65-407 C.M.R. ch. 305
SUMMARY: This Chapter establishes licensing requirements for competitive electricity providers, which includes marketers, brokers, and aggregators, and establishes registration requirements for third-party sales agents. The Chapter includes procedural rules governing application for licensing, registration, revocation, termination, and enforcement, and annual reporting provisions. The Chapter also establishes consumer protection rules applicable to competitive electricity providers and third-party sales agents.
TABLE OF CONTENTS
§ 1 GENERAL PROVISIONS AND DEFINITIONS 5
A. Scope of Rule 5
B. Definitions 5
§ 2 LICENSING AND REGISTRATION REQUIREMENTS 7
A. Entities Subject to Licensing and Registration Requirements 7
1. Competitive Electricity Providers and Third-Party Sales Agents 7
2. Transmission and Distribution Utilities 7
B. Application Requirements for Competitive Electricity Providers 8
1. Evidence of Financial Capability 8
2. Evidence of Technical Capability 9
3. Financial Security 9
4. Disclosure of Enforcement Proceedings and Customer Complaints 11
5. Evidence of Ability to Satisfy Portfolio Requirement 12
6. Disclosure of Affiliates 12
7. Tax Registration 12
8. Agent of Service 12
9. Application Information 12
10. Registration of Third-Party Agents………………………………………… 13
C. Licensing Conditions 15
D. Licensing Procedures 15
1. Scope 15
2. Form 15
3. Filing 15
4. Material Change in Application Information 15
5. Fees 16
6. Commission Review 16
7. Issuance Criteria 16
8. Conditions 16
9. Term of License 16
10. Transfer of License 16
11. Abandonment of License 17
12. Accuracy of Information 17
E. Annual Reporting 17
1. Information 17
2. Confidentiality 18
§ 3 SANCTIONS AND ENFORCEMENT 18
A. Sanctions 18
1. Penalties 19
2. Cease and Desist Orders 19
3. Restitution 20
4. Revocation; Suspension 20
5. Termination of Registration…………………………………………………..20
6. Other 20
7. Waiver 20
B. Enforcement 21
1. Court Action 21
2. Notice to Attorney General 21
§ 4 CUSTOMER PROTECTION 21
A. General Protections 21
1. Customer Authorization 21
2. Customer Information 21
3. Trade Practices 21
4. Collection Costs 21
5. Equal Credit 22
6. Telemarketing 22
7. Marketing of Electricity Attributes 22
8. Notice of Opt-Out Fee 23
9. Commission Standards and Requirements 23
B. Small Customer Protections 23
1. Disclosure Regarding Standard Offer …….23
2. Disclosure and Limitations Regarding Door-to-Door Sales………………...24
3. Bill Information………………………………………………………………...24
4. Terms of Service Document…………………………………………………...25
5. Right of Rescission 26
6. Verification of Affirmative Customer Choice 27
7. Minimum Service Period 28
8. Minimum Notice of Changes in Terms of Service 28
9. Renewals 28
10. Assignments 29
11. Variable Rates and Charges 29
12. Termination Fees 30
13. Promotional Practices 30
14. Trade Practices 31
15. Door-to-Door Sales 31
16. Cancellation of Service………………………………………………………...32
17. Generation Service Bills 33
18. Application for Service; Denial of Credit 33
19. Dispute Resolution and Compliant Procedure 34
C. Representatives and Agents 36
D. Disclosure Label 36
E. Market Risk Disclosure 37
1. Applicability 37
2. Disclosure Requirement 37
3. Disclosure Language 37
4. Distribution 37
§ 5 INFORMATIONAL FILINGS 37
§ 6 WAIVER OR EXEMPTION 38
§ 1 GENERAL PROVISIONS AND DEFINITIONS
1. Affiliated Interest. "Affiliated interest" means:
6. Commission. "Commission" means the Maine Public Utilities Commission.
16. Large Non-Residential Customer. “Large Non-Residential Customer” means a non-residential Customer that is not a Small Non-residential Customer or a Medium Non‑residential Customer.
20. NAR. “NAR” means the Northern American Renewables Registry.
§ 2 LICENSING AND REGISTRATION REQUIREMENTS
A. Entities Subject to Licensing and Registration Requirements
1. Competitive Electricity Providers and Third-Party Sales Agents
Commission, and third-party sales agents must be registered by the
Commission. No Entity may contract or offer to contract to provide
Generation Service, Enroll customers, provide Generation Service, or
arrange for a contract for the provision of Generation Service without
having obtained a license from, or with respect to third-party agents
without being registered with, the Commission. The Commission
delegates to the Director of Electric and Gas Utility Industries the
authority to license Competitive Electricity Providers and register Third-
party Sales Agents.
