Policy Suite Pre-Audit Checklist — 38 Checkpoints Across All 11 Policy Areas

38 checkpoints across all 11 policy areas — keyed to Appendix 2 of the 13 January 2026 Ofgem authorisation conditions decision

Before you begin producing compliance policy documents, you need to know what the framework actually requires. This pre-audit checklist covers 38 high-leverage checkpoints across 11 policy areas — the ones that most often distinguish operators who pass a documentation review from those who do not.

What the checklist covers

The checklist is organised by the 11 policy areas of the HNC Policy Suite, each mapped to the applicable Authorisation Conditions. For each area it identifies the checkpoints that carry the greatest compliance weight: not the easiest items to tick, but the ones Ofgem and the Energy Ombudsman will reach for first.

Policy area	Conditions	Checkpoints
Debt handling	A3 / A7 / B9 / B10	4
Vulnerability and the Priority Services Register	A3 / B8	4
Complaints handling	A3 / B4	4
Prepayment meters and self-disconnection	A3 / B10 / B11	4
Disconnection and supply restriction	A3 / B9	3
Pricing, tariffs and variation	A3 / A6 / B3	4
Metering and billing	A3 / B2 / B6 / B7	4
Standards of conduct and customer service	A3 / B1 / C1	3
Information provision and customer-facing documentation	A3 / A5 / B2 / B3	3
Policy governance and AC mapping	A8 / A9	3
Operational, reporting and financial resilience obligations	A14 / C2	2
Total		38

Five final-framework checks against the 13 January 2026 decision

Use B9's final title: Security Deposits, Payment Difficulties, Disconnections and Direct Debits
Apply the final B10 and A3 Explicit Consent rules, including qualifying recorded verbal consent
Apply A12's final principles-based continuity objective and relevant-interest requirements
Apply the final A6 and A7 scope exclusions for Industrial Heat Networks and Self-Supply Networks
Use the final A4 registration information requirements and current Appendix 2 numbering

The checklist is formatted as a working document. Each checkpoint states the requirement in plain terms, the relevant condition reference, and what adequate evidence of compliance looks like. It is designed to be used by the operator or their adviser before beginning the policy drafting process — not as a substitute for the full Policy Suite, but as a diagnostic to establish which gaps require the most urgent attention.

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Download: Policy Suite Pre-Audit Checklist (PDF)

The pre-audit checklist is a free standalone resource covering 38 checkpoints across all 11 policy areas. Operator-specific compliance documentation is available through the HNC Platform.