CEP Report Filing Instructions

Filing Instructions

The Commission uses an electronic Case Management System (CMS) for all filings, including the Competitive Electricity Provider (CEP) annual compliance reports. CEP annual compliance reports must be submitted by July, 1, every year. Please electronically submit the completed original Excel file in CMS (paper copies, PDF copies, and emailed submissions will not be accepted).

To submit your annual compliance report you will need:

1. The completed the Excel report form and all other required or supplemental documents.
2. A user account for CMS.
3. The docket number granting license for your company.
4. Upload your report form and supplemental attachments.

The following instructions will guide you through the process of registering for CMS and submitting the report, step by step.

Registering in CMS

To submit the CEP annual compliance report in CMS, the person submitting it must be a registered user. To register:

1. Go to the Case Management System.
   a.    You may want to bookmark this page to easily get back to CMS.
2. Click “Register”.
3. Fill in all required fields of your user profile.
   a.    Note: Canadian postal codes are currently not recognized by CMS. Users with Canadian addresses may enter “00000” for the zip code as a work-around.
4. Under “Representing Company/Organization”, click “Add.”
5. Search for the company on whose behalf you will be submitting the report by entering the company name in the “Utility/Company Name” field, then click search.
6. Click the checkbox to the left of the correct company, then click “Select.”
   a.    Note: You can add multiple companies to your profile if you plan to submit reports for more than one.
7. Read the disclaimer and click the checkbox next to “I Agree.”
8. Complete the CAPTCHA challenge.
9. Click “Submit.”
10. A confirmation email will be sent to the email address you provided.
    a.    If you do not receive this email, check your junk mail folder for an email from MPUC-CMSnotification@maine.gov.
11. Click the link in the confirmation email to complete your registration.

You are now ready to log in and submit your report.

Helpful Tips

• User IDs must be at least 8 characters long and cannot contain spaces.
• Passwords must be at least 8 characters long and must include at least one number, one uppercase letter, and one special character.
• You can add additional companies that you represent to your profile after registration by clicking “Update Contact Information” in the left side menu of CMS.

Finding your Docket Number Granting License

The Docket number in which the Commission initially granted your company a license to operate as a Maine CEP is required to submit your report. If you do not know the docket number in which your company was granted a Maine CEP license, take the following steps:

1. Log in to CMS. Hover over “Case File” in the left side menu and select “View/Search”
2. For “Pertaining to Utility/Company”, choose your company’s name from the drop-down menu and click “Search.”
3. A list of dockets will appear. The docket in which the company was licensed will have a “Case Subtype” of “License to Operate as a Competitive Electricity Provider." The docket number will be listed to the left under “Case No.”
4. Write down the docket number so you can refer to it later.

Submitting a Report

Now that you are a registered user in CMS, you are ready to submit the CEP annual compliance report and any supplemental materials. Before you start, you should be certain that the report is complete and ready to be submitted.
To submit the report:

1. Log in to CMS.
2. Hover over “Annual Report File” at the top of the menu on the left side of the page, then select “Submit Annual Report.”
3. For “Pertaining to Utility/Company,” select the company for which you will be submitting the report.
   a.    If the regulatory contact information from the records in the system is incorrect, please contact the Clerk of the Commission or 207-287-3831 and provide the updated information.
4. For “Annual Report Type,” select “ANNUAL REPORTS – COMPETITIVE ELECTRICITY PROVIDERS (ARCP).”
5. For “Report for Year”, enter the year for which you are reporting compliance.
6. Click “Verify Contact Information of Person Completing this Annual Report.”
7. If the information in the pop-up window is correct, click “Confirm.” If it is incorrect, correct the information as necessary, then click “Update.”
8. For “Docket Number Granting License,” enter the docket number in which the company was granted a license by the Commission to operate as a Maine CEP.
   a.    Note: The docket number format is YYYY-00000. See above for instructions to locate the docket number, if you don’t know it.
9. For “Is Company”, use the radio buttons to select either “Aggregator/Broker” or “Supplier.”
   a.    If the company is licensed as both an Aggregator/Broker and a Supplier, then select “Supplier.”
10. Click “Submit.”
11. Click “OK” to confirm submission. You will receive the following message:
12. Write down the Tracking Number provided. You will need this if you wish to make revisions to the report after submission. We will also reference this tracking number if we need to contact you with questions regarding the report.
13. Click “Attach Report Now” to upload your completed Excel form and supplemental documents.
14. To attach confidential documents: 
    a.    Select the “Confidential” radio button, then click “Attach Confidential Document.”
    b.    In the pop-up window, click “Choose File” on the “Confidential Document” line and select the unredacted Excel file to be treated confidentially.
    c.    On the “Redacted Version Document” line, you must also attach a redacted version of the report which will be available to the public. Click “Choose File” and select the redacted version of the report.
       i.    This version may be either a redacted Excel file or PDF.
    d.    Click “Associate Protective Order.” 
       i.  This will generate a pop-up window so be sure they are allowed by your browser.
    e.    In the “Case Number” field, enter the docket number containing the protective order then click “Search.”
       i.  You should have received an e-mail containing the current docket number, if the Commission has your company’s contact information.
       ii.     If you did not receive this e-mail, contact the Clerk of the Commission for the docket number and to provide current contact information for your company.
    f.    Click the checkbox next to the protective order with “Protective Order - General Information and CMP/Versant Reports” in the “PO Name” field, then click “Associate.”
    g.    Click “Attach.”
    h.    You may repeat this step for additional confidential documents as needed.
15. To attach non-confidential documents: 
    a.    Select the “Public” radio button, then click “Attach Document.”
    b.    Click “Choose File” and select the file you wish to upload, then click “Attach.”
    c.    You may repeat this step for additional non-confidential documents as needed.
16. When you’re finished attaching documents, click “Submit.”

Revising a Report

Occasionally, mistakes are made, or Commission Staff may point out an error in the report you’ve submitted which requires you to submit a revision.

To revise a previously submitted report:

1. Log in to CMS
2. Hover over “Annual Report File” in the left side menu, then click “Revise Annual Report”.
3. Enter the Tracking number in the field provided then click “GO.”
   a.    If you do not know the tracking number, click “Search”
   b.    In the pop-up window, choose your company from the “Pertaining to Utility/Company” drop-down menu, then click “Search.”
   c.    A list of previously submitted annual reports will be presented. Select the desired report using the radio buttons on the left, then click “Include Tracking Number”.
   d.    Click “GO”.
4. Click “Submit or Update Key Analysis Fields.”
5. Attach your revised report either confidentially or publicly as needed. Refer to the instructions above for submitting a report, steps 14 and 15.
6. When you’re done, click “Submit.”