CEP Annual Compliance

Frequently Asked Questions

1. I’m new to the compliance process for Competitive Electricity Providers (CEP) in Maine, or unfamiliar with the compliance requirements. What do I need to know?

The first things you should become familiar with are Chapter 305 of the Commission’s rules (MS Word) governing CEP licensing requirements and annual reporting, and Chapter 311 (MS Word) governing the Renewable Portfolio Standard and its associated reporting requirements. These two rules will tell you most of what you need to know to comply with state requirements. You can also refer to the CEP landing page of the PUC website where we put links to useful information relevant to doing business as a CEP.

2. I want to start on my compliance report for this year, when will the new form be available?

Updated forms are sent each April to the regulatory contacts we have on file for each CEP along with instructions on how to fill it out and other important information. Ensure that your company’s contact information is correct by checking our list of registered CEPs here.

3. How do I correct or change a report that I have already submitted?

Once submitted the report can’t be changed, but you can add a revised version as an attachment under the same tracking number to supersede the previous one. To submit a revised report, go to the left-hand menu in the Case Management System (CMS) and hover over “Annual Report File” then click “Revise Annual Report” from the sub-menu. On the next screen type in the tracking number ARCP-20##-00### and click “Go”. That should bring you to the first page that you saw when you created the initial report. Scroll to the bottom of the page and click where it says, “Submit or update key analysis fields” (or something along those lines). That will bring you to a second page where there are options to attach the document(s).

 

4. How do I make an Alternative Compliance Payment?

Alternative Compliance Payments must be made by check payable to “Treasurer, State of Maine”. The check must indicate which class requirement (Class I, Class IA, Thermal) the payment will fulfill.

Checks may be mailed to the PUC at 18 State House Station, Augusta, ME 04333-0018. If using a courier (e.g. FedEx, UPS), send checks to our physical address which is 26 Katherine Drive, Hallowell, ME 04347.

 

5. When is my Alternative Compliance Payment due?

 

Alternative Compliance Payments are due on the same day as the report, July 1.

 

6. Can I make an Alternative Compliance Payment by ACH or wire?

 

No, unfortunately we are not able to accept Alternative Compliance Payments by ACH or wire.

 

7. Regarding question 14 on tab 3 of the Aggregator/Broker report. What terms and conditions do we need to provide?

 

This question is only applicable if you had a standard Terms and Conditions or contract between you and your customers during the activity year. We know that many aggregator/brokers do not have these in which case you can just reply “None”.

 

8. Do I need to submit a CEP report even though my company did not provide any services to customers in Maine during the compliance year?

 

Yes, every CEP licensed in Maine needs to file the report even if you did not provide service. Companies that did not provide service should enter “0” in response to questions in the report that ask for the number of customers served. This is necessary for us to know that the CEP didn’t provide service rather than didn’t comply with the reporting requirement.

 

9. Some of my customers have multiple accounts. Do I count the number of customers or number of accounts when reporting the number of customers served?

 

If you have customers with multiple accounts, please report the number of accounts.

 

10. How can I update the regulatory contact information for my company?

 

CEPs can change the contact information on their registration for their name but to change the Company on the master list contact the Clerk of the Commission by email at Maine.PUC@Maine.gov or by phone at 207-287-3831.

 

11. When are the CEP annual reporting forms due?

 

The annual reports are due on July 1 of each year.

 

12. I represent more than one CEP. Do I need to fill out separate forms?

 

Yes, separately licensed CEPs must file separate reports.

 

13. Would you please provide copies of the forms last filed by us?

 

Publicly available annual reports can be viewed on our Case Management System website. Using the left side menu, hover over “Annual Report File” then select “View/Search Annual Reports”. From Utility Type select “Electric”, Utility Subtype select “CEPs” and Annual Report Type select “Annual Reports - Competitive Electricity Providers”. You can choose your company’s name from the ”Pertaining to Utility/Company” menu and enter the desired year in “Report Year From” then click search. Filings for your company in that year will be displayed below. Click the tracking number to view them.

If your company filed previous reports confidentially, contact the Clerk of the Commission at Maine.PUC@Maine.gov or by phone at 207-287-3831 to request them.

 

14. I am new to filing, so how will I know this has been received and accepted?

 

The PUC will not issue any confirmation of receipt but be assured that if you file in accordance with the instructions, your report has been received. If you would like to verify that your report has been filed you can view the filing at the CMS link here, then click “View Annual Reports”. Select “Electric” from the Utility Type drop-down and “CEPs” from the Utility Subtype drop-down. Select your company name from the drop-down menu then click search.

 

15. Can I submit my report by e-mail?

 

No, as indicated in the filing instructions. The CEP Annual Reports must be filed in the Commission’s electronic Case Management System (CMS). Email is not considered a proper filing method and emailed reports will not be accepted.

 

16. Are we able to retire Maine compliance RECs in NAR on behalf of our customer for them to satisfy their RPS obligations?

 

Consistent with section 7(B)(3) of chapter 311 of the Commission's rules, CEPs may verify compliance through any combination of GIS and NAR certificates.

 

17. Does the allowance to fulfill one-third of my REC obligation with RECs from the prior year apply to my total obligation for all classes?

 

No, the ability to use RECs from the prior year for the current compliance year is specific to each REC type. In other words, you may use RECs from the prior year to fulfill up to one-third of your obligation for each class individually.