MAINE PUBLIC UTILITIES COMMISSION

FILING INSTRUCTIONS

The Commission has recently implemented a new electronic Case Management System (CMS). As a new entity operating in Maine, before making your initial submission to the CMS, you must contact the Commission to have the Applicant name added to our list of active companies. Please indicate that you want to obtain a Competitive Electricity Provider (CEP) license and provide the following information by either email to [email protected], by phone (207) 287-3831 or fax (207) 287-1039:

Applicant Name, including any d/b/a Regulatory Contact Email address Address Telephone Number

Once the Applicant name is added to our company database,, the Applicant and any representative(s) must become a registered user in our system in order to make any filings. To register, go to the Commission’s website at www.maine.gov/mpuc and click on “Online Filing, Docketed Case, Forms, and RFP’s” on the left hand side of the home page. Then click on the large “Registered Users” link in the large gray box. Then click on the “New User Registration” link at the bottom of the “Account Login” area. Further detailed instructions are available on the Commission’s website at www.maine.gov/tools/whatsnew/index.php?topic=puc- pressreleases&id=414946&v=article08.

Once registered and logged in, to file your application, click on “Case File” in the menu on the left hand side of the screen. In the sub-menu, click on “Submit New Case or Filing”; click on the “New” toggle button and complete all the information requested as follows: (Please note anything that is preceded by a red asterisk is mandatory)

Add New Case Utility/Industry Type: Electric Utility/Industry Subtype: Competitive Electricity Provider Case Type: Request for Approval Sub-Type: License to Operate as a Competitive Electricity Provider Pertaining to Utility/Company Click on the “Add” button under and search for your entity and click on select in the toggle box in front of the entities name Filing Information Description of Filing: Application to be a CEP providing (either supplier, aggregator/broker or standard offer service) Maine Public Utilities Commission Competitive Electricity Provider Application Page 2 ______Utility/Company Name: Click on the “Add” button under and search for your entity and click on select in the toggle box in front of the entities name

Statutory Reference Chapter 32 Section 3203

MPUC Rule Reference Chapter 305

Add Public Document Document Type Initial Filing Document Sub/Type Initial Filing Document Title Application to be a CEP providing (either supplier, aggregator/broker or standard offer service)

All information filed with the Commission is treated as public unless a protective order is issued by the Commission Staff. If the Applicant wishes confidential treatment of any information to be included as part of the application, Applicant must file, in addition to a redacted application, a request for protective treatment that (i) specifies the information that Applicant requests to be treated as confidential and (ii) provides a detailed explanation for why confidential treatment is necessary.

The Commission will issue a protective order and the Applicant will then be able to file the confidential information by clicking on “Case File” in the menu on the left hand side of the screen. In the sub-menu, click on “Submit New Case or Filing”; click on the “Existing” toggle button and entering the Case Number. The information related to the case file is automatically entered. Applicant should enter all information requested and click on Attach Confidential Documents and then follow the prompts.

If you have any questions on the above process, please contact Lucretia A. Smith at (207) 287-1383 or by email at [email protected]

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 3 ______APPLICATION FOR LICENSE AS A COMPETITIVE ELECTRICITY PROVIDER

Pursuant to 35-A M.R.S.A. § 3203 and MPUC Rules, Chapter 305, “Licensing Requirements, Annual Reporting, Enforcement and Consumer Protection Provisions for Competitive Provision of Electricity”

PROVIDE ALL INFORMATION AS REQUIRED BY CHAPTER 305 BELOW AND IN SPECIFICALLY IDENTIFIED ATTACHMENTS TO THIS APPLICATION. REFER TO CHAPTER 305 FOR SPECIFIC INFORMATION REQUIRED. COMMISSION STAFF MAY REQUEST ADDITIONAL INFORMATION IN ORDER TO COMPLETE THE PROCESSING OF YOUR APPLICATION.

INFORMATION REQUIRED FROM ALL APPLICANTS

1 Applicant’s legal name: [Ch. 305 § 2(B)(8)(a)] 2 Name(s) under which Applicant will do business in Maine: [Ch. 305 § 2(B)(8)(a)] 3 Applicant’s business street address: [Ch. 305 § 2(B)(8)(b)] 4 Applicant’s mailing address, if different: [Ch. 305 § 2(B)(8)(b)] 5 Applicant’s web page address 6 Contact person, address, and telephone number for regulatory/licensing matters: [Ch. 305 § 2(B)(8)(e)] (Provide fax number and e- mail address.) 7 Location and agent for service of process on Applicant in Maine: [Ch. 305 § 2(B)(8)(c)] 8 Location, if any, of any office available to the general public or Maine customers: [Ch. 305 § 2(B)(8)(d)] (State hours open to the public.) 9 Contact person, address, and telephone number for consumer complaints and other contacts, if different than regulatory contact: [Ch. 305 § 2(B)(8)(f)] (Provide fax number and e-mail address.)

