access to the internet verification website once the verification period prescribed by the ECPA Regulation has expired in relation to that consumer’s contract;
    3. the e-mail referred to in paragraph (a) must comply with the following requirements:
      1. the e-mail may only be sent to the consumer within the verification period prescribed by section 12(3) of the ECPA Regulation that is applicable to the consumer’s contract;
      2. the date and time of communication of the e-mail to the consumer must be verifiable;
      3. the e-mail shall contain the applicable message approved for that purpose by the OEB, without deviation except when and as expressly permitted by the terms of the applicable OEB-approved message, or as required to comply with paragraph (iv) or applicable law; and
      4. the e-mail shall contain contact information for the retailer’s verification representative for purposes of making inquiries or reporting technical issues with the internet verification website;
    4. the consumer’s session on the internet verification website must be cancelled in a reasonable period of time if the consumer does not continue the session, and a message to that effect must automatically be displayed on the consumer’s device;
    5. the consumer must be provided with the option to download or print the applicable OEB-approved verification form referred to in paragraph (g) at any time without any obligation to verify the contract;
    6. the internet verification process must include the following functionality:
      1. the consumer must be required to authenticate his or her identity before being able to proceed to the applicable OEB-approved verification form referred to in paragraph (g);
      2. the IP address of the device from which the consumer is undertaking the internet verification process must be recorded and maintained;
      3. the consumer’s responses to questions or statements on the OEB-approved verification form referred to in paragraph (g) must be saved such that the consumer may leave a session on the internet verification website and return to it later without having to start over;
      4. the consumer must be able to return to his or her responses to questions or statements on the OEB-approved verification form referred to in paragraph (g) and change them at any time before completing the form;
      5. the internet verification website must allow the consumer to increase the font size of content on the website; and
      6. the internet verification process must have such additional functionality as may be specified in the instructions on the applicable OEB-approved verification form;
    7. the applicable verification form approved by the OEB must be used, without deviation except when and as expressly permitted by the terms of the applicable OEB-approved verification form, or as required to comply with applicable law;
    8. the internet verification process must be automatically terminated where required by the ECPA Regulation or the applicable OEB-approved verification form, and a termination message must automatically be displayed on the consumer’s device advising the consumer of the reason for the termination in plain language; and
    9. where a consumer completes the applicable OEB-approved verification form, a message must automatically be displayed on the consumer’s device at the time and in accordance with the instructions on the form.

    4.11C A contract with a consumer is not considered verified unless the consumer has provided a response to each question or statement on the OEB-approved verification form referred to in section 4.11B(g) and the message referred to in section 4.11B(i) is displayed.

    4.11D Where a consumer has been sent the e-mail referred to in section 4.11B(a) but has not yet completed the internet verification process, a verification representative may re-send the e-mail to the consumer or otherwise communicate with the consumer with a reminder that the contract has not yet been verified, but may do so no more than once in any seven-day period. Such communication shall not contain any statements of a promotional nature about the products, services or business of the retailer or contain any representation that is inconsistent with or contrary to the OEB-approved message referred to in section 4.11B(c) or the applicable OEB-approved verification form referred to in section 4.11B(g).

  4. Section 4.12 of Part B of the Electricity Retailer Code of Conduct is amended by adding the words “or an internet verification process” after the words “verification call”.
  5. Section 5.3(a) of Part B of the Electricity Retailer Code of Conduct is amended by adding the words “or the requirements for internet verification as set out in sections 4.11B to 4.11D, including the OEB-approved message referred to in section 4.11B(c) and the OEB-approved verification form referred to in section 4.11B(g), as applicable to the method of verification that the verification representative will be using” after the words “section 4.11”.
  6. The table in Appendix A of the Electricity Retailer Code of Conduct is amended by adding the following after item (H) under the heading that reads “The channels that the Retailer intends to use for the purpose of retailing electricity as of the Effective Certification Date are the following”:
The methods of verification the Retailer intends to use as of the Effective Certification Date are the following: Yes No
(A) Telephone    
(B) Internet    
  1. Section 4 (“Verification”) of the table in Appendix A of the Electricity Retailer Code of Conduct is amended as follows:
    1. item (C) is amended by deleting the word “acting” and replacing it with the words “conducting verification by telephone”;
    2. a new item (C.1) is added after item (C) as follows: “(C.1) All verification representatives conducting internet verification on behalf of the Retailer have been instructed to do so using the e-mail message and verification form approved by the OEB”; and
    3. a new item (D.1) is added after item (D) as follows: “(D.1) Adequate processes and controls, designed to ensure that all communications over the internet between the Retailer’s verification representative and a consumer are recorded and that the record of such communications can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place.”
  2. The table in Appendix B of the Electricity Retailer Code of Conduct is amended by adding the following after item (H) under the heading that reads “The channels that the Retailer intends to use for the purpose of retailing electricity as of the Effective Date are the following”:
The methods of verification the Retailer intends to use as of the Effective Date are the following: Yes No
(A) Telephone    
(B) Internet    
  1. Section 4 (“Verification”) of the table in Appendix B of the Electricity Retailer Code of Conduct is amended as follows:
    1. item (C) is amended by deleting the word “acting” and replacing it with the words “conducting verification by telephone”;
    2. a new item (C.1) is added after item (C) as follows: “(C.1) All verification representatives conducting internet verification on behalf of the Retailer have been instructed to do so using the e-mail message and verification form approved by the OEB”; and
    3. a new item (D.1) is added after item (D) as follows: “(D.1) Adequate processes and controls, designed to ensure that all communications over the internet between the Retailer’s verification representative and a consumer are recorded and that the record of such communications can be retrieved and provided to the consumer upon request in accordance with all applicable legal and regulatory requirements, are in place.”

(150-G236)