1. (1) Certification. Any person required by 225 CMR 21.00 to submit documentation to the Department shall provide:

   1. (a) the person's name, title and business address;
   2. (b) the person's authority to certify and submit the documentation to the Department; and
   3. (c) the following certification: "I hereby certify, under the pains and penalties of perjury, that I have personally examined and am familiar with the information submitted herein and based upon my inquiry of those individuals immediately responsible for obtaining the information, I believe that the information is true, accurate, and complete. I am aware that there are significant penalties, both civil and criminal, for submitting false information, including possible fines and imprisonment."

2. (2) Annual Clean Peak Resource Report. The Department shall produce and make available to the public an annual report that summarizes information submitted to the Department by Retail Electricity Suppliers in the Annual Compliance Filings submitted to the Department pursuant to 225 CMR 21.09(2). Such report shall include nonconfidential data that provides the following:

   1. (a) the extent to which the Retail Electric Suppliers complied with the CPS Minimum Standard; and
   2. (b) the extent to which the Retail Electric Suppliers used standard compliance, banked compliance, and alternative compliance in meeting the Minimum Standards.
3. (3) Identification of Clean Peak Resources. The Department shall inform the NEPOOL GIS administrator which resources should be designated as Clean Peak Resources pursuant to 225 CMR 2 1 .00.

2 1 . 1 1 : Inspection

( 1 ) Document Inspection. The Department may audit the accuracy of all information submitted pursuant to 225 CMR 2 1 .00. The Department may request and obtain from any Owner, Operator, or Authorized Agent of a Clean Peak Resource, including Aggregations, and from any Retail Electricity Supplier information that the Department determines necessary to monitor compliance with and enforcement of 225 CMR 2 1 .00.

1. (2) Audit and Site Inspection. Upon reasonable notice to a Retail Electricity Supplier or to a Clean Peak Resource Owner, Operator, or Authorized Agent, the Department may conduct audits, which may include inspection and copying of records and/or site visits to an Clean Peak Resource or a Retail Electricity Supplier's facilities including, but not limited to, all files and documents that the Department determines are related to compliance with 225 CMR 2 1 .00.

2 1 . 12: Noncompliance

Any Retail Electricity Supplier or Owner, Operator, or Authorized Agent of a Clean Peak Resource or Aggregation that fails to comply with the requirements of225 CMR 2 1 .00 shall be subj ect to the provisions in 225 CMR 2 1 . 12(1) through (4).

( 1 ) Notice of Noncompliance. A failure to comply with the requirements of 225 CMR 2 1 .00 shall be determined by the Department. A written Notice of Noncompliance shall be prepared and delivered by the Department to any Retail Electricity Supplier or Owner, Operator, or Authorized Agent of a Clean Peak Resource or Aggregation that fails to comply with the requirements of 225 CMR 2 1 .00. The Notice of Noncompliance shall describe the Requirement(s) with which the Retail Electricity Supplier, Owner, Operator, or Authorized Agent failed to comply and the time period of such noncompliance.

1. (2) Publication of Notice of Noncompliance. A Notice of Noncompliance may be published on the Department's website and in any other media deemed appropriate by the Department. Such publication may remain posted until the Retail Electricity Supplier or Owner, Operator, or Authorized Agent returns to compliance as determined by the Department.
2. (3) Planning Requirement. A Retail Electricity Supplier that fails to meet the requirements of 225 CMR 2 1 .07 during a Compliance Year shall submit a plan for achieving compliance for the subsequent three years. The plan shall be filed with the Department no later than the first day of September of the Compliance Year subsequent to the Compliance Year for which the Retail Electricity Supplier was out of compliance or such date as the Department may specify.
3. (4) Suspension or Revocation of License. The Department shall refer its findings of noncompliance to the DPU. A Retail Electricity Supplier that fails to comply with 225 CMR 2 1 .00 may be subj ect to the DPU Licensure Action under 220 CMR 1 1 .07(4)(c) l .
4. (5) Collection of Financial Security. In the event that a Retail Electricity Supplier fails to discharge its annual obligations by September 1under 225 CMR 2 1 .07, by the means described in 225 CMR 2 1 .08( 1 ) through (4), the Department will notify the Retail Electricity Supplier that it must provide the Department with a payment using the financial security provided pursuant to 225 CMR 14.08(4), unless a Retail Electricity Supplier has an approved alternative payment plan to discharge its annual obligations in full that has been approved by the Department prior to September 1. The payment shall, within 30 days of notification by the Department, be paid to MassCEC for deposit into a segregated account as required by 225 CMR 2 1 .08(3) and shall be in an amount equal to the lesser of:
5. (a) the amount of Alternative Compliance Payments that the Retail Electricity Supplier must make in order to discharge its annual obligation under 225 CMR 2 1 .08; or
6. (b) the full amount of the financial security.
7. (6) Partial Compliance. In the event that the collection of financial security under 225 CMR 2 1 . 1 2(5) results in the collection of an amount of Alternative Compliance Payments that is insufficient to discharge a Retail Electricity Supplier's full annual obligations under 225 CMR 2 1 .07, the Retail Electricity Supplier will remain in a state of noncompliance, and the Department will take the necessary actions to document and enforce this noncompliance, pursuant to 225 CMR 2 1 . 1 2( 1 ) through (4).
8. (7) The Department reserves all rights to take any and all appropriate actions to ensure the collection of all Alternative Compliance Payments owed to ensure annual compliance obligations are fully discharged by a Retail Electricity Supplier including, but not limited to, filing a petition with the Department of Public Utilities requesting an investigation into a supplier that is deemed to be in noncompliance by the Department.

2 1 .1 3 : Severability

If any provision of 225 CMR 2 1 .00 is declared invalid, such invalidity shall not affect other provisions or applications that can be given effect without the invalid provision or application.

REGULATORY AUTHORITY

225 CMR 2 1 .00: M.G.L. c . 25A, § 1 7(c).

(PAGES 2 1 1 AND 2 1 2 ARE RESERVED FOR FUTURE USE.)