Sunnova Dealer Compliance Questionnaire
Business Development Manager
Please Select
alex.atmore@sunnova.com
Bob.Haley@sunnova.com
brittany.white@sunnova.com
anthony.gardner@sunnova.com
gregory.burns@sunnova.com
Enter your Sunnova contact so they are notified once you submit your application.
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Part 1: Company Information
Company Name
Please provide your organization's legal name (as shown on your income tax return or W-9).
Please specify your organization's classification. Please select all that apply.
Small Business (Self Certification Category)
Woman-Owned Small Business (Self Certification Category)
Economically Disadvantaged Woman-Owned Small Business (Must be certified by Federal/State Government or by an SBA approved third party certifying agency)
Small Disadvantaged Business (Self Certification Category)
8(a) - SBA Certified (Must be certified by SBA as an 8(a))
Hubzone Small Business (Must be certified by SBA as a hubzone business)
Veteran-Owned Small Business (Self Certification Category)
Alaska Native Corporation (ANC)
Service-Disabled Veteran-Owned Small Business (Self Certification Category)
Minority-Owned Business (NMSDC or other third party certification)
Woman-Owned Business (WBENC or other third party certification)
None of the above
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Part 2: Licenses, Permits, Registrations, Policies
1. Please specify whether your organization performs door-to-door sales in the states in which it does business.
Yes
No
1.1. Please specify whether your organization contractually requires its W-2 or 1099 workers to obtain solicitor/peddler permits to perform Door-to-Door sales, when required by state or local jurisdictions.
Yes
No
2. Please specify whether your organization performs Inbound Telemarketing (e.g. potential customer initiates first point of contact via a lead generation form or other marketing campaign).
Yes
No
2.1 Please specify whether your organization's lead generation form/marketing campaign captures the potential customer’s consent to be contacted (see sample language below).
Please Select
Yes
No
By clicking on "request a callback" button below, I authorize Sunnova and/or its dealers to call and/or text me about its products at the number I entered above, using an automatic dialing system, even if I am on a ""Do Not Call"" list. Msg/data rates may apply. Consent here is not a condition of purchase. For more information about how we collect and use personal information, please read our privacy policy.
3. Please specify whether your organization performs or subcontracts Outbound Telemarketing (e.g. making calls to individuals on a customer list that have not consented to be contacted by your organization or subcontractor).
Yes
No
3.1. Please provide a copy of each state's Telemarketing Registration for your organization or your subcontractor.
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Note that this is in addition to Federal and State Wireless DNC scrubbing procedures.
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3.2. Please summarize your organization's Telephone Consumer Protection Act (TCPA) compliance program.
Please touch on the following topics: 1. Calling time restrictions; 2. Use of Automatic Telephone Dialing Systems; 3. Use of artificial voice and prerecorded messages restrictions; 4. Identification requirements; 5. Internal Do Not Call (DNC) list; and, 6. National/State Do Not Call registries.
3.3. Please provide a copy of the written Do-Not-Call Policy for your organization or your subcontractor. A copy of the written Do-Not-Call Policy will be required in order to complete the onboarding process.
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For context, please see the "Do Not Call Safe Harbor" section on the FTC page, titled Complying with the Telemarketing Sales Rule, https://www.ftc.gov/tips-advice/business-center/guidance/complying-telemarketing-sales-rule#safeharbor
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4. Please specify whether your organization performs or subcontracts Email Marketing (e.g. sending commercial messages to individuals on a customer list).
Yes
No
4.1. Please summarize your organization's Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN-SPAM) compliance program.
Please touch on how your organization complies with the following CAN-SPAM requirements: 1. Don't use false or misleading header information; 2. Don't use deceptive subject lines; 3. Identify the message as an ad; 4. Tell recipients where you're located; 5. Tell recipients how to opt out of receiving future email from you; 6. Honor opt-out requests promptly; and 7. Monitor what others are doing on your behalf. For context, please see the FTC page, titled CAN-SPAM Act: A Compliance Guide for Business, https://www.ftc.gov/tips-advice/business-center/guidance/can-spam-act-compliance-guide-business.
5. Please specify whether your organization has policies and procedures to comply with State and Federal consumer protection legislation against unfair or deceptive acts or practices (UDAP) in advertising claims, marketing and promotional activities, and sales practices in general.
