65- 407 C.M.R. ch. 304, § 3

Current through 2024-46, November 13, 2024

Section 407-304-3 - STANDARDS OF CONDUCT

A. No Preference. A distribution utility may not, through a tariff provision or otherwise, give its affiliated competitive provider or customers of its affiliated competitive provider preference over nonaffiliated competitive electricity providers or customers of nonaffiliated competitive electricity providers in matters relating to any regulated product or service.

B. Service Provided Without Discrimination. All regulated products and services offered by a distribution utility, including any discount, rebate or fee waiver, must be available to all customers and competitive electricity providers simultaneously to the extent technically possible and without undue or unreasonable discrimination. Nothing in this Chapter prevents a distribution utility from entering into a special contract offering a special rate to a customer or group of customers pursuant to a rate flexibility program approved by the Public Utilities Commission under the Maine 35-A M.R.S.A. §3195(6).

C. Posting. A distribution utility may not sell or otherwise provide regulated products or services to its affiliated competitive provider without either simultaneously posting the offering electronically on the distribution utility's Internet web site or otherwise making a sufficient offering to the market for that product or service. Provision of the product or service under the terms of a filed tariff constitutes a sufficient offering. Otherwise, a sufficient offering to the market must be approved by the Commission before the distribution utility sells or provides the product or service to its affiliated competitive provider.

D. Requests for Regulated Products. A distribution utility shall process all similar requests for a regulated product or service in the same manner and within the same period of time.

E. No Tying. A distribution utility may not condition or tie the provision of any regulated product, service or rate agreement by the distribution utility to the provision of any product or service in which an affiliated competitive provider is involved.

F. Requests for Information. A distribution utility shall process all similar requests for information in the same manner and within the same period of time. A distribution utility may not provide information to an affiliated competitive provider without a request when information is made available to nonaffiliated competitive electricity providers only upon request. A distribution utility may not allow an affiliated competitive provider preferential access to any nonpublic information regarding the distribution system, customers taking service from the distribution utility, or any other nonpublic information that the utility has obtained as a result of its status as a provider of core utility services that is not made available to nonaffiliated competitive electricity providers upon request. A distribution utility shall instruct all of its employees not to provide any competitive electricity provider preferential access to nonpublic information.

G. Employees. Employees of a distribution utility may not share with any competitive electricity provider:

1. Any market information acquired from any other competitive electricity provider, other than information that is generally publicly available, without the permission of the competitive electricity provider from which the information was acquired; or

2. Any market information developed by the distribution utility in the course of responding to requests for distribution service, other than information that is generally publicly available.

H. Log of Information Requests. A distribution utility shall keep a log of all requests made by a competitive electricity provider for commercial information that it has obtained by virtue of providing electricity service.. The log is subject to Commission review. The log must:

1. Contain all requests for commercial information from competitive electricity providers, including the nature and date of the request;

2. Identify, for each request, the name of the entity making the request; and

3. Describe the date and nature of the distribution utility's response to each request. The distribution utility shall protect the information contained in the log from being disclosed to any entity (except the Commission) unless, or until, the Commission determines such protection is unnecessary. Absent such a finding by the Commission, any entity (other than the distribution utility that maintains the log or the Commission) that seeks access to the information contained in the log, must file a request for such access with the Commission. At that time, the Commission will determine the appropriate level of protection for the information pursuant to its statutory authority to grant protective orders. 35-A M.R.S.A. §1311-A.

I. Promotion of Affiliate; Joint Marketing.

1. Neither a distribution utility nor its affiliated competitive provider may give any appearance of speaking on behalf of the other.

2. Neither a distribution utility nor an affiliated competitive provider may in any way represent that any advantage accrues to customers or others in the use of the distribution utility's services as a result of that customer's or others' dealing with the affiliated competitive provider.

3. A distribution utility and its affiliated competitive provider may not engage in joint advertising or marketing.

4. The distribution utility may not in any manner promote its affiliated competitive provider or any product or service offered by its affiliated competitive provider nor may the affiliated competitive provider promote any product or service offered by the distribution utility.

5. The Commission shall maintain a current list of all competitive providers available to customers in each distribution utility's service territory. The Commission shall update the list and rearrange the names on the list in a random sequence at least every 60 days. If a customer requests information about competitive electricity providers or where the customer may obtain generation services, the distribution utility shall provide a copy of the most recent list of competitive electricity providers issued by the Commission.

