Ch. 305: Licensing Requirements, Annual Reporting, Enforcement and Consumer Protection Provisions for Competitive Provision of Electricity

MaineRegulations

Ask Donna

How this section applies to your facts.

Code of Maine Rules › 65-407 Public Utilities Commission - General › Ch. 305

This text was captured on Aug 14, 2026. It is a snapshot, not a live feed, so check the official code before relying on it.

Text

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

nment 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

A. Generally Available Service

1. Filing Required………………………………………………………………...37 2. Modification……...…………………………………………………………….37

3. No Approval……………………………………………………………………38

e 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

A. Generally Available Service

1. Filing Required………………………………………………………………...37 2. Modification……...…………………………………………………………….37

3. No Approval……………………………………………………………………38

B. Individual Service Contracts…………………………………………………………..38

§ 6 WAIVER OR EXEMPTION 38

§ 1 GENERAL PROVISIONS AND DEFINITIONS

A. Scope of Rule. This Chapter applies to competitive electricity providers, who must be licensed to sell electricity at retail in Maine, and third-party sales agents, who must be registered in Maine. Competitive electricity providers include marketers, brokers and aggregators. This Chapter establishes licensing criteria and procedures, annual reporting requirements, enforcement provisions, and consumer protections standards.

B. Definitions. The following definitions, when used as defined in this rule, will have initial capitalization. For the purposes of this Chapter, the following terms have the following meanings:

1. Affiliated Interest. "Affiliated interest" means:

a. Any person who owns directly, indirectly or through a chain of successive ownership, 10% or more of the voting securities of an applicant or licensee;

b. Any person, 10% or more of whose voting securities are owned, directly or indirectly, by an affiliated interest as defined in subparagraph (a);

c. Any person, 10% or more of whose voting securities are owned, directly or indirectly, by an applicant or licensee;

d. Any person, or group of persons acting in concert, which exercises substantial influence over the policies and actions of an applicant or licensee, provided that the person or group of persons beneficially owns more than 3% of the applicant or licensee's voting securities.

2. Aggregate

n, 10% or more of whose voting securities are owned, directly or indirectly, by an applicant or licensee;

2. Aggregate. "Aggregate" means to organize individual electricity consumers into a group or entity for the purpose of purchasing electricity on a group basis.

3. Aggregator. "Aggregator" means an Entity that gathers individual Customers together for the purpose of purchasing electricity.

4. Applicant. "Applicant" means any Entity that has filed an application for a license as a Competitive Electricity Provider

5. Broker. "Broker" means an Entity that acts as an agent or intermediary in the sale and purchase of electricity but that does not take title to electricity.

6. Commission. "Commission" means the Maine Public Utilities Commission.

7. Competitive Electricity Provider. "Competitive electricity provider" means a Marketer, Broker or Aggregator, unless Brokers and Aggregators are expressly excluded from a provision of this Chapter.

8. Complaint. "Complaint" means a grievance of a Customer about the application of any provision of this Chapter by a Competitive Electricity Provider or Third-party Sales Agent.

9. Customer. "Customer" means any person who has requested, will receive or is receiving Generation Service or Aggregator or Broker service from a Competitive Electricity Provider. This term includes an applicant for Generation Services when the context addresses the process of application for generation service in this Chapter.

10. Door-to-door Sales

icity Provider or Third-party Sales Agent.

10. Door-to-door Sales. "Door-to-door Sales" means the practice by which a representative of a Competitive Electricity Provider, including a Third-party Sales Agent, solicits or sells electric services to Residential or small commercial consumers by means of personal visits to consumers at locations other than the representative's place of business. "Door-to-door Sales" does not include sales conducted entirely by mail, telephone or other electronic means; sales conducted during a scheduled appointment at a consumer's residence or place of business; or sales conducted following an initial contact that was solicited by the consumer.

11. Enroll. "Enroll" means the assignment of a Customer to a Competitive Electricity Provider pursuant to Chapter 322 of the Commission's rules.

12. Entity. "Entity" means a person or organization, including but not limited to any political, governmental, quasi-governmental, corporate, business, professional, trade, agricultural, cooperative, for-profit or nonprofit organization.

13. Generation Service. "Generation Service" means the provision of electric power to a retail Customer through a Transmission and Distribution Utility but does not encompass any activity related to the transmission or distribution of that power.

14. GIS Certificates. “GIS Certificates” mean certificates created pursuant to NEPOOL Generation Information System that represent attributes of electric power and that may be traded separately from the energy commodity.

15. ISO-NE. "ISO-NE" means the Independent System Operator of the New England bulk power system.

16. Large Non-Residential Customer

ansmission or distribution of that power.

15. ISO-NE. "ISO-NE" means the Independent System Operator of the New England bulk power system.

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.

17. Maritimes Control Area. "Maritimes control area" means the area in which the New Brunswick Power Corporation operates the Maritimes bulk power system.

