UIA - Utilities Intermediaries Association

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Code of Practice

ABRIDGED

(Revised October 2009)
THE DISPLAYING OF THIS SYMBOL ON A UIA MEMBERS PUBLICITY INDICATES THAT THE ORGANISATION HAS AGREED TO ADHERE TO THE CODE OF PRACTICE OF WHICH THIS IS AN EXTRACT.
"The Utilities Intermediary Association (UIA) is an organisation set up to further the standard, status and credibility of Brokers and Consultants and, where appropriate, individuals, who play a major part in the Utilities Sector of the market in particular the energy market. Full Membership of the UIA can only be gained by agreeing to adhere to the Articles of Association and to the principles and Codes of Practice included here and as amended from time to time."
The UIA will publish the full Code of Practice on their web-site and make available as required
The UIA will maintain a disciplinary process that will enable a Full Member's client to obtain redress
Full Members of the UIA will not act in a way that brings the UIA, their organisation or themselves into disrepute and should demonstrate openess, clarity and truthfulness in their dealings with clients.
Members of the UIA should always obtain a letter of authority from a client, be aware of industry timescales, appreciate suppliers' operational needs and understand the implications of hurried price seeking.
Full Members of the UIA will treat client data in a confidential manner at all times.
Full Members of the UIA must issue to the client an agreement or contract that indicates what the Member will do for the Client. This document must include the following:
1. The named parties.
2. Both start date and the end date if appropriate or clarity that it is an evergreen arrangement
3. Any cancellation conditions as appropriate
4. Any termination conditions as appropriate
5. A Signatory must indicate if he is working on behalf of a single supplier or sourcing prices from as many suppliers as possible
6. The factors used to reach a recommendation for the client i.e. lowest offer
7. The origin of all considerations i.e. Rebates or fees
8. The services that will be delivered
9. How data will be managed and protected
10. The process for raising contractual issues
11. How complaints from either side will be handled
a) In addition the following items should be considered for inclusion in a contract or agreement as appropriate.
a) What post contract service is included
b) How items of ethics and integrity will be handled
c) The process for closing the contract and any return / handover issues
b) Where the possibility that older or vulnerable customers are caught by any contract then provision for dealing appropriately must be in place.
c) Detail of the client's energy usage and any planned changes.
d) The provision and timeliness of the payment of invoices relating to the contract or agreement with the client
e) What the process will be for the checking of invoices and payment terms
f) The arrangements for the payment of correctly rendered invoices on behalf of clients (where applicable) and the agreed terms and conditions.
A Member of the UIA will not prevent a client from speaking to his supplier
A Member of the UIA will deal with contractual and/or Code of Practice complaints from clients in a timely manner and will acknowledge receipt of complaint within 5 working days giving a likely date for resolution.
If a client is unable to obtain satisfactory resolution to his complaint he can then refer such complaint to the UIA by making the complaint in writing to: The UIA Board, P.O. Box 355, Tunbridge Wells, TN2 9ED
THE UIA will deal with such complaints through their disciplinary procedure and any proven misconduct will lead to one of the following penalties:
1. Written reprimand from the UIA with recommendations / suggestions on how to prevent reoccurrence
2. A written apology to the complainant by the member
3. A payment to be made to the client by way of recompense for inconvenience caused. (This would be awarded by an independent panel)
4. A mandatory period of training to be undertaken
5. The return of all or a portion of the fees to the client
6. A fine
7. Suspension or expulsion from the UIA

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