E.ON Broker Portal

Due Diligence Questionnaire for TPIs

This information is to assist E.ON Energy Solutions Ltd on the suitability of conducting business with your company.

This application includes E.ON carrying out a credit check which involves obtaining data from external agencies. To do this E.ON will check our own records and records held with credit reference and fraud prevention agencies. The credit reference agency may register a record of this search, which may be seen by other lenders. We may also provide your payment performance details to our credit reference agency.

To avoid unnecessary delays to your applications please ensure all sections are completed in full.

Company Information
TPI Code of Practice
References
Declaration and Credit Check
Signatures

Key contact at the company

Title:

First Name(s):

Surname:

Job Title:

Business Address Line 1: Business Address Line 2:

Postcode:

Business Phone No.(inc. STD code):

Fax No.(inc. STD code):

Business Email Address:

Company Website Address

Section 1: Company Information

Company Name:

Main Registered Office

Address Line 1: Address Line 2: Postcode:

Additional Registered Office

Address Line 1: Address Line 2: Postcode:

Company Reg Number and Directors

Company Registration No. (Where Applicable): Name of Director(s):

If you are a Sole trader or Non Ltd company please provide proprietors full name and address details including postcode for a blended credit check. If your accounts are not made up; please provide the Directors home address for credit check

Proprietors/Directors Name & Address:

Does the company use any other trading names or corporate names as well as the name given in Company Name section above?

Multiple Trading/Corporate names: Yes
No

If Yes, please provide details:

Name	Reason for different name	Date name became effective (dd/mm/yyyy)

Does the company currently have a Supply Licence or is planning on applying for a Supply Licence in the future?

Supply Licence: Yes
No If Yes, please provide details:

Please confirm the number of years experience the company has of selling in the utility market?

Years experience trading:

Are your accounts availables from Companies House?

Companies House lookup: Yes
No If No, please explain why:

Please confirm what associations you have with any other organisations and suppliers in the utility market. (Answer to include previous and current associations). Please also include details if you owned, directed or managed another brokerage or consultancy firm.

Details of association(s) and other managements:

Please confirm if you use other Third Party Intermediaries to submit contracts or "Sub-Brokers" who sell contracts

Use of other TPI Intermediaries: Yes
No

If Yes, please provide details:

TPI Business Name	Director(s) Name(s)	Contact Name	Telephone Number

Note: Listed TPI’s or "Sub-brokers" will not be credit checked. However, prior to any agreement, E.ON may ask you to provide a copy of your Credit Policy to minimise risk where possible.

Legal status of the company

Company Type: Public Limited CompanyLimited CompanySole TraderLimited Liability PartnershipPartnership

Please complete the below questions

If the answer to any of the questions 1 to 9 is yes, please give a full explanation of the events in question below ensuring that you include:

the question number the event refers to;
the date of the event;
any amounts involved;
the outcome; and
an explanation of the circumstances.

1. Has the company ever been presented with a petition for bankruptcy or compulsory winding up?: Yes
No

2. Has the company ever had a receiver or administrator appointed, failed to satisfy a debt adjudged due, or come to a compromise or similar arrangement over a debt with any of its creditors? Yes
No

3. Has the company ever been the subject of a corporate restructuring, whether as a result of any form of insolvency or otherwise? Yes
No

4. Has the company ever been the subject of any criminal investigations or proceedings? Yes
No

5. Has the company ever been the subject of any civil investigations or proceedings in the last five years? Yes
No

6. Does the company have any unsatisfied judgements, debts or awards outstanding against it? Yes
No

7. Does the company have any material written complaints made against it by its clients or former clients in the last five years which it has accepted, or which are awaiting determination by, or have been upheld by an ombudsman or complaints scheme? This includes any complaints arisen through a regulatory body Yes
No

8. Has the company ever been refused or had revoked, any licence, membership, authorisation, registration or other permission granted by a financial services regulator in the U.K. or overseas? Yes
No

9. Has the company ever, after making an application to a regulatory body (including voluntary regulators such as General Insurance Standards Council) decided not to proceed with it? See list below Yes
No

Section 2: The TPI Code of Practice

Third Parties

If applicable, what is your screening and selection process for third parties?

Recruitment

What is your recruitment process? Please include details of References/ CRB checks / employment and training history. (if you are not planning to recruit please give details if you were to in the future)

Training

Please describe your full training process including induction, assessment and process for updating training when required, in line with the latest changes i.e. industry regulation

Staff Records

How are staff records kept secure and up to date?

Sales Material

Do you plan to send materials to clients that (aside from prices) include promotional sales information relating to E.ON? If yes, who supplies this and what measures are in place to keep them up to date?

How do you ensure all quotes provided to clients (written or verbal) are: based on the most up to date information from the supplier?

based on the most up to date information from the client (and make this clear when quoting)

explained how it’s been calculated

include all principal terms provided by the supplier

Responsible Selling

Do you have full call recording facility? If not please confirm how sales/contracts are agreed?

What is your process for keeping records of quotes provided to clients?

Relevant Laws and Regulations

Please provide a list of the utility industry regulations you are aware of and comply with.

Data Protection

What is your process for making clients aware of the Data Protection Act 1998 and gaining consent for their details to be handled by you and E.ON?

What is your ICO registration number?

Please describe your document retention policy i.e. secure storage including destruction methods and how long documents are kept.

How do you process and monitor marketing consent or declines provided by clients?

If outbound calling clients, is your data screened by TPS, CTPS and or MPS?

Change of Tenancy

How do you gather evidence to determine if a COT is genuine and how is this information retained?

Supply Contracts and Submission

What forms of contracts do you accept? i.e. verbal /F2F/electronic

Please explain the security measures you have in place for ensuring client information is submitted securely to E.ON

Customer Contracts and Consent

Please describe your LOA process in full, including how this is presented to the client and agreed, at what point and at what level.

Sales Commission

How do you inform your clients about commission?

Complaints

Please describe your complaints procedure in full including how you communicate this to your clients, escalation procedures, SLA’s and timescales and how complaints are recorded.

What is the training process for ensuring all employees and representatives (including any third parties) are fully trained on the complaints and escalation procedures?

How do you log complaints and track these to resolution in line to agreed SLAs?

System and Controls

What controls and systems are in place for making sure representatives comply with this Code?

Roles and Responsibilities Systems and controls

Please describe the security measures you employ. How would you ensure all staff and third parties are aware of the Code Of Practice?

How would you make clients aware of the Code of Practice?

Section 3: Sales volumes and services

What is your route to market? (Inbound / outbound / field etc.)

What average monthly sales do you currently achieve? Please detail electricity profile classes and maximum gas AQ.

What is the size of your client base? Please provide details for electricity and gas

What additional services do you offer (if any)?

Section 4: References

Please provide 2 references (cannot be E.ON representatives):

Company Name	Contact Name	Telephone Number

Section 5: Declaration and Credit Check

By signing this application, I give consent to these details being used to carry out a credit check, determining the credit rating and credit limit for

This consent also gives E.ON the right to carry out further credit checks while your company is still under Agreement with us, by checking this box, you confirm that you give E.ON permission to perform a credit check.

I confirm that E.ON can perform a credit check.