18. Marketer. "Marketer" means an entity that as an intermediary purchases electricity and takes title to electricity for sale to retail Customers.

19. Medium Non-Residential Customer. “Medium Non-Residential Customer” means a non-residential customer that is taking service from a Transmission and Distribution Utility under terms and conditions that includes a demand charge and in which the Customer’s maximum demand does not exceed 500 kilowatts or the kilowatt breakpoint that is closest to but does not exceed 500 kW.

20. NAR. “NAR” means the Northern American Renewables Registry.

21. NAR Certificates. NAR Certificates mean certificates created pursuant to the Northern American Renewables Registry that represent attributes of electric power and that may be traded separately from the energy commodity.

22. NMISA. “NMISA” means the Northern Maine Independent System Administrator of the electricity market in northern Maine.

23. Northern Maine. "Northern Maine" means the area of Maine that is located in the Maritimes control area.

24. Residential Customer. “Residential Customer” means a Customer taking service as a residential customer under the terms and conditions of the applicable Transmission and Distribution Utility.

25. Small Non-Residential Customer

ministrator of the electricity market in northern Maine.

23. Northern Maine. "Northern Maine" means the area of Maine that is located in the Maritimes control area.

24. Residential Customer. “Residential Customer” means a Customer taking service as a residential customer under the terms and conditions of the applicable Transmission and Distribution Utility.

25. Small Non-Residential Customer. “Small Non-residential Customer” means a non-residential Customer taking service from an investor-owned Transmission and Distribution Utility under terms and conditions that do not include a demand charge or a non-residential Customer that is taking service from a consumer-owned Transmission and Distribution Utility with a demand of 20 kilowatts or less.

26. Third-party Sales Agent. "Third-party Sales Agent" means a person or Entity that has a business relationship with a Competitive Electricity Provider in which the person or Entity conducts or arranges to conduct residential or small commercial consumer sales of electricity to the public at retail on behalf of the Competitive Electricity Provider through Door-to-door Sales. "Third-party Sales Agent" does not include an employee of a Competitive Electricity Provider, and does not include an employee, contractor, or other person working on behalf of a Third-party Sales Agent if the employing entity is registered by the Commission as a Third-party Sales Agent in accordance with Title 35-A and this Chapter.

27. Transmission and Distribution Utility. "Transmission and Distribution Utility" means a person, its lessees, trustees, receivers or trustees appointed by a court, owning, controlling, operating or managing a transmission and distribution plant for compensation within the State.

28. Indexed Variable Rate or Charge

as a Third-party Sales Agent in accordance with Title 35-A and this Chapter.

28. Indexed Variable Rate or Charge. “Indexed Variable Rate or Charge” means any rate or charge that varies over the duration of the term of service where the rate or charge is reasonably related to a public index or otherwise reasonably determined through a readily accessible formula.

29. Non-indexed Variable Rate or Charge. “Non-indexed Variable Rate or Charge” means any rate or charge that varies over the duration of the term of service other than an Indexed Variable Rate or Charge.

§ 2 LICENSING AND REGISTRATION REQUIREMENTS

A. Entities Subject to Licensing and Registration Requirements

1. Competitive Electricity Providers and Third-Party Sales Agents

a. Licensure and Registration

All Competitive Electricity Providers must be licensed by the

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.

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.

b. Provision of Documentation

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

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.

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

lication. 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;

(ii) to Customers for restitution of amounts paid in error or due to charges assessed in violation of the applicable terms of service, statute, or rule; or

(iii) to the Commission for payment of administrative penalties or any other sanction ordered by the Commission pursuant to section 3 of this Chapter or other statutes or rules applicable to Competitive Electricity Providers.

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.

to section 3 of this Chapter or other statutes or rules applicable to Competitive Electricity Providers.

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.

(i) Letter of Credit. An irrevocable letter of credit must unconditionally obligate the issuing financial institution to honor drafts drawn on such letters for the purpose of paying the obligations of the Competitive Electricity Provider pursuant to Maine law and regulations and must specify that the issuing financial institution will notify the Commission 30 days in advance of the expiration or cancellation of the letter of credit. The letter of credit must include the following language: that the letter of credit binds the issuing financial institution to pay one or more drafts drawn by the Commission as long as the draft does not exceed the total amount of the letter of credit; and that any draft presented by the Commission will be honored by the issuer upon presentation. The letter of credit must be issued by a financial institution with a minimum corporate credit rating of “BBB+” by Standard & Poor’s or Fitch or “Baa1” by Moody’s Investors Service, or an equivalent short term credit rating by one of these agencies. If, at any time, the corporate debt rating of an issuing financial institution drops below the above specified levels, the Competitive Electricity Provider must notify the Commission’s Director of Electric and Gas Industries in writing and provide replacement security that satisfies the requirements of this Chapter.

stors Service, or an equivalent short term credit rating by one of these agencies. If, at any time, the corporate debt rating of an issuing financial institution drops below the above specified levels, the Competitive Electricity Provider must notify the Commission’s Director of Electric and Gas Industries in writing and provide replacement security that satisfies the requirements of this Chapter.