Upon request by the Commission, Applicants, registrants, Competitive
Electricity providers, and Third-party Sales Agents must provide any
information the Commission determines is necessary or useful in
carrying out its duties and obligations under Title 35-A and this Chapter,
including but not limited to the Commission’s review of license
applications and annual reports, and registering Third-party Sales
Agents.
2. Transmission and Distribution Utilities
This section is not applicable to Transmission and Distribution Utilities that
arrange for standard offer service to their customers pursuant to Chapter 301 of
the Commission’s rules.
B. Application Requirements for Competitive Electricity Providers
1. Evidence of Financial Capability
a. Financial Disclosures
An Applicant must include its most recent financial disclosures. If the
Applicant does not make financial disclosures, it must include the most
recent financial disclosures of its corporate parent. If the Applicant is a
newly formed Entity that is not part of another organization, the
Commission may accept other documentation to demonstrate financial
capability.
b. Customer Deposits
An Applicant must include additional documentation necessary to
demonstrate financial capability sufficient to refund deposits to retail
customers in the case of bankruptcy or nonperformance or for any other
reason. This provision is not applicable if the applicant will not hold
customer deposits.
2. Evidence of Technical Capability
a. Industry Experience
An Applicant must include a description of the industry experience of the
Applicant, the corporate parent of the Applicant or individuals that will
be responsible for the provision of service in Maine. For purposes of this
provision, industry experience includes involvement with retail or
wholesale electricity or natural gas markets in the United States or
Canada.
b. Generation Service
An Applicant that will provide Generation Service in the ISO-NE control
area must document that it is either a participant in the ISO-NE
electricity market or will conduct transactions through a contractual
arrangement with an Entity that is a participant in the ISO-NE electricity
market. An Applicant that will provide generation service in Northern
Maine must document that it is either a participant in the market
administered by NMISA or will conduct transactions through a
contractual arrangement with an Entity that is a participant in the market
administered by the NMISA.
c. Interconnection
If applicable, applications must include a demonstration of the ability of
the Applicant to enter into binding interconnection arrangements with
Transmission and Distribution Utilities.
3. Financial Security
a. Applicability
The financial security requirements of this paragraph apply only to
Applicants that seek a license to provide Generation Service to
residential and small non-residential customers. The requirements of this
paragraph do not apply to standard offer service.
b. Requirements
An Applicant must submit financial security that complies with this
paragraph prior to the issuance of a license. The Applicant must maintain
financial security that complies with this paragraph as long as it is
licensed to provide Generation Service to Residential and Small non-
residential Customers and must submit replacement security at least
seven days prior to the expiration or cancellation of a previously
submitted financial security instrument. Upon termination of a license to
provide Generation Service to Residential and Small Non-residential
Customers, the financial security instrument must remain in force until
the Commission determines that all obligations of the Competitive
Electricity Provider have been satisfied.
c. Security Amount
The initial security amount must be $100,000. The Commission may
grant modifications of this amount commensurate with the nature and
scope of the business the licensee anticipates conducting in Maine upon
submission of information in support of the modification. A request for
modification of the initial security amount may be made in conjunction
with the filing of the license application. The required security amount
will change each year and must equal 10 percent of the licensee’s annual
revenues from sales of generation services to Residential and Small Non-
residential Customers in Maine over the prior calendar year, or
$1,000,000, whichever is lesser. Annual revenues for purposes of this
provision do not include revenues from standard offer service. A licensee
must submit a report each year on March 1st, in the Commission’s
electronic case management system’s revenues for financial security
project file. The report must contain the licensee’s revenues from sales
to Residential and Small Non-residential Customers during the prior year
and provide updated security consistent with the requirements of this
provision.
d. Use of Security Amounts
Upon a finding that a licensee has violated a statute or regulation
regarding the provision of service to Residential or Small Non-residential
Customers, the Commission may direct that amounts from the financial
security be distributed as follows:
(i) to Customers for a refund of security deposits or advanced
payments paid to the Competitive Electricity Provider;
e. Type of Security
An Applicant may satisfy the financial security requirements of this
paragraph through an irrevocable letter of credit or cash perfected as
security. Financial security documents must be in a form and contain
language that is acceptable to the Commission.
f. Other Liability
Liability of Competitive Electricity Providers for violation of law,
Commission orders or Commission rules is not limited by the security
requirements of this section.