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 4 ______10 Name, title, address, telephone number, e-mail address of contact to appear on Commission CEP listing that appears on the web 11 Type of organization of Applicant: [Ch. 305 § 2(B)(8)(k)] 12 Information on Applicant’s Required information, including names, titles, business officers, directors, and addresses of Applicant’s officers, directors, and partners, including business partners, and officer’s, directors, and partner’s addresses and affiliations with affiliation as an owner, director or partner in existing or other competitive electricity previously existing competitive electricity providers is providers: provided in Attachment __. [Ch. 305 § 2(B)(8)(n)] 13a Names and addresses of all Required information is provided in Attachment __. affiliated interests currently Applicant may submit a copy of its most recent engaged in the retail sale of corporate annual report in compliance with this electricity in the U.S. or provision if it contains the required information. Canada. [Ch. 305 § 2(B)(6)] 13b Names and addresses of all Indicate with an asterisk (*) any affiliate of Applicant or affiliated interests of Applicant of Applicant’s officers, directors, or partners that that have been previously previously provided service to customers and ceased engaged in the retail sale of providing service. Provide a description of the electricity in the U.S. or reasons and circumstances that caused the entity to Canada. stop providing service.

14 Copies of most recent Required information is provided in Attachment __. (If financial disclosures. If applicant has neither financial disclosures nor a applicant does not make corporate parent, provide other evidence of financial financial disclosures, it shall capability.) include the most recent financial disclosures of its Please note that all information filed with the corporate parent. Commission is considered public unless a protective [Ch. 305 § 2(B)(1)] order is issued by the Commission Staff. Confidential treatment may be given to the financial information provided by Applicant if the public release of the information would be competitively harmful to Applicant and the information is not otherwise publicly available. Applicant must request such treatment in writing and should file a redacted application prior to the issuance of a protective order.

15 State(s) in which Applicant is Supporting information is provided in Attachment __. incorporated or otherwise Indicate with an asterisk (*) those states where registered or licensed to do Applicant may do business, but is not currently doing business. so. [Ch. 305 § 2(B)(8)(l)]

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 5 ______16 A list of jurisdictions in which Required information is provided in Attachment __. applications for authority for Indicate the status of any application and indicate with sale of generation, broker or an asterisk (*) those states where Applicant has aggregator services have authority for sale of generation, or authority to provide been made and disposition of broker or aggregator services, but is not currently applications. doing so. [Ch. 305 § 2(B)(8)(i)] 17 List of jurisdictions in which Required information is provided in Attachment __. Applicant or affiliated interest have engaged in the sale of generation services or broker or aggregator services within past six (6) years. [Ch. 305 § 2(B)(8)(h)] 18 Bankruptcy history of the Applicant’s or affiliated interest [ ] See Attachment ___ for detailed statement of all of Applicant within the past six bankruptcy proceedings for the past six years of (6) years. [Ch. 305 Applicant or any affiliated interest of Applicant. § 2(B)(7)(j)] [ ] Neither Applicant nor Applicant’s affiliated interest had any bankruptcy proceedings in the past six years. 19 Disclose all civil court or [ ] See Attachment __ for summary of enforcement regulatory enforcement actions and related information proceedings or criminal [ ] Neither Applicant nor associated entity has had prosecutions commenced any such proceedings against Applicant or affiliated interest of Applicant within the past six years or currently pending that relates to or arise out of the sale of electricity, the provision of broker or aggregator services, the sale of natural gas, the provision of utility services, business fraud, or unfair or deceptive sales practices. [Ch. 305 § 2(B)(4)(b)] 20 The number of customer [ ] See Attachment __ for a summary of such complaints related to the sales complaints against Applicant, including the average of electricity or natural gas, or number of customers served by Applicant in each the provision of broker or jurisdiction during the same period. aggregator services filed [ ] Applicant had no customer complaints within the against Applicant at regulatory last twelve (12) months. bodies other than the Maine PUC within the last twelve (12) months. [Ch. 305 § 2(B)(4)(c)]

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 6 ______21 What type(s) of license does [ ] Aggregator or Broker Applicant seek? [Check all [defined in Ch. 305 § 1(B)(3) and (5)] that apply] [ ] Standard Offer Provider [Ch. 305 § 2(A)(1)] [ ] Competitive Electricity Provider

22 A generic list of products and Required information is provided in Attachment __. services that Applicant will This listing should indicate whether Applicant plans to market or offer in Maine. offer indexed price offerings in addition to other pricing [Ch. 305 § 2(B)(8)(g)] strategies and/or green product offerings.

(The Commission understands that products actually offered may vary from what the Applicant lists here.)