(ii) Cash. To satisfy the security requirement of this paragraph, cash must be perfected as a security interest. Cash and applicable interest must be returned to the Competitive Electricity Provider after all obligations are satisfied.

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

Applicability

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.

r 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

egator 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:

a. Legal name and name(s) under which the Applicant will do business in Maine;

b. Business street and mailing address;

c. Name and mailing address of an agent for service of process in Maine;

d. Location and mailing address of any office available to the general public or Maine customers of the Applicant;

e. Contact person, address, e-mail and telephone number for regulatory matters;

f. Contact person, address, e-mail and telephone number for consumer issues and Complaints;

et and mailing address;

c. Name and mailing address of an agent for service of process in Maine;

d. Location and mailing address of any office available to the general public or Maine customers of the Applicant;

e. Contact person, address, e-mail and telephone number for regulatory matters;

f. Contact person, address, e-mail and telephone number for consumer issues and Complaints;

g. A generic list of the products and services that will be marketed or sold in Maine, the customer class(es) that will be served (residential and small non-residential, medium non-residential, or large non-residential), and the Transmission and Distribution Utility service territories in which the Applicant will do business;

h. A list of all jurisdictions in which the Applicant or any Affiliated Interest of the Applicant is engaged or has been engaged within the prior 6 years in the sale of Generation Services or Broker or Aggregator services;

i. A list of all jurisdictions in which the Applicant or any Affiliated Interest of the Applicant has applied for a license or has otherwise sought the authority to engage in the sale of Generation Service or Broker or Aggregator services, and the disposition of the application;

j. Whether the Applicant or affiliated interest of the applicant has filed for bankruptcy within the past six years;

k. A copy of the documents which demonstrate the type of organization of the Applicant (sole proprietor, corporation, partnership, association, or other business form) and a copy of its by-laws;

l. The state(s) in which the Applicant is incorporated or otherwise registered or licensed to do business and a copy of its registration or license number, where applicable;

m. A copy of any FERC approval as a Power Marketer or date and docket number of the application to FERC, if applicable;

n. The name, address and title of each officer and director, partner, or other similar officer; and

he state(s) in which the Applicant is incorporated or otherwise registered or licensed to do business and a copy of its registration or license number, where applicable;

m. A copy of any FERC approval as a Power Marketer or date and docket number of the application to FERC, if applicable;

n. The name, address and title of each officer and director, partner, or other similar officer; and

o. Whether the Applicant will use its own employees to market its product(s) or whether it will use other representatives or Third-party Sales Agents.

10. Registration of Third-Party Sales Agents

Registration

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.

Disclosures and Acknowledgement

An Applicant to be a Competitive Electricity Provider in Maine must

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

An Applicant to be a Competitive Electricity Provider in Maine must

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:

i. The names and corporate addresses of all Third-party Sales

Agents proposed to be used by the Applicant.

ii. A sworn statement by each proposed Third-party Sales Agent

attesting to the Third-party Sales Agent's understanding of its

compliance obligations with the State's door-to-door sales law,

the Maine Unfair Trade Practices Act, and the applicable

Commission rules;

iii. Any transient seller license number issued to each proposed

Third-party Sales Agent by the Department of Professional and

Financial Regulation pursuant to Title 32, chapter 128,

subchapter 2;

iv. All legal actions, including civil court or regulatory enforcement

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

ainst 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

v. An acknowledgement by each Third-party Sales Agent proposed

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:

1. To comply with all Maine laws and regulations applicable to Competitive Electricity Providers;

2. To provide, by filing in the docket designated for it as a Competitive Electricity Provider using the Commission’s electronic case management system, updated information if there are substantial changes in circumstances from those documented in the license application process no later than within 60 days of those changes, including filing updated disclosures and acknowledgement forms regarding Third-party Sales Agents prior to any Third-party Sales Agent undertaking any Door-to-door Sales on behalf of the Competitive Electric Provider;

3. To use reasonable efforts not to conduct business with any Entity acting as a Competitive Electricity Provider in Maine without a license from the Commission. For purposes of this provision, a review of the Commission’s webpage to determine if an entity is licensed constitutes a reasonable effort;

4. That it and its agents and Third-party Sales Agents submit to the jurisdiction of the courts of the State of Maine and the Maine Public Utilities Commission; and

ing as a Competitive Electricity Provider in Maine without a license from the Commission. For purposes of this provision, a review of the Commission’s webpage to determine if an entity is licensed constitutes a reasonable effort;

4. That it and its agents and Third-party Sales Agents submit to the jurisdiction of the courts of the State of Maine and the Maine Public Utilities Commission; and

5. That all contracts for generation, Broker or Aggregator service to Residential or Small Non-residential Customers will be interpreted according to Maine law and maintained in Maine courts or before Maine administrative agencies.