4. Disclosure of Enforcement Proceedings and Customer Complaint
This paragraph applies to actions against the Applicant and associated
entities of the Applicant. For purposes of this provision, an associated
Entity is any entity for which the Applicant is a control person; any
control person of the Applicant; any Entity under common control with
the Applicant; or any Entity for which a control person of the Applicant
served as a control person at the time of the conduct that was the basis
for the action. A control person is any person who serves as an officer or
director of, or who exercises similar authority over, an Entity or who
possesses, directly or indirectly, voting power over 10% or more of the
voting securities of the Entity.
b. Enforcement Proceedings
An Applicant must disclose all civil court or regulatory enforcement
proceedings or criminal prosecutions commenced against it or an
associated entity within the last six years prior to the date of the license
application or currently pending that relate to or arise out of the sale of
electricity, the sale of natural gas, the provision of utility services,
business fraud, or unfair or deceptive sales practices.
c. Customer Complaints
An Applicant must disclose the number of customer Complaints, by state
and customer class, related to the retail sale of electricity or natural gas
filed against it at regulatory bodies other than the Commission within the
last 12 months prior to the date of the license application.
5. Evidence of Ability to Satisfy Portfolio Requirement
An Applicant must submit evidence of its ability to satisfy the eligible resource
portfolio requirement under 35-A M.R.S. § 3210, consistent with the provisions
of the Commission's portfolio requirement rules, Chapter 311. This provision is
not applicable to Aggregator and Broker license applications.
6. Disclosure of Affiliates
An Applicant must disclose the names and addresses of all Affiliated Interests
engaged in the retail sale of electricity in the United States or Canada. An
Applicant may submit a copy of its most recent corporate annual report in
compliance with this provision if the annual report contains the required
information. At the request of the Commission, the Applicant must submit
further information on the corporate structure of the Applicant’s parent
corporation.
7. Tax Registration
An Applicant must submit evidence that the Applicant is registered with the State
Tax Assessor as a seller of tangible personal property pursuant to Title 36,
section 1754-B, together with a statement that the Applicant agrees to be
responsible for the collection and remission of taxes in accordance with Title 36,.
Part 3 on all taxable sales of electricity made by the Applicant to consumers
located in Maine.
8. Agent for Service
An Applicant must submit evidence that demonstrates that it has an agent for
service of process located in Maine
9. Application Information. An Applicant must provide the following
information:
b. Business street and mailing address;
c. Name and mailing address of an agent for service of process in Maine;
10. Registration of Third-Party Sales Agents
A Third-party Sales Agent undertaking the retail sale or marketing of
electricity on behalf of a Competitive Electricity Provider may not
engage in any sales or marketing activity unless the Third-party Sales
Agent is registered with, and has obtained a registration number from,
the Commission. If an individual person is an employee, representative,
or otherwise working on behalf of an Entity registered with the
Commission as a Third-party Sales Agent, then that person need not
individually register with the Commission. Competitive Electricity
Providers must register all proposed Third-party Sales Agents regardless
of whether a Third-party Sales Agent is registered by another
Competitive Electricity Provider.
An Applicant to be a Competitive Electricity Provider in Maine must
register its Third-party Sales Agents and provide certain disclosures and
acknowledgments. An Applicant must obtain a registration form from
the Commission’s website and file it in the docket designated for it as a
Competitive Electricity Provider using the Commission’s electronic case
management system. The Commission will adopt a specific registration
process to administer the disclosures and acknowledgement of Third-
party Sales Agents and to issue notices of registration, and delegates
adoption of the process to the Director of Electric and Natural Gas
Utilities. The Applicant’s registration of its Third-party Sales Agents
must contain the following information:
compliance obligations with the State's door-to-door sales law,
the Maine Unfair Trade Practices Act, and the applicable
Commission rules;
Third-party Sales Agent by the Department of Professional and
Financial Regulation pursuant to Title 32, chapter 128,
subchapter 2;
proceedings, criminal prosecutions, as well as customer Complaints, filed against each proposed Third-party Sales Agent at a judicial or regulatory body other than the Commission within the last six years prior to the date of the applicable license or registration application or currently pending that relate to or arise out of the sale of electricity, the sale of natural gas, the provision of utility services, business fraud, or unfair or deceptive sales practices; and
to be used by the Applicant of the third-party sales agent's
submission to the jurisdiction of the courts of the State of Maine
and the Maine Public Utilities Commission.
C. Licensing Conditions
By obtaining a license, Competitive Electricity Providers agree:
D. Licensing Procedures
1. Scope
These procedures apply to the application for a Competitive Electricity Provider
license before the Commission.
2. Form
An application for a license must be made on the electronic form provided by the
Commission on its website and verified by an officer of the Applicant by affidavit.
3. Filing
Each Applicant must file its verified application in a docket designated for the
Competitive Electricity Provider using the Commission's electronic case
management system. An electronic signature is not required.
4. Material Change in Application Information
The Applicant must inform the Commission of any material change in the
information provided in the application during the pendency of the application
process.