23 Customer classes to be [ ] Residential (§1(B)(20) served as defined in Ch. 305 [ ] Small Non-Residential (§1(B)(21) §1(B): [ ] Medium Non-Residential (§1(B)(17) [ ] Large Non-Residential (§1(B)(14) 24 T&D utility territories in which [ ] Central Maine Power Company (IOU) Applicant will do business: [ ] Bangor Hydro-Electric Company (IOU) [ ] Maine Public Service Company (IOU) [ ] Eastern Maine Electric Cooperative (COU) [ ] Fox Island Electric Cooperative (COU) [ ] Houlton Water Company (COU) [ ] Kennebunk Light and Power District (COU) [ ] Madison Department of Electric Works (COU) [ ] Swans Island Electric Cooperative (COU) [ ] Van Buren Light & Power District (COU)

[ ] Additional information provided on Attachment __

ADDITIONAL INFORMATION REQUIRED FROM AGGREGATORS OR BROKERS ONLY

25 Will Applicant hold retail [ ] Yes [ ] No consumer funds? (If yes, Applicant shall include additional [Ch. 305 § 2(B)(1)(b)] documentation to demonstrate financial capability sufficient to refund deposits to retail customers. See Attachment __.) 26 Demonstration of technical Information demonstrating Applicant’s technical capability: capability, including a description of industry [Ch. 305 § 2(B)(2)(a)] experience is provided in Attachment __. If no specific electric industry experience, Applicant should provide further explanation as to its qualifications and technical ability.

ADDITIONAL INFORMATION REQUIRED FROM ALL OTHER COMPETITIVE ELECTRICITY PROVIDERS (INCLUDING PROSPECTIVE STANDARD OFFER PROVIDERS)

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 7 ______27 Has Applicant received FERC [ ] Yes [ ] No approval as a Power (If yes, attach copy) Marketer? (If no, the date and docket number of application to [Ch. 305 § 2(B)(7)(m)] FERC, or other explanatory information, are provided in Attachment __.) 28 Has Applicant entered into all [ ] Yes [ ] No required interconnection (If yes, a list of arrangements or contracts is provided arrangements or contracts in Attachment __.) with Maine utilities? [Ch. 305 § 2(B)(2)(c)] 29 Technical capability to secure Provide generation in ISO-NE control area: generation: Documentation that Applicant is either a [Ch. 305 § 2(B)(2)(b)(I)] participant in the ISO-NE electricity market or will conduct transactions through a contractual arrangement with an entity that is provided in Attachment __. Provide generation in Northern Maine: Documentation that Applicant is either a participant in the market administered by NMISA or will conduct transactions through a contractual arrangement with an entity that is provided in Attachment __. 30 Resource portfolio Information or a statement demonstrating Applicant’s requirement: ability to satisfy resource portfolio requirements of 35- [Ch. 305 § 2(B)(5); A M.R.S.A. § 3210 and Chapter 311 of the 35-A M.R.S.A. § 3210] Commission’s Rules is provided in Attachment __. 31 Tax Assessor registration and Evidence demonstrating Applicant’s registration with collection statement: the State Tax Assessor as a seller of tangible personal [Ch. 304 §2(B)(7) and 35-A property, and an affirmative statement that the M.R.S.A. § 3203(2)(F)] Applicant agrees to collect and remit taxes, as required in 35-A M.R.S.A. § 3203(2)(F), are provided in Attachment __.

ADDITIONAL INFORMATION REQUIRED FROM ALL OTHER COMPETITIVE ELECTRICITY PROVIDERS (EXCLUDING PROSPECTIVE STANDARD OFFER PROVIDERS)

32 Does Applicant seek to be [ ] Yes [ ] No licensed to offer service to residential or small commercial consumers as defined in Ch. 305 §1(B)(20) & (21):

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 8 ______33 If response to Question 32 is [ ] Letter of credit conforming to Ch. 305, with yes, what security is Applicant required supporting materials, is provided in providing? Attachment __. [Ch. 305 § 2(B)(3)(e)(i-ii)] [ ] Cash - Bank Check issued to “Treasurer, State of Maine” for $100,000 due prior to serving customers but within two weeks of the Commission’s deliberation of Applicant’s proposed license unless stated otherwise in Commission Order

[ ] No security required

34 If a security instrument is [ ] Yes, Support for Applicant’s requested required, does Applicant modification is provided in Attachment __. request any modifications of [ ] No the initial $100,000 security [ ] No security required level? [Ch. 305 § 2(B)(3)(c))]

[ ] Other supporting material for this application is provided in Attachment(s) _____. or [ ] No other supporting material is provided herewith.

By obtaining a license, Competitive Electricity Providers agree:

1. To comply with all Maine laws and regulations applicable to competitive electricity providers (including aggregators and marketers);

2. To provide updated information to the Commission if there are substantial changes in circumstances from those documented in the Applicant’s license application process within six months of those changes;

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. 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.

(Chapter 305, §2(C))

Revised August 2012 Maine Public Utilities Commission Competitive Electricity Provider Application Page 9 ______

By submitting this application to the Commission, the Applicant verifies that all foregoing information included is true and correct.

Date of Application: ______

Legal Name of Applicant: ______

Revised August 2012