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

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

ial 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

e 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;

ip 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;

Disclosure of Enforcement Proceedings and Customer Complaints

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

In an adjudicatory proceeding, the Commission may impose administrative penalties on Competitive Electricity Providers and Third-party Sales Agents as authorized by 35-A M.R.S. § 1508-A and § 3203(7). Penalties collected by the Commission under this provision must be deposited in the Public Utilities Commission Reimbursement Fund or refunded to customers as directed by the Commission

1. Penalties

A letter from the Commission’s General Counsel providing the notice articulated in 35-A M.R.S. § 1508-A(1)(B) and (B-1)(2) and issued in the docket designated for the Competitive Electricity Provider using the Commission’s electronic case management system constitutes an example of that Competitive Electricity Provider or its Third-party Sales Agent having been explicitly notified by the Commission for the purpose of imposing a penalty or terminating a Third-party Sales Agent registration.

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

b. Emergency

icity 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

b. Emergency. The Commission may issue a cease and desist order in an emergency, without hearing or notice, if the Commission receives a written, verified complaint or affidavit showing that either a Third-party Sales Agent is conducting or arranging to conduct sales without being registered or showing that a Competitive Electricity Provider is selling electricity to retail consumers or providing Aggregator or Broker services without being duly licensed, or that either is engaging in conduct that creates an immediate danger to the public safety or is reasonably expected to cause significant, imminent and irreparable public injury. An emergency cease and desist order is effective immediately and continues in force and effect until further order of the Commission or until stayed by a court of competent jurisdiction. Following a subsequent hearing, the Commission will issue a final order, affirming, modifying, or setting aside the emergency cease and desist order and may employ simultaneously or separately any other enforcement or penalty provisions available to the Commission.

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.

a. For any cause for which issuance of the license could have been denied had it then existed or been known to the Commission;

tion.

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.

a. For any cause for which issuance of the license could have been denied had it then existed or been known to the Commission;

b. For a violation or material noncompliance with any applicable provision of any law or rule administered or enforced by the Commission or any lawful order issued by the Commission;

c. For obtaining or attempting to obtain a license through misrepresentation, failure to disclose a material fact required to be disclosed in the application, or fraud; or

d. For the use of fraudulent, coercive, or deceptive practices, or misuse of customer funds with respect to the provision of generation service or aggregator or broker service.

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

g 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

ny 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

lectricity 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:

ISO-NE Control Area. For service to Customers in the ISO-NE control

area, the Competitive Electricity Provider must have GIS Certificates in

a Maine GIS-sub-account that reasonably corresponds to the usage of the Customers provided the green electricity or renewable electricity

product.

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.

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

Competitive Electricity Providers must, prior to Enrolling a Customer, provide notice to that Customer of the existence of opt-out fees pursuant to Chapter 301 of the Commission rules that might apply if a Customer commits to service from the Competitive Electricity Provider. The notice must explain the opt-out fee and the actions that may result in the assessment of the fee. The Competitive Electricity Provider must retain evidence that the required notice was provided to the Customer, including the date upon which the notice was provided.

This notice requirement is not applicable if the Enrolling Customer is not subject to an opt-out fee pursuant to Chapter 301, Section 2(C)(1).

This notice must be provided in writing as set forth below:

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.

tive 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.

Disclosure Regarding Standard Offer

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

o 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.

Disclosure and Limitations Regarding Door-to-Door Sales

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:

A type size that is no less than 14 points;

Contact information, including the telephone numbers for the Competitive Electricity Provider, the Commission, and the Office of the Public Advocate;

A telephone number and publicly accessible website where the consumer may obtain information on the current standard-offer service rate and expiration date and the publicly accessible website for electricity supply information available through the Office of the Public Advocate;

Information regarding the consumer's right to rescind service;

The registration number of the Third-party Sales Agent issued by the Commission and any transient seller's license number issued by the Department of Professional and Financial Regulation pursuant to Title 32, chapter 128, subchapter 2; and

Any other information the Commission determines is necessary

the Office of the Public Advocate;

Information regarding the consumer's right to rescind service;

Any other information the Commission determines is necessary.

Bill Information

The supply bill for a Customer that elects to receive Generation Service from a

Competitive Electricity Provider must contain the following:

The website address and telephone number of the Office of the Public Advocate where Customers can access information that provides independent information that allows Customers to compare terms, conditions, and rates of electricity supply.

A statement that directs the Customer to the Competitive Electricity Provider for more information on the customer’s Terms of Service, including its specific terms, and that provides the telephone number of the Competitive Electricity Provider.