5. Fees
Each Applicant must pay a fee of $100 to the Commission. Fees collected by the
Commission under this provision must be deposited in the Public Utilities
Commission Reimbursement Fund. The applicant must mail this fee to the
Commission pursuant to the application's instructions.
6. Commission Review
An Applicant must include all documentation necessary to demonstrate
compliance with Title 35-A and this Chapter. The Commission will review
applications and will issue a license, deny the application, or initiate a formal
investigation of the application within 60 calendar days of submission of a
complete application. If additional time is required for the initial review, the
Administrative Director, the Director of Electric and Natural Gas Industries, the
Director of Consumer Assistance and Safety Division, or the Presiding Officer
assigned to a proceeding related to this Chapter may extend the review period for
an additional 60 calendar days. In the event the Commission initiates a formal
investigation, it must provide notice to the Applicant.
7. Issuance Criteria
The Commission will issue a license unless it finds that the Applicant has not
complied with all applicable licensing requirements of this Chapter, that the
Applicant does not have the financial and technical capability to conduct its
business, or that sufficient reason exists to conclude that issuance of a license is
not in the public interest.
8. Conditions
The Commission may place reasonable conditions on the issuance of a license,
including, but not limited to, the provision of financial security in a form and
amount determined by the Commission.
9. Term of License
Licenses are valid until revoked by the Commission or abandoned by the
Applicant.
10. Transfer of License
A license may not be transferred without prior Commission approval. A request
for transfer of a license must be in writing accompanied by a completed license
application from the transferee. The Commission may order the licensee to notify
its customers of the license transfer.
11. Abandonment of License
A licensee may not abandon service without providing at least 30 days written
notice to the Commission, the licensee’s Residential and Small Non-residential
Customers and the affected Transmission and Distribution Utilities.
12. Accuracy of Information
Any Applicant who knowingly submits misleading, incomplete or inaccurate
information may be penalized in accordance with perjury statutes and pursuant to
35-A M.R.S. § 3203 and the provisions of this Chapter.
E. Annual Reporting
1. Information
Each Competitive Electricity Provider must file an annual report on or before
July 1 of each year for the previous calendar year. Aggregators and Brokers must
comply only with subparagraphs (c), (d) and (i) of the annual reporting
requirement of this subsection. The annual report electronic form must be
obtained from the Commission’s website and filed in the annual report module of
the Commission’s electronic case management system. The annual report must
contain the following information:
a. Average Prices, Revenues and Sales
Average prices, revenues. sales and number of Customers, in total and
for each pricing product, broken out by (i) Residential and Small Non-
residential Customers; (ii) medium non-residential customers; and (iii)
large non-residential customers and by transmission and distribution
service territory. The number of customers is to be calculated as of
December 31 of the reporting period. Individually negotiated prices may
be provided in the aggregate;
b. Resource Mix
The resources used to serve customers in Maine by resource category
and percentage of Maine load served by each resource category. For
service to customers in the ISO-NE control area, resources must be
reported based on Generation Information System certificates contained
in a Maine GIS sub-account and the ISO-NE’s residual system mix. For
service in Northern Maine, resources must be reported based on NAR
Certificates. For purposes of this provision, the resources used for service
in the ISO-NE control area and Northern Maine must be combined into a
single resource mix;
c. Enforcement Actions
Identification of any enforcement action initiated or concluded against
the licensee or an Affiliated Interest by any federal, state or local
government agency in the United States or Canada with respect to
actions involving the sale of electricity, the sale of natural gas, the
provision of utility services, business fraud, or unfair or deceptive sales
practices;
d. Ownership or Control
Changes in the licensee's ownership or control;
e. Information Disclosure
The information required to be provided annually pursuant to the
Commission's information disclosure rule, Chapter 306;
f. Portfolio Requirement
The information required to be provided annually pursuant to the
Commission's eligible resource portfolio requirement rule, Chapter 311;
g. Terms of Service Documents
All terms of service documents produced pursuant to Section 4(B)(4) of
this Chapter that were in effect during the reporting period with a
notation of time period for which each document was in effect;
h. Marketing of Electricity Attributes
Information demonstrating compliance with Section 4(A)(7), if
applicable;
The information required to be provided upon application pursuant to
Section 2(B)(4) of this Chapter; and
2. Confidentiality
The Commission may subject any information required by Title 35-A or this
Chapter to appropriate protective orders.