Yes
No
5.1.1. Briefly describe any applicable policies.
5.1.2. Attach any applicable policies.
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6. Does your organization perform installation work utilizing W2 employees?
Yes
No
6.1. Please provide a copy of all applicable licenses to perform such installation work or a document that provides the following information: State; License Type; License Number; License Holder; and Expiration Date.
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Please upload the document(s) containing the requested questions regarding your license(s).
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Part 3: Subcontractors
1. Please specify whether your organization utilizes subcontractors to perform any aspect of the work (sales, installation, other work)? For the purposes of this question, 1099 workers would be included in the definition of 'Subcontractor'.
Yes
No
1.1. Please select the following activities that are performed as a part of your organization's subcontractor onboarding and ongoing monitoring risk management program. Please select all that apply.
Contractual Relationship
Confidentiality and/or Non Disclosure Agreement requirements
Financial Review
Verification of Licenses
Verification of Insurance
Reputational Review
Risk Assessments or Review
Compliance Checks (e.g., Office of Foreign Assets Controls (OFAC), etc.)
Security review prior to engaging their services (logical, physical, other controls)
Defined procedures for subcontractor management
Management of subcontractor risk, compliance and performance, at least annually
Notification of new or change in subcontractors
Security review at least annually
Defined risk assessment and classification method for subcontractors
Ability and right to audit controls
Oversight and governance of program adherence
Notification of changes affecting services rendered
1.1.1. If your organization has a subcontractor risk management document, please upload it here.
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1.2. Please provide your organization's list of subcontractors. The list should include the following items: Subcontractor legal name and reference numbers for all applicable licenses they hold.
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You are not required to provide a list of your 1099 workers.
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1.3.1. Does your organization's list of subcontractors carry all appropriate insurance to perform the work?
Yes
No
1.3.2. If you have your subcontractor insurance documents, please upload them here.
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Part 4: Reputational Information and Complaint Management Process
1. Please specify whether your organization has an active profile on any of the following online platforms. Please select all that apply.
Better Business Bureau (BBB)
SolarReviews
Energy Sage
Yelp
Home Advisor
Trust Pilot
Google
No active profile on any online platform
Other
2. Please provide an overall assessment of your organization's online reviews across all applicable platforms.
No positive or negative reviews on any platform
Less than 25 reviews and less than 75% positive
Less than 25 reviews and more than 75% positive
More than 25 reviews and less than 75% positive
More than 25 reviews and more than 75% positive
3. Please specify whether your organization has a formal or informal customer complaint management program or set of processes to handle customer complaints received directly or indirectly (i.e. Better Business Bureau - www.bbb.org or other online platforms).
Yes
No
3.0. Your organization's formal or informal complaint management program is a key due diligence item. Do you confirm that your organization DOES NOT have a formal or informal customer complaint management program or set of processes to handle customer complaints received directly or indirectly?
Yes
No
3.1 Please briefly describe your formal or informal customer complaint management program.
3.2 Are complaints routed, handled, and reported appropriately and in a timely manner?
Yes
No
3.3 Is there analysis performed to identify and resolve similar complaints consistently?
Yes
No
3.4 Are policies and procedures in place to review complaints and eliminate the potential for reoccurrence?
Yes
No
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Part 5: Compliance with Laws
1. Please specify whether in the past eight years, you, any predecessor or affiliated entity, or any of the owners, shareholders, directors, members, partners, officers, or employees, have been the subject of an investigation for wrongdoing or a government investigation or enforcement action relating to licensing or registrations for your organization.
Yes
No
1.1. Please provide a short explanatory summary.
2. Please specify whether in the past eight years, the organization and/or any beneficial owner of the organization, have been arrested, charged with, or convicted (or entered a plea of nolo contendere) of a felony or criminal offense.
Yes
No
2.1. Please provide a short explanatory summary.
3. Please specify whether there are any pending judgments, liens or claims, or have any judgments, liens or claims been filed against the organization and/or any beneficial owner of the organization.
Yes
No
3.1. Please provide a short explanatory summary.
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Part 6: Regulatory Compliance
1. Please specify whether your organization has a dedicated Legal and/or Compliance Counsel.
Yes
No
1.1. Please specify the name of your organization's Legal and/or Compliance Counsel.
2. Please specify whether your organization has individuals responsible for compliance related matters and/or a chief compliance officer.