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

ument

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

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.

c. Webpage. Each Competitive Electricity Provider must prominently display all effective Terms of Service documents on its webpage with an indication of the effective dates of each document. The Terms of Service document must be available and easily accessed on the webpage without any requirement that any personal customer-specific information be provided.

d. Terms of Service Document Content

The Terms of Service document must contain the following information:

ay all effective Terms of Service documents on its webpage with an indication of the effective dates of each document. The Terms of Service document must be available and easily accessed on the webpage without any requirement that any personal customer-specific information be provided.

d. Terms of Service Document Content

The Terms of Service document must contain the following information:

(i) The pricing structure specifying whether the rates are fixed or variable;

(ii) The term or length of service obligation of the Competitive Electricity Provider and the Customer, including the date upon which service will begin and whether the service obligation will automatically renew;

(iii) Due dates of bills and consequences of late payment, including the amount of any late payment fee, interest, or finance charge assessed for late payment;

(iv) Deposit requirements and interest on deposits;

(v) Any fee associated with the early termination of service;

(vi) Any Limits on warranty and damages;

(vii) A disclosure of the Customer's right of rescission of the contract without penalty, how this right may be exercised, and how to contact the provider orally, electronically or in writing to exercise this right;

(viii) A market risk disclosure, if applicable, consistent with Section 4(E) of this Chapter;

(ix) A toll-free number for Customer Complaints and the hours the Customer can contract the provider for questions or Complaints;

escission of the contract without penalty, how this right may be exercised, and how to contact the provider orally, electronically or in writing to exercise this right;

(viii) A market risk disclosure, if applicable, consistent with Section 4(E) of this Chapter;

(ix) A toll-free number for Customer Complaints and the hours the Customer can contract the provider for questions or Complaints;

(x) A generic description of the standard offer generation service;

(xi) A statement on how a Customer may contact the Commission to obtain information on consumer protection rights; and

(xii) A standardized notice form, setting forth the requirements of the terms of service document. The Commission or the Director of Electric and Natural Gas Industries will by order specify the standardized form.

5. Right of Rescission

a. General. Competitive Electricity Providers must provide a right of rescission to every customer. Competitive Electricity Providers must provide Customers a minimum of five calendar days from receipt of the first bill or invoice from the Competitive Electricity Provider to exercise the right of rescission.

b. Oral Agreement. Competitive Electricity Providers must orally notify Customers of their right of rescission at the time the Customer orally agrees to purchase Generation Services from the provider.

c. Exercise of Right of Rescission. A Customer may rescind the selection of a competitive provider orally, in writing or by electronic means. A Customer that exercises its right of rescission is responsible for paying the CEP bill prior to the rescission.

d. Rescission Complaints. It is the obligation of the Competitive Electricity Provider to maintain sufficient evidence of the notification of the right of rescission and whether the Customer rescinded in writing, electronically or orally.

6. Verification of Affirmative Customer Choice

a. General

ercises its right of rescission is responsible for paying the CEP bill prior to the rescission.

6. Verification of Affirmative Customer Choice

a. General. Each Competitive Electricity Provider must obtain verification that each Customer choosing that provider has affirmatively chosen such Entity. No provider may Enroll a Customer without first obtaining evidence of the affirmative choice from the Customer. The provider must retain this evidence for at least 12 months from the date that the Customer’s service is ended with the provider.

b. Affirmative Choice. For the purposes of this subsection, the Customer's affirmative choice may be evidenced by a Customer-signed letter of authorization, third-party verification, or through electronic authorization.

(i) Letter of authorization. For the purposes of this subsection, the term "letter of authorization" means an easily separable document whose sole purpose is to authorize a Competitive Electricity Provider to initiate Generation Service for a Customer or represent the Customer for the purposes of selecting a provider on behalf of the Customer. The letter of authorization must be signed and dated by the Customer and must not be combined with a check, prize or other document which intends to confer any benefit on the Customer as a result of the Customer’s selection of the provider. The document may be transmitted electronically by the Customer to the provider if the provider maintains a security system sufficient to identify the Customer and prevent fraudulent use of the letter of authorization by any person.

must not be combined with a check, prize or other document which intends to confer any benefit on the Customer as a result of the Customer’s selection of the provider. The document may be transmitted electronically by the Customer to the provider if the provider maintains a security system sufficient to identify the Customer and prevent fraudulent use of the letter of authorization by any person.

(ii) Third-party verification. For the purposes of this section, the

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.

eans. 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.

Each Competitive Electricity Provider must provide dated, written notice to its Customers two times between 30 and 60 calendar days in advance of a renewal of service. The notices must be sent at least 14 calendar days apart. The two notifications must be made electronically or by US Postal Service, but one of the notifications must be by US Postal Service. The words “contract renewal notice” must be included in bold at either the top of a paper notice or in the subject line for notices sent electronically. Copies of the two notifications, either in hard copy or electronically, must be retained by the Competitive Electricity Provider for at least 12 months from the date the second notice is sent. The renewal notices must include a standardized notice form, setting forth the requirements of the terms of service document upon renewal

paper notice or in the subject line for notices sent electronically. Copies of the two notifications, either in hard copy or electronically, must be retained by the Competitive Electricity Provider for at least 12 months from the date the second notice is sent. The renewal notices must include a standardized notice form, setting forth the requirements of the terms of service document upon renewal. The Commission or the Director of Electric and Natural Gas Industries will by order specify the standardized form.