6. Unless the distribution utility or affiliated competitive provider is specifically asked what the relationship is between the two entities or whether the distribution utility or affiliated competitive provider has an affiliation or association with a competitive provider or distribution utility, respectively, employees of those entities may not disclose the affiliation. If they are specifically asked, employees may disclose the affiliation but must inform the questioner that:

a. The affiliated competitive provider is not regulated by the Public Utilities Commission;

b. No advantage will accrue to any customer of the affiliated competitive provider due to the affiliate's relationship with the distribution utility; and

c. Customers may select another competitive electricity provider.

The distribution utility shall submit as part of its implementation plan under Section 5 a script containing the information specified above that distribution utility and affiliated competitive provider employees shall use in responding to inquiries regarding affiliated status.

J. No Recommendation. Employees of a distribution utility may not state or provide to any customer or potential customer any opinion regarding the reliability, experience, qualifications, financial capability, managerial capability, operations capability, customer service record, consumer practices or market share of any affiliated competitive provider or nonaffiliated competitive electricity provider.

K. Sharing of Employee Prohibition. Employees of a distribution utility must be located in a separate building from the employees of the affiliated competitive provider. Employees may not be shared between a distribution utility and its affiliated competitive provider. An employee is considered to be shared if the employee performs work for both entities. The employees of a distribution utility and the employees of an affiliated competitive provider must be served by separate telecommunications and computer systems. An employee who is transferred from an affiliated competitive provider to the distribution utility cannot return to the affiliated competitive provider for at least one year.

1. Exemption.

The Commission may approve an exemption from this subsection upon a finding that:

a. Sharing employees or facilities would be in the best interest of the public;

b. Sharing employees or facilities would have no anticompetitive effect; and

c. The costs of any shared employees or facilities can be fully and accurately allocated between the distribution utility and the affiliated competitive provider.

Any request for an exemption must be accompanied by a full and transparent allocation of costs for any shared facilities or general and administrative support services. The Commission shall allow a reasonable opportunity for parties to submit comments regarding any request for an exemption. An exemption is valid until the Commission determines that modification or removal of the exemption is necessary.

L. Books. A distribution utility and its affiliated competitive provider shall keep separate books of account and records, which are subject to Commission review.

M. Dispute Resolution. A distribution utility shall establish and file with the Commission, as part of its implementation plan under Section 5, a dispute resolution procedure to address complaints alleging violations of 35-A M.R.S.A. §§3205 & 3206; applicable Chapter 820 provisions governing the actions of the distribution utility and its affiliated competitive provider; the distribution utility's implementation plan; and this Chapter. A dispute resolution procedure must, at a minimum, designate a person to conduct an investigation of the complaint and communicate the results of the investigation to the claimant in writing within 30 days after the complaint was received, including a description of any action taken and the complainant's right to file a complaint with the Commission if not satisfied with the results of the investigation.

1. Complaints log. The distribution utility shall maintain a log of all resolved and pending complaints. This log is subject to Commission review. The log must include, at a minimum:

a. The name of the person or entity that filed the complaint;

b. The date the complaint was filed;

c. The written statement of the complaint, if any; and

d. The date the complaint was resolved and the resolution or the reason why the complaint is still pending.

N. Separate Records. A distribution utility shall maintain its books of account and records of its transmission and distribution operations separately from those of its affiliated competitive provider. These books of account and records are subject to Commission review.

O. Implementation Plan. A distribution utility shall maintain in a public place and file with the Commission current written procedures implementing the standards of conduct established by 35-A M.R.S.A. §§3205 & 3206 and this Chapter. A copy of this Chapter must be posted in the distribution utility's offices in the same manner as required for minimum wage information under 26 M.R.S.A. §668. The distribution utility and its affiliated competitive provider shall provide every employee with a copy of the implementation plan and any amendments to the plan. The implementation plan must include procedures to train employees of the distribution utility and its affiliated competitive provider in procedures necessary to ensure compliance with 35-A M.R.S.A. §§3205 & 3206 and this Chapter. The implementation plan must be in detail sufficient to enable customers and the Commission to determine that the company is in compliance with 35-A M.R.S.A. §§3205 & 3206 and this Chapter.

P. Notice of Stock Acquisition. A distribution utility must immediately notify the Commission if another entity acquires 10% or more of the distribution utility's stock or achieves 10% ownership of the distribution utility's stock after June 26, 1997.

Q. No Subsidization. A distribution utility may not subsidize the business of its affiliated competitive provider at ratepayer expense in any manner not specifically authorized under this section.

R. Compliance with Chapter 820. A distribution utility and its affiliated competitive provider must comply with all applicable provisions of Chapter 820.

65- 407 C.M.R. ch. 304, § 3