§ 3 SANCTIONS AND ENFORCEMENT
A. Sanctions
Competitive Electricity Providers and Third-party Sales Agents are subject to sanctions
for violations of applicable provisions of Chapter 32 of Title 35-A, and Commission rules
or orders. Sanctions may be imposed following a hearing before the Commission in
conformance with 5 M.R.S. Chapter 375, subchapter IV (Maine Administrative
Procedures Act) and Chapter 110 of the Commission's rules. The following sanctions
may be imposed:
1. Penalties
2. Cease and Desist Orders
a. Hearing. The Commission may issue a cease and desist order following
an adjudicatory hearing, if the Commission finds that any Competitive
Electricity Provider or Third-party Sales Agent has engaged or is
engaging in any act or practice in violation of any law or rule
administered or enforced by the Commission or any lawful order issued
by the Commission. A cease and desist order is effective when issued
unless the order specifies a later effective date or is stayed pursuant to
Title 5, section 11004; or
3. Restitution
The Commission may order restitution for any party injured by a violation for
which a penalty may be assessed pursuant to this subsection.
4. Revocation; Suspension
The Commission may revoke or suspend the license of a Competitive Electricity
Provider as stated below. At its option, the Commission may suspend only a
Competitive Electricity Provider's authority to Enroll new customers.
5. Termination of Registration
In an adjudicatory proceeding, the Commission may terminate the registration of
a Third-party Sales Agent if the third-party sales agent was explicitly notified by
the Commission that it was not in compliance with Title 35-A, a Commission
rule, or a Commission order and that failure to comply could result in the
termination of the Third-party Sales Agent’s registration.
6. Other
The Commission may impose any other sanction authorized by law that it
determines appropriate taking into account the facts and circumstances that
resulted in the violation.
7. Waiver
The Commission may waive the imposition of sanctions upon a showing that the
violation was immaterial, unintentional, or that the Competitive Electricity
Provider or Third-party Sales Agent acted in good faith to comply with all
applicable statutory and regulatory requirements.
B. Enforcement
1. Court action
The Commission through its own counsel or through the Attorney General may
apply to the Superior Court of any county of the State to enforce any lawful order
made or action taken by the Commission pursuant to this Chapter.
2. Notice to Attorney General
If the Commission has reason to believe that any Competitive Electricity
Provider or Third-party Sales Agent has violated any provision of law for which
criminal prosecution is provided or any antitrust law of this State or the United
States, the Commission will notify the Attorney General.
§ 4 CUSTOMER PROTECTION
A. General Protections
All Competitive Electricity Providers, and Third-party Sales Agents where applicable,
must comply with the provisions of this subsection.
1. Customer Authorization
Competitive Electricity Providers must obtain a Customer’s authorization before
providing service.
2. Customer Information
Competitive Electricity Providers and Third-party Sales Agents may not release
to any other Entity, other than for purposes of debt collection or credit reporting
pursuant to state and federal law or to law enforcement agencies pursuant to
lawful process, any personal information regarding a Customer, including name,
address, telephone number, usage and historical payment information, without
the consent of the Customer.
3. Trade Practices
Competitive Electricity Providers and Third-party Sales Agents must comply
with the provisions of the Maine Unfair Trade Practices Act, Title 5, chapter 10
and related consumer protection statutes. Any finding by an entity of competent
jurisdiction that a Competitive Electricity Provider violated either the Maine or
Federal Unfair Trade Practices Act is deemed to be a violation of this subsection.
4. Collection Costs
Competitive Electricity Providers may not collect or seek to collect unreasonable
costs from a Customer who is in default. For purposes of this provision,
unreasonable costs are those in excess of actual out-of-pocket expenses incurred
by the Competitive Electricity Provider, including reasonable attorney fees and
actual court costs.
5. Equal Credit
Competitive Electricity Providers must comply with all applicable provisions of
the federal Equal Credit Opportunity Act, 15 United States Code, Sections 1691
to 1691f.
6. Telemarketing
Competitive Electricity Providers must comply with all federal and state laws,
federal regulations and state rules regarding the prohibition or limitation of
telemarketing. Competitive Electricity Providers must record and retain all
outbound telemarketing calls to Residential and Small Commercial Customers
for a period of two years from the date of recording.
7. Marketing of Electricity Attributes
Competitive Electricity Providers that market or promote electricity products on
the basis that all or a percentage of the electricity provided have specified
attributes, including but not limited to green, renewable, specified resource types
and locations, must provide supporting documentation in the annual report filed
pursuant to section 2(E) of this Chapter. For purposes of this provision, the
documentation must be as follows:
b. Maritimes Control Area. For service to customers in Northern Maine,
the Competitive Electricity Provider must have market settlement data
and other documentation that demonstrates the renewable resources used
to serve load reasonably corresponds to the usage of the Customers
provided the green electricity or renewable electricity product. This
information must document that the renewable attributes of the resources
have not been used or transferred for any other purposes.