Competitive Electricity Providers may not renew a contract for Generation Service for a term that differs from the term of the expiring contract without the express consent of the Customer in accordance with subsection 4(B)(6).

Fixed rate to fixed rate. A Competitive Electricity Provider may not renew the Terms of Service providing service at a fixed rate at a fixed rate that is 20% or more above the fixed rate of the expiring Terms of Service or at a fixed rate greater than the fixed rate that would, at the time of the Customer’s contract renewal, be offered by the Competitive Electricity Provider to Customers Enrolling with the provider for an initial contract of a similar term and product offering without the express consent of the Customer obtained in accordance with subsection 4(B)(6).

Fixed rate to variable rate. A Competitive Electricity Provider may not renew Terms of Service providing service at a fixed rate with Terms of Service providing service at an Indexed Variable Rate or a Non-indexed Variable Rate without the express consent of the Customer obtained in accordance with subsection 4(B)(6).

10. Assignments

or a Non-indexed Variable Rate without the express consent of the Customer obtained in accordance with subsection 4(B)(6).

10. Assignments

Each Competitive Electricity Provider must provide written notice to its Customers between 30 and 60 calendar days in advance of any assignment of the service obligation to another Competitive Electricity Provider if there is a change in the Terms of Service. If there is no change in the Terms of Service, then written notice must be provided to Customers within 30 days after the assignment.

The written notification must be made electronically or by US Postal Service. Unless a Customer affirmatively consents to a change in the Terms of Service pursuant to the provision of section 4(B)(6) of this Chapter, the Competitive Electricity Provider that is assigned the Customer account must provide service in compliance with each Customer’s currently existing Terms of Service. A copy of the written notification, either in hard copy or electronically, must be retained by the Competitive Electricity Provider for at least 12 months from the date the notice is sent. In the event that there is no change to the Terms of Service, Customer consent is not required.

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:

Must clearly specify in the Terms of Service document and on its webpage the formula and/or market indices by which the Variable Rate or Charge will be calculated or disclose that there is none for a Non-indexed Variable Rate or Charge;

Must clearly specify in the Terms of Service document and on the webpage whether there is any limit on how high the rates or charges may rise;

Must provide on the webpage the Indexed Variable Rate or Charge that the formula and/or index would have produced over the immediately prior 12-month period;

Must provide on the webpage the Non-indexed Variable Rate or Charge that would have been applicable over the immediat

fy in the Terms of Service document and on the webpage whether there is any limit on how high the rates or charges may rise;

Must provide on the webpage the Indexed Variable Rate or Charge that the formula and/or index would have produced over the immediately prior 12-month period;

Must provide on the webpage the Non-indexed Variable Rate or Charge that would have been applicable over the immediately prior 12-month period;

Must clearly specify in all Terms of Service documents and on its webpage the highest and lowest price during the prior 12-month period or the highest and lowest price during whatever period if the rate or charge has been offered or provided during less than a 12-month period; and

For rates that are established prior to the billing period, the rates must be posted on the Competitive Electricity Provider’s website at least one week in advance of any change in the applicable rate or charge.

12. Termination Fees

Termination fees prohibited on or after June 30, 2023. Competitive Electricity Providers may not enter into or renew a contract for Generation Service on or after June 30, 2023, that includes an early termination fee.

Termination fees effective prior to June 30, 2023. Termination fees existing in contracts for Generation Service that were effective prior to June 30, 2023, must comply with the provisions of this subparagraph. Termination fees must be a fixed dollar amount and may not be established by formula. Termination fees may not apply to Customers whose Terms of Service provided for a month-to-month Indexed Variable Rate or Charge or Non-indexed Variable Rate or Charge. Competitive Electricity Providers may not impose a termination fee for any Terms of Service that was renewed without the express consent from the Customer obtained in accordance with subsection 4(B)(6).

13. Promotional Practices

This subsection applies to all Competitive Electricity Providers, including

Aggregators and Brokers.

le Rate or Charge or Non-indexed Variable Rate or Charge. Competitive Electricity Providers may not impose a termination fee for any Terms of Service that was renewed without the express consent from the Customer obtained in accordance with subsection 4(B)(6).

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.

b. Any comparison of Customer savings relative to standard offer service must not provide customer savings comparisons based on standard offer rates that will not be in effect during the same period of time as the rate that the Customer would pay to the Competitive Electricity Provider pursuant to the promotion.

c. A Competitive Electricity Provider or Third-party Sales Agent, may not, in any way, state, suggest or imply any affiliation or association with a Transmission and Distribution Utility, or that it is an alternative to a Transmission and Distribution Utility, and it must clearly and conspicuously indicate on its website and promotional materials that it is not affiliated or associated with any Transmission and Distribution Utility, and that it is not an alternative to any Transmission and Distribution Utility. Upon contacting a Customer by telephone, a Competitive Electricity Provider or Third-party Sales Agent must state the name of its company and the purpose of the call.