Yes
No
2.1. Please specify the individuals who are responsible for compliance related matters or the chief compliance officers.
2.2. Please specify whether the responsible individuals and/or chief compliance officer's compliance monitoring role is independent from the business units.
Yes
No
3. Please specify whether your organization has a process for the identification of new regulatory requirements, changes in requirements, and planning for implementation to meet those requirements.
Yes
No
4. Please specify whether your organization performs a compliance audit administered by a third party or internal personnel. Please select all that apply.
No compliance audit
Audit administered by third party
Audit administered by internal personnel
5. Please specify whether your organization has written ethics and compliance policies or documents that include ethics and compliance (e.g., Employee Handbook and/or contract with 1099 workers that includes an ethics section).
Yes
No
5.0. Your organization's written ethics and compliance policies are a key due diligence item. Do you confirm that your organization DOES NOT have written ethics and compliance policies or documents that include ethics and compliance (e.g., Employee Handbook and/or contract with 1099 workers that includes an ethics section)?
Yes
No
5.1.1. Briefly describe any applicable policies.
5.1.2. Attach any applicable policies or documents (e.g., Employee Handbook, etc.)
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5.2 Do employees certify that they have received, read and understood these policies?
Yes
No
5.3 Do you train your employees on how to identify and report potential violations of your organization's ethics and compliance standards?
Yes
No
5.4 Do you periodically assess the effectiveness of your ethics and compliance initiatives?
Yes
No
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Part 7: Information Security
1. Please specify whether your organization stores, processes, transmits, or accesses confidential information provided by your customers (i.e. customer name, customer phone number, customer address, and/or other personal information).
Please Select
Yes
No
For a complete list of personal information, please view our Privacy Policy at https://www.sunnova.com/legal/privacy-policy
2. Please specify whether your organization allows subcontractors, partners, joint ventures, or other counter parties to store, process, transmit, or access confidential information provided by your customers.
Yes
No
3. Does your organization have customer verification procedures to reduce the risks of disclosing customer information to a pretext caller (an individual posing as a customer or someone authorized to have customer information in order to obtain confidential customer data)?
Yes
No
4. Does your organization have controls in place to prohibit unathorized use or sharing of customer information (e.g. database controls that prevent the unauthorized download and sharing of customer data)?
Yes
No
5. Please specify whether your organization has an incident response policy or process in the event customer information has been either used or shared without authorization.
Yes
No
5.1. Please identify who is ultimately notified of incidents. Please select all that apply.
Executive Management
Customers, if impacted
Regulators, if applicable
Law Enforcement, if applicable
Other
6. Please specify the type of criminal checks you perform on your W-2 and/or 1099 workers. Please select all that apply.
Identity verification
Social Security Number verification
Drug testing
Prior work history verification
Address verification
Professional licensing checks
Local/county criminal background checks
State/province criminal background checks
Federal/national criminal background checks
Criminal background checks dating back to the date the worker reached the age of majority
Sex offender registry checks
Terrorist watchlist checks
OFAC checks
None - Background checks not performed
Other
7. Please specify whether you provide information security awareness training to help promote proper selection and use of passwords, safe Internet browsing habits, and ethical e-mail practices.
Yes
No
8. Please specify whether your organization plans to allow the use of shared/group account credentials that would allow multiple individuals to access a single account in the Sunnova Dealer Portal.
Yes
No
8.0. Sunnova strictly forbids shared/group account credentials and has implemented a two-factor authentication for the login into the Dealer Portal. Do you confirm that your organization plans to allow the use of shared/group account credentials that would allow multiple individuals to access a single account in the Sunnova Dealer Portal?
Yes
No
9. In the event you terminate a W-2 or 1099 worker, please specify whether you terminate their access to your business systems within 24 hours of such termination.
Yes
No
10. In the event you terminate W-2 or 1099 worker, please specify whether you require them to return customer information and information processing assets (e.g. phones, tablets, computers, etc.) upon such termination.
Yes
No
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Part 8: Certification and Acknowledgment
Your Online Interview is now ready to be certified. To complete this interview, please provide the following information about the responsible party who has the authority to certify the information on behalf of the organization.
Name of the responsible party.
Title/position of the responsible party.
Email of the responsible party.
I, as the responsible party, certify and acknowledge that the information provided in this interview is true and accurate.
Acknowledgment Date
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Month
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Day
Year
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