This provision does not prohibit Competitive Electricity Providers from
marketing, promoting, or providing green or environmental products, such as
renewable credits associated with resources that are not used to serve load in
New England, as part of the provision of electricity services. The promotion of
such products may not state or suggest that that the electricity actually used to
serve the customer has the stated attributes. The Competitive Electricity Provider
must provide supporting documentation in the annual report filed pursuant to
section 2(E) of this Chapter.
8. Notice of Opt-Out Fee
Your termination of standard offer service may require the payment of a
fee, as required by Chapter 301 of the Commission’s rules. This is a
regulatory fee, and it is not imposed by competitive electricity providers.
You are encouraged to review the applicability of Chapter 301 in advance
of accepting service from a competitive electricity provider.
9. Commission Standards and Requirements
Competitive Electricity Providers and Third-party Sales Agents must comply
with any other applicable standards or requirements established by the
Commission by order or rule.
B. Small Customer Protections
In addition to complying with subsection A, all Competitive Electricity Providers and the
Third-party Sales Agents who conduct or arrange to conduct sales on their behalf, and
that provide service to Residential or Small Non-residential Customers must also comply
with the provisions of this subsection. For purposes of determining the applicability of
the provisions of this subsection, Competitive Electricity Providers must create a record
documenting a Customer’s class status at the time of Enrollment. The consumer
protections provided to Customers in this subsection cannot be waived by a Customer or
superseded by provisions in the Terms of Service document. Unless otherwise specified,
the provisions of this subsection do not apply to Aggregators or Brokers. The provisions
of this subsection do not apply to standard offer providers.
Before entering into an agreement to provide service, each Competitive
Electricity Provider must disclose in writing to the Customer where the Customer
can obtain information with which to compare the service provided by the
Competitive Electricity Provider and the standard-offer service. The written
comparison disclosure must include information regarding how a customer can
obtain information about standard-offer service rates, including a link to the
Commission’s standard offer rates website page.
A Competitive Electricity Provider must comply with all federal and state laws,
federal regulations and state rules regarding the prohibition or limitation on
Door-to-door Sales. Competitive Electricity Providers may not enter, or allow its
agents or 3rd-party sales agents, to enter into any Terms of Service to provide
service when that service is solicited using Door-to-door Sales without providing
the Customer with a written disclosure that meets the following requirements:
The supply bill for a Customer that elects to receive Generation Service from a
Competitive Electricity Provider must contain the following:
For Customers for whom a Competitive Electricity Provider has elected
consolidated utility billing pursuant to Chapter 322 of the Commission’s
rules, the foregoing information must be included on the consolidated bill by
the Transmission and Distribution Utility. For customers for whom a
Competitive Electricity Provider has elected provider billing under Chapter
322 of the Commission’s rules, the foregoing information must be included
by the Competitive Electricity Provider on its bills to such Customers.
a. Obligations and responsibilities. Each Competitive Electricity Provider
must prepare a document entitled "Terms of Service" as described in this
subsection. The Terms of Service document must be in plain language
and printed in legible type and must contain all contractual obligations
and responsibilities between the Competitive Electricity Provider and the
Customer. The Terms of Service are sometimes referred to as a contract
for Generation Service.
b. Initiation of service. Each Competitive Electricity Provider must
provide to each Customer the Terms of Service document within seven
calendar days of agreeing to provide service with a Customer. A
Competitive Electricity Provider may not Enroll a Customer until the
Terms of Service document has been provided to the Customer and the
Customer's statutory right of rescission has expired as set forth in this
subsection. Competitive Electricity Providers must maintain sufficient
records, either in writing or electronically, to demonstrate compliance
with the issuance of the Terms of Service document, including the
Customer's right of rescission, prior to Enrolling the Customer.
Competitive Electricity Providers must also maintain a copy of the
applicable Terms of Service document and provide a copy to the
Customer or the Commission upon request.
d. Terms of Service Document Content
The Terms of Service document must contain the following information:
(iv) Deposit requirements and interest on deposits;
(v) Any fee associated with the early termination of service;
(vi) Any Limits on warranty and damages;
(x) A generic description of the standard offer generation service;
5. Right of Rescission
6. Verification of Affirmative Customer Choice
term "third-party verification" means an appropriately qualified
and independent third party operating in a location physically
separate from the telemarketing representative who has obtained
the customer's oral authorization to change to a new provider.
The authorization must include appropriate verification data,
such as the Customer's date of birth or other voluntarily
submitted information; provided, however, any such information
or data in the possession of the third party verifier or the
marketing company may not be used, in any instance, for
commercial or other marketing purposes, and may not be sold,
delivered, or shared with any other party for such purposes.