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

name of its company and the purpose of the call.

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:

Create a written log, including the full name or first name and associated identification number of the employee or agent, identifying the street address of each visited premises, retain the written log for at least 12 months after the date of the solicitation, and maintain the written log in a format amendable to electronic conveyance to the Commission upon request;

maintain the written log in a format amendable to electronic conveyance to the Commission upon request;

Produce identification, to be visible at all times thereafter, which prominently displays in reasonable size type the full name of the Competitive Electricity Provider and the full name of the employee or agent, or the first name of the employee, or agent together with an identification number, as well as the Competitive Electricity Provider’s telephone number for inquiries, verification, and Complaints, and must leave behind written materials identifying the same information upon request of a potential Customer;

Clearly state that the employee or agent is not working for and is independent of the potential Customer’s Transmission and Distribution Utility;

State that if the potential Customer purchases electricity from the Competitive Electricity Provider, the potential Customer’s Transmission and Distribution Utility will continue to deliver the potential Customer’s electricity and will respond to any outages or emergencies. This requirement may be fulfilled by an oral statement to the potential Customer, or by written materials left with the potential Customer;

Terminate the in-person contact with the potential Customer when it is apparent that the potential Customer’s language skills are insufficient to allow the potential Customer to understand and respond to the information conveyed, or where the potential Customer or another third party informs the Competitive Electricity Provider, or its agent, of this circumstance;

Require its employee or agent to ensure the third-party verification call, during which Customer Enrollment is confirmed, is not influenced by the employee or agent by, including but not necessarily limited to, remaining silent during the verification call.

16. Cancellation of Service

a. Cancellation by a Competitive Electricity Provider

ectricity Provider, or its agent, of this circumstance;

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

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:

(i) The telephone number and hours of the Competitive Electricity Provider's consumer contact staff;

(ii) The reason for cancellation;

(iii) Steps the Customer can take to avoid cancellation, if any; and

(iv) Notice of the existence of other providers, including standard offer service.

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, 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

a. Content. Each bill for competitive Generation Service, including standard offer service, must provide the following information on the customer’s billing statement:

(i) Electricity consumption, including whether the consumption was based on actual recorded usage or estimated usage;

(ii) The total charge for Generation Service for the current billing period;

(iii) The actual cents per kWh charged to the Customer for the Customer’s usage of electricity for the current billing period, calculated by dividing the total charge for generation service by the Customer's usage for the current billing period;

(iv) An itemized list of each service or product billed by the provider to the Customer for the current billing period;

(v) The amount of any payment or other credit applied to the Customer’s outstanding balance for Generation Service during the billing period;

(vi) The total amount in arrears owed by the Customer, consistent with the requirements of consolidated utility billing pursuant to Chapter 322 of the Commission rules;

(vii) The due date by which payment must be made to avoid late payment fees or other collection action by the provider; and

dit applied to the Customer’s outstanding balance for Generation Service during the billing period;

(vi) The total amount in arrears owed by the Customer, consistent with the requirements of consolidated utility billing pursuant to Chapter 322 of the Commission rules;

(vii) The due date by which payment must be made to avoid late payment fees or other collection action by the provider; and

(viii) The total amount owed by the Customer, including the amount in arrears for Generation Service and the amount owed for the current billing period, consistent with the requirements of consolidated utility billing pursuant to Chapter 322 of the Commission rules.

b. Combined bill. If the Customer’s bill for Generation Service is combined on the same bill with regulated charges for transmission and distribution services, the charges associated with competitive services must be separately identified and disclosed as required in this subsection. The billing entity must either provide Generation Service charges on a separate page from regulated charges or separate the Generation Service charges graphically from the rest of the bill.

18. Application for Service; Denial of Credit

a. Written procedures; prohibition on discrimination. Each Competitive Electricity Provider must adopt written procedures to guide its evaluation of applications for service from prospective Customers and may not discriminate in the provision of electricity as to availability and terms of service based on race, color, religion, national origin, sex, marital status, age, receipt of public assistance income, or the exercise of rights under state or federal consumer protection laws.

ercise of rights under state or federal consumer protection laws.

b. Written denial of service. A provider who denies service to a consumer based on consumer-specific information obtained by the provider during the application process must inform the consumer in writing of the reason for the denial. This disclosure may be combined with any disclosures required by applicable federal or state law. This disclosure is not required when the provider notifies the Customer orally that the Customer is not located in a geographic area served by the provider, does not have the type of usage characteristics that is served by the provider, or is not part of a customer class served by the provider.

c. Customer Complaint. A Customer Complaint relating to the denial of service pursuant to state or federal equal credit opportunity laws will be coordinated with the Maine Office of the Attorney General. A Competitive Electricity Provider must provide the Commission written notice in the Commission’s electronic case management system’s docket for the Competitive Electricity Provider within 30 days of any decision or order by an entity of competent jurisdiction that the Competitive Electricity Provider violated the Maine Human Rights Act, 5 M.R.S. Chapter 337, or the Federal Equal Credit Opportunity Act, 15 U.S.C. §§ 1691 – 1691f.

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:

a. Provider Employee Available

d 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:

a. Provider Employee Available. Each Competitive Electricity Provider must provide at least one employee (whose duties need not be limited to this obligation) during business hours to respond to questions and resolve Complaints from Customers and applicants, and to work with the Commission on Complaint resolution. If a Competitive Electricity Provider is not able to provide a real time response to the Customer or applicant, it must respond no later than within 48 hours of the contact or, if the contact is received after 5:00 p.m. on a Friday, a Competitive Electricity Provider must respond no later than the following business day by noon. A Competitive Electricity Provider must provide Customers with the option of leaving a telephone message when the Competitive Electricity Provider is not able to answer the phone in-person.

b. Provider Investigation. When a Competitive Electricity Provider becomes aware of a Complaint by a Customer or applicant, the provider must:

(i) investigate the Complaint, preserving the record of the substance and results of the investigation;

(ii) report the results of its investigation to the Customer; and

Competitive Electricity Provider is not able to answer the phone in-person.

b. Provider Investigation. When a Competitive Electricity Provider becomes aware of a Complaint by a Customer or applicant, the provider must:

(i) investigate the Complaint, preserving the record of the substance and results of the investigation;

(ii) report the results of its investigation to the Customer; and

(iii) attempt in good faith to resolve the Complaint.

c. Notification of Right to File a Complaint with the Consumer Assistance and Safety Division. If the Competitive Electricity Provider cannot resolve the dispute with the Customer after the procedures in paragraph 2 are completed, the provider must orally inform the Customer of his or her right to file a Complaint with the Commission's Consumer Assistance and Safety Division and of the toll free telephone number of the Commission.

d. Investigation by the Consumer Assistance and Safety Division; Appeal to the Commission. All Complaints brought to the Consumer Assistance and Safety Division against a Competitive Electricity Provider will follow the procedures set forth in Chapter 815, section 13(H). Each Competitive Electricity Provider must respond to any inquiry or request for information from the Consumer Assistance and Safety Division within the timeframe specified in Chapter 815, section 13(H). Each Competitive Electricity Provider must respond to a Consumer Assistance and Safety Division contact no later than within 48 hours of the contact.

e. Procedure for Resolving Customer Service Verification Complaints

Complaint. Any person may file a Complaint with the Consumer Assistance and Safety Division stating that a Competitive Electricity Provider has transferred the Customer to its service without the Customer's authorization required section 4(B)(6) of this Chapter.

Timing

ision contact no later than within 48 hours of the contact.

e. Procedure for Resolving Customer Service Verification Complaints

Timing. Within 10 business days of filing the Complaint, the Consumer Assistance and Safety Division will request from the Customer: a copy of the Customer's bill or notice that included the information regarding the initiation of Generation Service; the name of the original provider; and any other information the Consumer Assistance and Safety Division determines to be relevant. The Consumer Assistance and Safety Division will request that the customer, within 15 business days of the Consumer Assistance and Safety Division notification, respond to the Consumer Assistance and Safety Division's request for information.

Request for information. The Consumer Assistance and Safety Division will inform the Transmission and Distribution Utility and original Competitive Electricity Provider of the pending Cand request that information relevant to the initiation of Generation Service be furnished.

(iv) Request for evidence. The Consumer Assistance and Safety Division will notify the new Competitive Electricity Provider of the pending Cand request evidence of the Customer's affirmative choice to initiate Generation Service as provided for in this subsection, and any additional information the Consumer Assistance and Safety Division determines to be relevant.

eration Service be furnished.

(v) Provision of information. The Transmission and Distribution Utility, the original Competitive Electricity Provider and the new Competitive Electricity Provider must respond to the Consumer Assistance and Safety Division's request within five business days from the issuance of the requests.

(vi) Determination. Within 30 days after receiving evidence of the Customer's affirmative choice and all relevant information, the Consumer Assistance and Safety Division will determine if the Customer authorized the new Competitive Electricity Provider to initiate Generation Service.

(vii) Refunds. If the Consumer Assistance and Safety Division determines that the new Competitive Electricity Provider does not possess the required evidence of the Customer's affirmative choice as provided for in section 4(B)(6) of this Chapter and that the Customer made an initial Complaint within 75 days after the statement date of a bill containing charges from the new provider or notice indicating that the unauthorized transferred has occurred, the Consumer Assistance and Safety Division will require the new provider to refund to the Customer, any charges already paid to the new provider and any reasonable expense the Customer incurred in switching back to the original provider.

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

rges already paid to the new provider and any reasonable expense the Customer incurred in switching back to the original provider.

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

e 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

b. On a document separate from the contract containing only the market risk disclosure statement.

§ 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

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.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.