(iii) Electronic authorization. For purposes of this section, the term
“electronic authorization” refers to a verification of agreement
for service through electronic means. Competitive Electricity
Providers must acknowledge receipt and confirmation of the
Customer’s agreement to accept service within one business day.
The confirmation may be provided to the Customer by e-mail.
An electronic copy of the confirmation e-mail must be retained
by the Competitive Electricity Provider.
7. Minimum Service Period
Each Competitive Electricity Provider must offer Generation Service to each of
its Customers for a minimum period of 30 days.
8. Minimum Notice of Changes in Terms of Service
Each Competitive Electricity Provider must provide written notice to its
Customers between 30 and 60 calendar days in advance of any change in the
Customer’s Terms of Service. Customers must affirmatively consent to continued
service under the modified terms of service pursuant to the provision of section
4(B)(6) of this Chapter.
9. Renewals
If a Customer does not provide the express consent required by this section, the
Customer must be transferred to the standard-offer service.
10. Assignments
11. Variable Rates and Charges
Each Competitive Electricity Provider that offers and provides service with
Indexed Variable Rate or Charge or Non-indexed Variable Rate or Charge:
12. Termination Fees
13. Promotional Practices
This subsection applies to all Competitive Electricity Providers, including
Aggregators and Brokers.
a. A Competitive Electricity Provider must not use fraudulent, coercive, or
deceptive promotional practices.
14. Trade Practices
This subsection applies to all Competitive Electricity Providers, including
Aggregators and brokers. Competitive Electricity Providers may not engage in
any unfair or deceptive act or practice that creates a likelihood of confusion or
misunderstanding in connection with the offer for sale or the sale of electricity.
By way of example and not of limitation, this prohibition includes the failure to
make clear and conspicuous disclosures of the information required to be
contained in the Terms of Service document, making statements susceptible to
both a misleading and truthful interpretation, and making deceptive statements,
even though the true facts are subsequently made known to the consumer. This
provision does not affect unfair trade practices otherwise actionable at common
law or under other statutes of Maine.
15. Door-to-Door Sales
This subsection applies to all Competitive Electricity Providers, including
Aggregators and Brokers. This subsection does not apply under circumstances
where a Customer or potential Customer has agreed to meet in-person prior to the
Competitive Electricity Provider arriving at the Customer’s premises. All
Competitive Electricity Providers soliciting a potential Customer in person at the
Customer’s premises must:
16. Cancellation of Service
a. Cancellation by a Competitive Electricity Provider. Each
Competitive Electricity Provider must provide written notice to a
Customer at least 30 calendar days prior to cancellation of that
Customer's generation services due to a default of obligations in the
Terms of Service document by the Customer.
Competitive Electricity Providers must provide the notice required by
this subsection in a separate mailing or e-mail from the Customer’s bill.
The notice must include the following information:
(ii) The reason for cancellation;
(iii) Steps the Customer can take to avoid cancellation, if any; and
b. Cancellation by Customer. A Customer can cancel service with a
Competitive Electricity Provider at any time. A cancellation of service
does not release the Customer of any obligations related to early
termination fees that may apply pursuant to the Terms of Service. When a
Competitive Electricity Provider receives a request to cancel service from
a Customer, it must within two business days send an EDI transaction,
pursuant to Chapter 323 of the Commission’s rules, notifying the
applicable Transmission and Distribution Utility of the cancellation of
service to the Customer. Competitive Electricity Providers must take all
necessary actions to effectuate a cancellation request from a Customer.
c. Standard Offer Service. A Customer whose service from a Competitive
Electricity Provider is canceled and who does not select another
Competitive Electricity Provider will receive service from the standard
offer.
17. Generation Service Bills
18. Application for Service; Denial of Credit
19. Dispute Resolution and Complaint Procedure
This subsection applies to all Competitive Electricity Providers, including
Aggregators and Brokers, and Third-party Sales Agents. The Commission or
the Consumer Assistance and Safety Division will resolve disputes among
Competitive Electricity Providers, including their Third-party Sales Agents, and
retail consumers of electricity regarding the provisions of this Chapter, other
Commission rules, and statutory provisions regarding Competitive Electricity
Provider activities and service according to the following procedures:
(ii) report the results of its investigation to the Customer; and
(iii) attempt in good faith to resolve the Complaint.
e. Procedure for Resolving Customer Service Verification Complaints
C. Representatives and Agents
For purposes of this section, the obligations and requirements of a Competitive
Electricity Provider apply to representatives or agents, including any Third-party Sales
Agents, who act on behalf of a Competitive Electricity Provider. Competitive Electricity
Providers are subject to liability to the full extent authorized under this Chapter and Title
35-A for the violations of their representatives or agents, including Third-party Sales
Agents, acting on their behalf.
D. Disclosure Label
Each Competitive Electricity Provider must prominently display on its website a
disclosure label or labels that complies with Chapter 306 of the Commission rules. The
disclosure label or labels must be available and easily accessed on the webpage without
any requirement that any personal or customer specific information be provided.
E. Market Risk Disclosure
1. Applicability
This subsection applies to all Competitive Electricity Providers, including
Aggregators and Brokers, that are offering to provide or arrange for an electricity
product in which the price to the Customer varies with changes in energy prices
or an energy price index.
2. Disclosure Requirement
All Competitive Electricity Providers must provide a written disclosure to
Customers of the market risks associated with their electricity products prior to or
at the time the Customer agrees to take generation service from the Competitive
Electricity Provider.
3. Disclosure Language
The Commission or the Director of Electric and Natural Gas Industries will by
order specify the language Competitive Electricity Providers must use in the
market risk disclosure statement. A Competitive Electricity Provider may request
approval to use alternative language. Approval of alternative language pursuant to
this provision is delegated to the Director of Electric and Natural Gas Industries.
4. Distribution
Competitive Electricity Providers must provide the market risk disclosure
statement as a provision in the contract for service or Terms of Service
document, as applicable:
a. As a provision in the contract for service with the Customer
acknowledging the provision by signature or initials; or
§ 5. INFORMATIONAL FILINGS
A. Generally Available Service
1. Filing Required. Competitive Electricity Providers must file with the
Commission and provide to the Public Advocate rates, terms, and conditions of
any service generally available to the public or any segment of the public prior to
offering the service. This subsection does not apply to standard offer service.
2. Modification. Competitive Electricity Providers must file any modifications to
generally available rates, terms and conditions prior to the effective date of the
modification.
3. No Approval. The generally available rates, terms and conditions are for
informational purposes and do not require Commission approval.
B. Individual Service Contracts
Competitive Electricity Providers are not required to file individual service contracts. The
Commission may at any time request and obtain individual service contracts from
Competitive Electricity Providers. The Commission may subject individual service
contracts to appropriate protective orders.
§ 6 WAIVER OR EXEMPTION
Upon the request of any person subject to the provisions of this Chapter or upon its own motion,
the Commission may, for good cause, waive any of the requirements of this Chapter that are not
required by statute. The waiver may not be inconsistent with the purpose of this Chapter or
Title 35-A. The Commission, the Director of Electric and Natural Gas Industries, the Director of
the Consumer Assistance and Safety Division, or the Presiding Officer assigned to a proceeding
related to this Chapter may grant the waiver.
BASIS STATEMENT: The factual and policy basis for this Rule is set forth in the Commission’s Order Adopting Rule and Statement of Factual and Policy Basis, Docket No. 2023-00077, issued on June 25, 2025. Copies of this Statement and Order have been filed with this rule at the Office of the Secretary of State. Copies may also be obtained from the Administrative Director, Public Utilities Commission, 18 State House Station, Augusta, Maine, 04333-0018.
STATUTORY AUTHORITY: 35-A M.R.S. §§ 104, 111 and 3203
EFFECTIVE DATE: This rule was approved as to form and legality by the Attorney General on February 3, 1999. It was filed with the Secretary of State on February 5, 1999 and was effective on February 10, 1999.
EFFECTIVE DATE: This amended rule was approved as to form and legality by the Attorney General on May 11, 2000. It was filed with the Secretary of State on May 12, 2000 and was effective on May 17, 2000.
EFFECTIVE DATE: This rule was approved as to form and legality by the Attorney General on March 13, 2006. It was filed with the Secretary of State on March 14, 2006 as filing 2006-114 and was effective on March 19, 2006.
EFFECTIVE DATE: This rule was approved as to form and legality by the Attorney General on January 20, 2015. It was filed with the Secretary of State on January 21, 2015 and became effective on January 26, 2015 (filing 2015-010).
EFFECTIVE DATE: This rule was approved as to form and legality by the Attorney General on September 24, 2018. It was filed with the Secretary of State on September 25, 2018 and became effective on September 30, 2018 (filing 2018-211).
EFFECTIVE DATE: This rule was approved as to form and legality by the Attorney General on June 2, 2022. It was filed with the Secretary of State on July 8, 2022 and became effective on July 13, 2022 (filing 2022-133).
EFFECTIVE DATE: This rule was approved as to form and legality by the Attorney General on August 5, 2025. It was filed with Secretary of State on August 5, 2025, and became effective on August 10, 2025 (filing 2025-139).
APAO ACCESSIBILITY CHECK: August 8, 2025